[Federal Register Volume 68, Number 120 (Monday, June 23, 2003)]
[Notices]
[Pages 37370-37379]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-15798]
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Part VI
Office of Management and Budget
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Office of Federal Financial Management; Policy Directive on Financial
Assistance Program Announcements; Standard Data Elements and
Government-Wide Guidance for Electronically Posting Synopses at
Grants.gov FIND; Notices
Federal Register / Vol. 68, No. 120 / Monday, June 23, 2003 /
Notices
[[Page 37370]]
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OFFICE OF MANAGEMENT AND BUDGET
Office of Federal Financial Management Policy Directive on
Financial Assistance Program Announcements
AGENCY: Office of Management and Budget.
ACTION: Notice of issuance of final policy directive.
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SUMMARY: The Office of Federal Financial Management (OFFM) is issuing a
policy directive to establish a standard format for Federal agency
announcements of funding opportunities under programs that award
discretionary grants or cooperative agreements. The purpose of the
standard format is to have information organized in a consistent way in
announcements for the hundreds of Federal programs that make financial
assistance awards. A government-wide format will help potential
applicants more easily and quickly find the information they need about
Federal opportunities. The Federal awarding agencies jointly developed
this format as part of their grant streamlining efforts to implement
the Federal Financial Assistance Management Improvement Act of 1999.
FOR FURTHER INFORMATION CONTACT: Elizabeth Phillips, Office of Federal
Financial Management, Office of Management and Budget, 725 17th Street,
NW., Washington, DC 20503; telephone 202-395-3053; fax 202-395-3952; e-
mail [email protected].
SUPPLEMENTARY INFORMATION:
I. Background
In a Federal Register notice [67 FR 52548] published on August 12,
2002, the Office of Management and Budget (OMB) proposed a standard
format for announcements of funding opportunities under Federal
programs that make discretionary awards of grants or cooperative
agreements. The OMB notice also proposed an OFFM policy letter to
establish the announcement format as the government-wide standard for
Federal agency use. We received comments from 22 organizations: two
State governments; one local government; five universities; one
association of academic institutions; a group of universities that
participate with Federal agencies in a demonstration program on
research administration; a non-profit organization; two organizations
representing non-profit entities; an association of auditors; and eight
Federal agencies. We considered all comments in developing the final
announcement format and OFFM policy letter.
We will continue to consider these comments separately from this
notice because some raise questions that are beyond the scope of the
announcement format and associated policy letter. Most of those
comments concern electronic business practices to be used in
conjunction with announcements, and these will be considered as the
Grants.gov (formerly called E-Grants) Program Management Office
develops the Government-wide portal for electronic grants transactions.
We also received comments related to another Federal Register notice
published on the same day [67 FR 52554], which proposed data elements
for electronically posting synopses of announcements at Grants.gov FIND
(formerly called FedBizOpps). Those comments are mentioned here to the
extent that changes to the announcement format could affect the
Grants.gov FIND proposal. Comments that are specific to the Grants.gov
FIND data elements are addressed in the Federal Register notice
establishing the final data elements, which immediately follows this
notice.
Comments on this notice strongly supported the overall proposal to
create a government-wide standard format. The following paragraphs
summarize the major comments and our responses. The comments are
grouped by the portion of the OFFM policy letter or announcement format
to which they apply. In addition to the changes to the policy letter
and format that are described in the following paragraphs, we made
other changes to increase readability or to maintain consistency with
other streamlining initiatives that are taking place in parallel with
this effort.
II. Comments and Responses
A. Comments on the Office of Federal Financial Management (OFFM) Policy
Letter
Comment: Three commenters recommended that we require use of the
standard announcement format in agency programs that either: (1)
announce their funding opportunities in the Federal Register; or (2) do
not have announcements separate from their Catalog of Federal Domestic
Assistance (CFDA) listings. The commenters suggested that exempting
those programs from the requirement to use the standard format could
discourage agencies from publishing funding opportunities more broadly.
Response: No change. The proposed policy letter did not exempt
programs that announce opportunities in the Federal Register from the
requirement to use the standard format. It applies the requirement
equally to all discretionary assistance programs that issue funding
opportunity announcements separate from their CFDA listings, including
programs that publish announcements in the Federal Register.
In contrast, the proposed policy letter distinguishes agency
programs that do not issue separate announcements and rely on their
CFDA listings to disseminate information to prospective applicants. We
understand that the specific recipient communities for these programs
are accustomed to doing business in this way. The policy letter
therefore continues to exempt those programs from the requirement to
use the standard announcement format. Those programs will continue to
be subject to the CFDA's standard formatting requirements.
Comment: One commenter suggested that all funding opportunities be
available on the Internet and hyperlinked to Grants.gov FIND.
Response: Agree. We modified the OFFM policy letter to require
agencies to post on the Internet funding opportunity announcements that
are open to domestic applicants. An agency either will upload its
announcement to Grants.gov FIND or provide an Internet address that
Grants.gov FIND may use to link from the synopsis to the full
announcement.
Comment: One commenter indicated that the mechanism we use to
require agencies to adopt the standard announcement format will affect
whether the agencies adopt it uniformly and in a timely manner. The
commenter urged us to require agencies to implement the new requirement
at the same time, preferably through amendments to OMB Circulars A-102
and A-110.
Response: No change. Agencies will be required to adopt the common
format by means of the OFFM policy letter. We expect all agencies to
issue announcements using the standard format no later than 12 months
after the effective date of the policy letter, which gives any agency
that must amend a regulation to implement the new requirement
sufficient time to do so. Amendments to OMB circulars are not
prerequisites for implementing the requirement to use the standard
announcement format and would only delay implementation.
[[Page 37371]]
B. Comments on Announcement Format
1. General
Comment: Two commenters indicated that announcement writers'
formatting and writing styles, such as the use of headlines and more
space between areas of text, could make announcements more user-
friendly and effective. They recommended that we try to eliminate
stylistic differences by further standardizing and improving the
announcement format, perhaps through a government-wide form or template
that also would ensure compliance with format and content requirements.
Response: No change. The OFFM policy letter is sufficient to ensure
compliance with the broad format and content requirements of the
standard announcement format. A form or template is not needed for that
purpose. Individuals within the agencies necessarily must write the
detailed content for inclusion in the standard format, to describe
agency-specific and program-specific requirements and business rules.
It is beyond the scope of this effort to try to regulate the writing
styles and abilities of those individuals.
2. Overview Information
Comment: Seven commenters recommended that we increase
standardization by requiring every Federal agency announcement to
present overview information in the same sequential order. The
commenters differed on what the basis should be for determining the
standard order (e.g., parallelism with the full text of the
announcement or with the Grants.gov FIND synopses, as discussed in
comments and responses following this one). Some of the commenters also
recommended that funding opportunity announcements that are issued in
the Federal Register should be required to present overview information
in the same order as announcements appearing in other places.
Response: Agree in part. These comments raise four related issues
described in the following paragraphs. We significantly revised the
overview segment of the format to incorporate changes discussed below
and to provide a clearer explanation of the use of overviews, since we
could infer from some comments that this section in the proposed format
was confusing.
The first issue is whether Federal agencies should be required to
include an overview in every announcement. As proposed in August, the
announcement format stated that agencies must display prominently
certain key information in a location preceding the full text of the
announcement. In that sense, it required every announcement to include
overview information. The final format retains that requirement for
presentation of certain key information before the full text.
The second issue is whether to mandate a standard way that each
announcement must present the overview information. The proposed format
gave agencies three options: to include the overview information in an
Executive Summary, to display it on the cover and/or inside cover of
the announcement, or to integrate it into the standard format of a
Federal Register notice. Due to the widely varying nature of Federal
programs that will use the standard announcement format, the final
format retains the three options.
The third issue is whether to specify a standard set of information
that each overview must contain. The proposed format had four overview
elements labeled as ``required''--the agency name, funding opportunity
title, CFDA number, and key dates (such as application due dates). It
listed three additional elements as optional--the program name, funding
opportunity number, and CFDA title. It also gave examples of other
information an agency might wish to include if it used an Executive
Summary. We proposed the format with that approach after Federal
agencies prepared some sample program announcements to test the
viability of mandating a single set of overview elements for all
announcements. The tests revealed that rigid use of a single
prescription would make many program announcements harder to read and
use, especially short announcements that were significantly lengthened
by including a full set of overview information. Therefore, the final
announcement format continues to specify some items of overview
information that are required and suggest additional items that are
optional.
The fourth issue is whether to specify a standard sequential order
for the overview information. We revised the final announcement format
to specify a standard order of presentation for required elements. We
also added guidance advising agencies to present any optional elements
in an order that parallels the organization of the full text of the
announcement. This sequential order is the standard, whether the
overview information is presented in an executive summary, on the cover
or inside cover, or in the Supplementary Information section of a
Federal Register notice. Grants.gov FIND will present synopsis
information in an order paralleling this structure, to the extent that
synopsis data elements are identical or similar to elements in the
announcement overview.
Comment: Two commenters suggested making the overview section of
the announcement identical, both in content and in sequential order, to
the Grants.gov FIND synopsis of the funding opportunity.
Response: Agree in part. The Grants.gov FIND synopsis and the
announcement overview should not be identical in content. The content
of each should match its intended purpose and their purposes are not
the same. The Grants.gov FIND synopsis should present only the minimum
information a person needs in order to decide whether to review the
full announcement. A full announcement's overview section, in contrast,
is for people who have decided to review the full announcement and may
be preparing applications. It therefore should have certain information
elements that are not needed at Grants.gov FIND and also should include
more detailed information about elements shared with Grants.gov FIND
(e.g., how much cost sharing is required). However, we did identify one
new Grants.gov FIND data element--whether an announcement is for a new
funding opportunity or modifies a previously announced opportunity--
that is appropriate for the overview section of the full announcement.
We therefore added it to the overview section.
While the content of the Grants.gov FIND and the announcement
overview should not be identical, we agree that it would be helpful to
make the order of presentation parallel in cases where they present
identical or similar information. The order at Grants.gov FIND
therefore will parallel the order in the overview.
Comment: One commenter suggested making the sequential order of the
announcement's overview section identical to that of the full
announcement text.
Response: Agree in principle. For elements of overview information
that have corresponding sections in the full announcement text, we
revised the format to make the order of overview presentation parallel
that of the full text. This is not possible for other overview
information, such as the agency name, that does not appear as a
separate element in the full text.
Comment: Four commenters indicated that it would be helpful to add
a ``keywords'' section relating to specific areas of funding, such as
scientific and engineering research areas, to help people more quickly
narrow their searches to announcements of interest.
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Response: No change. It is extremely difficult to identify a single
and unchanging set of keywords that can properly categorize the many
overlapping areas across the broad spectrum of Federal programs. The
use of a set of keywords that inadequately categorizes opportunities
could lead a potential applicant to forego reading an announcement and
thereby miss a relevant opportunity. A better approach is for program
officials to ensure that each full announcement describes program areas
using the current terminology that performers for that program--e.g.,
principal investigators for a research program--would use, so potential
applicants' full text searches will find opportunities of interest
(note also that Grants.gov FIND synopses of funding opportunities will
have full text search capabilities). We will consider adding keywords
in future enhancements of the announcement format, if an appropriate
set can be identified.
Comment: One research institution suggested adding an activity type
classification that identifies the funding opportunity to facilitate
classification of projects in the OMB Circular A-133 Schedule of
Federal Expenditures and identification of R&D expenditures in the
National Science Foundation (NSF) expenditure survey.
Response: No change. The information needed by a potential
applicant differs significantly from the information required for
either OMB Circular A-133 or the NSF expenditure survey. The CFDA
number is the key for OMB Circular A-133, and the announcement format
includes that number. For the NSF expenditure survey of research
funding, one has the same complication described in the response to the
previous comment; a recipient ultimately reports data based on
researchers' actual disciplines, which frequently cannot be predicted
at the time of announcement.
Comment: One commenter suggested that the overview element entitled
``Agency Name'' should not include the agency mailing address and zip
code.
Response: Agree. The agency mailing address does not serve a
purpose in the overview. In the full text of the announcement, mailing
addresses are provided in the appropriate contexts (e.g., where to
submit a hard-copy application).
Comment: Four commenters recommended that the agency contact
information in Section VII (including name, mailing address, e-mail
address, and telephone and fax numbers) also appear in the overview
section.
Response: No change. We did not include that information in the
overview section because a person generally should not contact the
agency after reading only the overview. If he or she has questions
after reviewing the full announcement, it would be more appropriate to
contact the agency at that time for clarification or further
information.
Comment: Seven commenters suggested that we include additional
information in the overview to help a potential applicant decide
whether to review the full text of the announcement. The suggestions
include information about eligible organizations; eligible expenses;
whether funding will be for one year or a multi-year period; the total
amount expected to be awarded; the anticipated number and average
dollar amount of individual awards; types of funding instruments;
geographic restrictions; cost-sharing requirements; and limits on
numbers of proposals.
Response: Agree in part. We added the total amount expected to be
awarded, anticipated amounts and/or numbers of awards, cost sharing,
types of funding instruments, and limits on numbers of applications as
examples of information that an agency might appropriately include in
an overview in addition to the required elements. The proposed format
already included eligible organizations as an example. We have not
included the other suggested information elements for two reasons.
First, an overview's primary purpose is to provide a high-level summary
to help a potential applicant quickly decide whether to read the
details of the full announcement. Second, the level of detail that an
overview provides is much less than the level in the full announcement;
trying to treat some of the suggested information in a shorthand
fashion easily could mislead rather than aid the reader.
Comment: One commenter suggested that we change the description of
the overview information element under the heading ``Funding
Opportunity Number--Optional.'' The description in the proposed format
read: ``Your agency may wish to assign identifying numbers to
announcements.'' The commenter suggested changing it to: ``Required if
agency has assigned one. If your agency has assigned an identifying
number to an announcement, list it here so that the announcement will
be easier to locate on an agency or department web site by number.''
Response: Agree with the substance of the comment and modified the
language to require the information, if applicable.
Comment: One commenter said that if we use both a CFDA number and
agency-based Funding Opportunity Number, we should explain the
difference between the two and provide clear directions about when to
use which number, or when both are required.
Response: No change to the announcement format. An agency must
include the CFDA number in the announcement so that a potential
applicant may consult the CFDA to obtain further information about the
program. Because an agency may issue multiple announcements of funding
opportunities under a given CFDA number, it may assign a number to each
funding opportunity to: (1) Associate each incoming question or
application with the specific announcement to which it relates; and (2)
allow potential applicants to align any published changes to an
announcement with the original announcement.
Comment: One commenter suggested the CFDA number and title are not
necessary in the overview because that information is useful when
preparing an application but not for preliminary review to determine
interest in the announced opportunity as a potential source of funding.
Response: No change. The CFDA number serves the purposes described
in the response to the comment immediately preceding this one.
Comment: One commenter indicated that it is reasonable to mandate
an executive summary but the ``cover and/or inside cover'' seems
redundant in relation to what is provided elsewhere in the overview.
Response: The executive summary and the cover/inside cover are not
redundant. Rather, they are two alternative ways that an agency may
present the overview information (i.e., an agency could use one or the
other, but would not use both). We revised the format to clarify that
distinction.
Comment: One commenter asked us to clarify in the ``dates'' section
whether the due date is the day the proposal must arrive at the agency
or whether it is the postmark date.
Response: No change at this time. This announcement format is an
interim product of the grants streamlining effort under the Federal
Financial Assistance Management Improvement Act of 1999 (Pub. L. 106-
107). We are issuing it now so that potential applicants can begin to
realize the benefits of a standard format while we continue to consider
other suggestions contained in the public comments we received under
Pub. L. 106-107. One of those suggestions was to establish a uniform
approach to
[[Page 37373]]
defining what constitutes a late application. Future updates to the
format will reflect any changes we make as a result of that suggestion.
3. Full Text of Announcement
i. General Comments
Comment: Four commenters recommended increased use of data elements
and table-driven formats, rather than text, to make it easier to locate
data needed for electronic systems. The commenters noted that this
approach would allow for system-to-system exchanges, set the standards
for maintaining them, and help ensure consistent data for funding
opportunities. They suggested that pre-loading data (e.g., agency,
program, CFDA number, deadline dates, and addresses) can streamline
application preparation, simplify life cycle management, reduce data
entry, and lessen the possibility of data entry error. As a specific
example, one commenter suggested that the table of application
components shown as an illustration in Section IV.3 be required (or be
communicated as bullets) along with due dates.
Response: No change at this time. We appreciate the comment and the
long-term potential of electronic capabilities, particularly as
technology advances and more potential applicants acquire the
capability for system-to-system connectivity. We therefore will
consider increased use of tables and data elements as we prepare future
updates of the announcement format.
Comment: Two commenters suggested that we instruct agencies to
avoid use of cross-references whenever possible. For on-line
announcements, any cross-references should be hyperlinked to the
referenced information.
Response: We modified the announcement format to recommend that
agencies provide hyperlinks to cross-referenced sections.
Comment: One commenter stated that some items of information
identified for inclusion at the agency's option are important enough to
be required for all announcements. The commenter mentioned a number of
different items including information on: the level of funding
available; the expected number of awards; application submission, with
clear references or hyperlinks to any general requirements that apply
to multiple opportunities; performance standards and goals; any
eligibility and co-pay requirements for beneficiaries; and details of
local match funds.
Response: Agree in part. We revised Section III.3 to clarify that
the section must include any eligibility criteria for beneficiaries'
eligibility. Section IV.2 already requires the information on
application submission; for requirements applicable to multiple
programs, that section must state the requirements or provide a
reference to another source for the information.
We added a second reference to two other suggested items of
information but retained them as agency options. Section II of the
format listed information about the level of funding and expected
number of awards as examples of information a program office might
include in that section. In light of the comment, we revised the final
format to also give them as examples of information that an agency
could include in its overview.
The final format does not include requirements for the other
suggested information elements. It is neither practical nor desirable
to lengthen the format by trying to make it a comprehensive list of
requirements for all Federal agency programs. The format is intended
primarily as a framework to be used by program officials who prepare
announcements, as they are in the best position to judge what is
information is needed by potential applicants for their programs. The
framework will help them organize the information so that potential
applicants can find similar information in the same parts of all
announcements.
ii. Specific Sections of the Announcement
Comment: One commenter suggested that Section II, ``Award
Information,'' include the earliest anticipated start date.
Response: No change. We expect that agencies will continue to
provide information about ``earliest anticipated start dates'' when
doing so is appropriate, given the agencies' business practices for the
particular funding opportunities.
Comment: Two commenters suggested revising Section II as it relates
to the information an agency supplies about its anticipated
``substantial involvement'' in cooperative agreements. One commenter
recommended that an agency's inclusion of details on its anticipated
involvement should be optional. In contrast, the other commenter
thought it important for the announcement to include this information--
and not refer potential applicants to other sources--because it is too
important to their decisions about whether to apply.
Response: No change. The section's use of ``should,'' rather than
``must,'' already makes inclusion of the information an agency option,
as recommended by the first commenter. We believe that agencies will
provide this detail when they judge that it is relevant to potential
applicants, both in deciding whether to apply and in preparing
applications. As for allowing announcements to reference other sources
for that information, doing so avoids lengthening announcements by
having to fully restate information that appears elsewhere.
Comment: One commenter suggested including information concerning
the eligibility requirements (if any) of the principal investigator in
Section II, ``Award Information.''
Response: No change. Section III, ``Eligibility Information,''
already states that the agency should address any factors affecting the
eligibility of principal investigators or project directors.
Comment: One commenter suggested that the term ``cost sharing'' in
Section III.2 may confuse readers and asked that we replaced it with
the term ``local match.'' The commenter stated that most non-profits
use ``local match'' to refer to the type of requirement described in
the announcement format and that, in some States, ``cost sharing''
refers to co-payments by beneficiaries.
Response: Agree in principle. In response to this comment, we
expanded the title of the section to ``cost sharing or matching.'' The
revised section title includes both terms currently used in OMB
Circulars A-102 and A-110, the circulars containing the government-wide
guidance on this subject for awards to States, local and tribal
governments, institutions of higher education, and other nonprofit
organizations. In the full text of that section, we expect that each
program office will use the term that conforms best with what is
predominately used by their potential applicants.
Comment: Two commenters asked for additional coverage in Section
III.2 on preferences for the type of cost sharing or matching. The
commenters noted that OMB Circulars A-102 and A-110 allow recipients to
meet matching or cost-sharing requirements either by providing cash or
in-kind contributions but added that some agencies have additional
requirements on the types of cost sharing or matching that they will
accept. One commenter asked that the announcement be clear about any
agency requirement and how it affects the evaluation of an application.
The other commenter suggested that the format require Federal agencies
to describe whether cost sharing at a particular level is required by
statute or, although required, is negotiable. The second commenter also
questioned
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whether an agency, in the absence of a statute, has the authority to
express a preference for the way in which an applicant/recipient may
meet a cost-sharing or matching requirement.
Response: Agree in part. The format already distinguishes between
cost sharing in Section III.2 as an eligibility criterion (i.e.,
required for an application to be eligible, and not negotiable) and in
Section V.1 as a review criterion. In response to the comments, we
added statements in Sections III.2 and V.1 indicating the need to
clearly state any restrictions on the allowability of cash or in-kind
contributions. Section III.2 includes cost sharing imposed by statute,
regulation, or administrative decision of the agency; the question of
an agency's statutory or regulatory authority with respect to types of
cost sharing for any particular program is beyond the scope of the
announcement format and appropriately is raised with the agency.
Comment: One commenter asked that we clarify in Section III.3
whether ``limiting the number of applications an applicant may submit''
pertains to the organization, the individual principal investigator, or
both.
Response: We revised this section to require agencies to address
how any limitation on the number of applications applies.
Comment: One commenter suggested revising the full text of the
announcement format to include the agency's World Wide Web address and
an electronic link where one could get a copy of the application and
other materials.
Response: The format's Section IV.1 already addresses the use of an
Internet address.
Comment: One commenter suggested that we replace ``should'' with
``must'' in the sentence of Section IV.1 that says the agency should
provide a way for potential applicants to request paper copies of
materials that they would need in order to apply, in addition to any
Internet address where a potential applicant could get the materials.
Response: No change. The guidance is sufficient for program
officials to exercise judgment, based on the level of electronic
sophistication in the communities of potential applicants for their
particular programs.
Comment: One commenter suggested that the format clearly state
Institutional Review Board (IRB) requirements for human subjects and,
if possible, make them uniform.
Response: Agree in part. Although the final bullet in Section IV.2
of the proposed format already mentions human subjects requirements, we
added them to the second paragraph of that section as well, as an
example of a requirement with which an applicant may have to assure
compliance. Establishing uniform, government-wide procedures for doing
so, however, is beyond the scope of the announcement format.
Comment: One commenter asked that we add to Section IV.2
information about pre-award survey requirements, such as any
certifications or independent assurances that the applicant has
established proper financial management systems to administer Federal
awards, because of their importance in determining applicant
eligibility.
Response: No change. Government-wide guidance is not needed because
agencies usually require pre-award surveys only in individual cases,
after receiving and reviewing applications. Should there be a program
where pre-award surveys are commonly done, the program office can
include information about them in the appropriate section of the
announcement format.
Comment: One commenter suggested replacing ``should'' with ``must''
in the first sentence of Section IV.2, which says that the agency
should identify in that section the required content of an application
and the forms or formats that an applicant must use to submit it.
Response: We made the suggested change.
Comment: One commenter noted confusing and seemingly contradictory
guidance in Section IV.3, which initially says that the announcement
``must'' identify due dates for applications but states in the next
paragraph that the announcement ``should'' state or provide reference
to the deadline. The commenter observed that the announcement must
state the due date and that a potential applicant should not have to
look elsewhere for this critical information.
Response: We revised the second paragraph to eliminate ``should.''
Comment: One commenter noted that Section IV.3 does not address the
permissibility or impact of submitting a partial application.
Response: No change. Section IV.3 already calls for the
announcement to identify submissions that are required, give deadlines
for their submission, and explain the effect of missing a deadline
(e.g., whether late applications are neither reviewed nor considered or
are reviewed and considered under some circumstances). An announcement
that includes this information addresses the effect of submitting a
partial application.
Comment: One commenter indicated that the announcement format
should include submission and contact information for State comments
under Executive Order (E.O.) 12372. The commenter suggested that this
should include: a requirement to give the Internet address for the
OMB's State Single Point of Contact (SPOC) list; information on
requirements, with applicable citations, for State Governors'
involvement in the application submission process for Federal programs
that have such requirements; and language encouraging applicants to
contact their State's SPOC as early in the application development
process as possible.
Response: No change. Section IV.4 already is a separate section
dedicated specifically to E.O. 12372 requirements, in recognition of
their importance to States. We believe the guidance in that section is
sufficient to accomplish the commenter's objectives.
Comment: One commenter suggested that we move the material in
Section IV.5, ``Funding Restrictions'' to Section III on eligibility
because restrictions on costs can make an applicant ineligible.
Response: We agree that the material in Section IV.5 relates to
Section III on eligibility, as well as Section IV on application and
submission information. We therefore revised Section III.1 to say that
the agency must identify in that section (either directly or by cross-
reference to Section IV.5) any funding restrictions that could affect
the eligibility of an applicant or project.
Comment: One commenter requested inclusion in Section IV.5 of the
contemplated geographic code applicable to the eventual award as well
as disclosure of the legislative, statutory history, or other
impediments affecting award implementation (e.g., earmarks).
Response: No change. Government-wide guidance is not needed on
these subjects because they arise in few announcements. Should an
agency need to inform potential applicants about geographic codes or
legislative restrictions, it can include information about them in the
appropriate section of the announcement format.
Comment: An interagency team working on a parallel grants
streamlining initiative recommended that we include language in the
announcement format to address the allowability of pre-award costs.
Response: We added a sentence to Section IV.5 to address pre-award
costs.
Comment: One commenter, based on difficulties with agency
electronic systems, suggested that we add a requirement in Section IV.6
for agencies
[[Page 37375]]
to specify any legitimate circumstances in which submissions received
after a published deadline date would be accepted because of technical
problems. The commenter also recommended that we require agencies to
have back-up systems for their electronic systems.
Response: No change. Section IV.3 already deals with the effect of
missing a deadline and whether it varies based on the means of
submission. The portion of the comment dealing with back-up systems is
an electronic business process issue that is beyond the scope of the
announcement format.
Comment: Two commenters recommended that Section V.2 address
whether and how an applicant can receive a copy of the reviews of its
application, especially when its application was not successful.
Response: As noted in a response to a previous comment, the
announcement format is an interim product that we plan to update in the
future to incorporate results of continued interagency deliberations on
a number of pre-award issues. Feedback to unsuccessful applicants is
one of the policy issues we will review for possible inclusion in
future issuances of the format. In light of the comment, however, we
added language in Section V.3 indicating that the section appropriately
could include information about anticipated dates for notifying
unsuccessful, as well as successful, applicants.
Comment: One commenter suggested that we move the discussion of
``other'' selection criteria from Section V.2 to Section V.1 and
further revise Section V.2 to state whether reviews will be blind or
double blind, if applicable.
Response: No change. ``Other'' selection criteria are appropriately
included in Section V.2, which addresses selection criteria (Section
V.1 addresses evaluation criteria, which are not the same thing).
Section V.2 lets agency program officials describe the nature of the
review.
Comment: Three commenters suggested that we require agencies to
provide the information in Section V.3 on anticipated announcement and
award dates.
Response: No change. Agency business practices vary widely and some
current practices do not always permit the agency to provide this
information at the time it issues a funding opportunity announcement.
With the guidance in Section V.3, we believe that agencies will provide
this information when they can do so.
Comment: One commenter suggested replacing ``should'' with ``must''
in the first sentence of Section VI.1, which says that the agency
should identify in that section what a successful applicant can expect
to receive following selection (e.g., a notification letter prior to
the official award document that authorizes the recipient to begin
performance).
Response: We made the suggested change.
Comment: Two commenters suggested we add to Section VI on award
administration language addressing any special requirements on
intellectual property, data sharing, or security requirements (e.g.,
access to research information, materials, or facilities).
Response: We added these items as examples in the discussion of
special award terms and conditions in Section VI.2.
Comment: Two commenters suggested that Section VI.3 on post-award
reporting should be required, rather than optional.
Response: We agree and revised the section accordingly.
Dated: June 17, 2003.
Linda M. Springer,
Controller.
To the Heads of Executive Departments and Establishments
Subject: Format for Financial Assistance Program Announcements
1. Purpose. This policy letter establishes a government-wide
funding opportunity announcement format for Executive Branch
departments and agencies to use in programs that make discretionary
awards of grants or cooperative agreements. Program announcements
include all paper and electronic issuances that Federal departments
and agencies use to announce funding opportunities, whether they are
called ``program announcements,'' ``notices of funding
availability,'' ``broad agency announcements,'' ``research
announcements,'' ``solicitations,'' or something else.
2. Authority. This policy letter is issued to implement the
Federal Financial Assistance Management Improvement Act of 1999
(Public Law 106-107).
3. Background. The Federal Financial Assistance Management
Improvement Act of 1999 required the Office of Management and Budget
(OMB) to direct, coordinate, and assist Executive Branch departments
and agencies in establishing an interagency process to streamline
and simplify Federal financial assistance procedures for non-Federal
entities. It also required each Executive agency to develop, submit
to the Congress, and implement a plan for that streamlining and
simplification.
Twenty-six Executive Branch agencies jointly submitted a plan to
the Congress in May 2001, as the Act required. The plan described
the interagency process through which the agencies would review
current policies and practices and seek to streamline and simplify
them. The process involved interagency work groups under the
auspices of the Grants Management Committee of the Chief Financial
Officers Council. The plan also identified substantive areas in
which the interagency work groups had begun their review.
One of the substantive areas that the agencies identified in the
plan was the form and content of program funding announcements. The
agencies stated in the May 2001 plan that their preliminary analysis
suggested a potential for developing a more consistent announcement
format across the many Federal agencies and programs. A standard
announcement format with information content organized in a
consistent way lets applicants quickly and efficiently find the
information they need, in order to decide whether a particular
funding opportunity is of interest and to prepare an application. An
interagency work group developed the format attached to this policy
letter and recommended that the OMB's Office of Federal Financial
Management issue it as the standard for all programs that use
discretionary grants or cooperative agreements.
4. Policy.
a. The format attached to this policy letter is the government-
wide standard format to be used by agencies when publishing
announcements for funding opportunities under programs that make
discretionary awards of grants or cooperative agreements, with the
exception of:
(1) funding opportunities under which domestic entities are not
eligible recipients; and
(2) programs that do not issue separate announcements apart from
the program description in the Catalog of Federal Domestic
Assistance (CFDA). For those excepted programs, the format will
continue to conform to the guidance in OMB Circular A-89 for program
information in the CFDA.
b. An agency, at its discretion, may extend the use of the
attached format to programs that use forms of financial assistance
other than grants and cooperative agreements.
5. Responsibilities. Executive Branch departments and agencies
must:
a. Issue any needed direction to offices that award grants or
cooperative agreements under discretionary programs, in order to
establish the attached format as the standard for those programs'
announcements. All announcements must include information elements
that are marked ``required'' in the format, in the sequence
provided. An announcement for a given program may use elements that
are marked ``optional,'' as appropriate for the program. Whether or
not the announcement includes any ``optional'' elements, the
information that is included must be organized to conform with the
standard format.
b. Post on the Internet all announcements of funding
opportunities under which domestic entities are eligible recipients
(note that publication in the Federal Register meets this
requirement, since it is available on the Internet).
c. Request exceptions from this OFFM policy letter for any
program announcement(s) with information organized in a way that
deviates from the standard format.
[[Page 37376]]
6. Information Contact. Direct any questions regarding this
policy letter to Beth Phillips, OFFM, 202-395-3993.
7. Effective Date. The policy letter is effective 30 days after
issuance. All implementing actions other than regulatory revisions
must be completed by the Executive departments and agencies within 3
months of the effective date; regulatory revisions must be completed
within 12 months.
Dated: June 17, 2003.
Linda M. Springer,
Controller.
Announcement Format of Federal Funding Opportunity
This document is a uniform format for Federal agencies'
announcements of funding opportunities under which discretionary
awards of grants or cooperative agreements may be made. The format
has two parts, the first part provides overview information, and the
second part includes the full text of the announcement.
Overview Information
a. Required Overview Content
The agency must display prominently the following information,
in the sequential order shown, in a location preceding the full text
of the announcement:
[sbull] Federal Agency Name(s)--Required. Include the name of
your department or agency and the specific office(s) within the
agency (e.g., bureau, directorate, division, or institute) that are
involved in the funding opportunity.
[sbull] Funding Opportunity Title--Required. If your agency has
a program name that is different from the Funding Opportunity Title,
you also could include that name here.
[sbull] Announcement Type--Required. Indicate whether this is
the initial announcement of this funding opportunity or a
modification of a previously announced opportunity. If it modifies a
previous announcement, provide the date of that announcement and
identify the portions that are being modified. Note that a
modification does not need to include all of the sections of the
full announcement text.
[sbull] Funding Opportunity Number--Required, if applicable.
Your agency may wish to assign identifying numbers to announcements.
If you assign a number, you must include it. If it modifies a
previous announcement, provide the number of that announcement.
[sbull] Catalog of Federal Domestic Assistance (CFDA)
Number(s)--Required. You also may wish to include the program name
listed in the CFDA for each CFDA number that you give.
[sbull] Dates--Required. Include key dates that potential
applicants need to know. Key dates include due dates for
applications or Executive Order 12372 submissions, as well as any
letters of intent or pre-applications. For any announcement issued
before a program's application materials are available, key dates
also include the date on which those materials will be released.
b. Optional, Additional Overview Content
Following the required overview information described above, the
agency may present other information. Present any optional overview
information in a sequential order that parallels the organization of
the full text of the announcement. Examples of overview information
that could help potential applicants decide whether to read the full
announcement are: a concise description of the funding opportunity,
the total amount to be awarded, the anticipated amounts and/or
numbers of individual awards, the types of instruments that may be
awarded, who is eligible to apply, whether cost sharing is required,
and any limitations on the numbers of applications that each
applicant may submit. You also may include other information that
could later help applicants more quickly and easily find what they
need (e.g., where one can get application materials).
c. Method of Presentation
The agency may include the summary information in any of the
following ways:
[sbull] Executive summary. An agency may wish to include an
executive summary of the announcement before the full text.
Especially for announcements that are long (25 pages or more in
length) or complex, agencies should consider including executive
summaries with at least the required overview information described
above in paragraph a., as well as any additional information
described in paragraph b. An executive summary should be short,
preferably one page, with information in concise bullets to give an
overview of the funding opportunity.
[sbull] Cover and/or inside cover. If the agency does not wish
to include an executive summary, an alternative is to provide at
least the required overview information described above in paragraph
a. on the cover and/or inside cover of the announcement (or the
first screen a potential applicant would see, in the case of an
electronic announcement).
Federal Register format. For an announcement that appears as a
notice in the Federal Register, some of the required overview
information will appear with other information near the beginning of
the notice, due to the Federal Register's standard format for
notices. Nonetheless, the agency must display the required overview
information (described above in paragraph a.) in a single location
preceding the full text of the announcement, which would be in the
SUPPLEMENTARY INFORMATION section of the Federal Register notice.
The agency may elect to include additional information, as described
above in paragraph b.
Full Text of Announcement
The full text of the announcement is organized in sections. The
format indicates immediately following the title of each section
whether that section is required in every announcement or is an
agency option.
The format is designed so that similar types of information will
appear in the same sections in announcements of different Federal
funding opportunities. Toward that end, there is text in each of the
format's sections to describe the types of information that an
agency would include in that section of an actual announcement.
An agency that wishes to include information on a subject that
the format does not specifically discuss may address that subject in
whatever section(s) is most appropriate. For example, if an agency
chooses to address performance goals in the announcement, it might
do so in the funding opportunity description, the application
content, and/or the reporting requirements.
Similarly, when this format calls for a type of information to
be in one particular section, an agency wishing to address that
subject in other sections may elect to repeat the information in
those sections or use cross references between the sections (there
should be hyperlinks for cross-references in any electronic versions
of the announcement). For example, an agency may want to include in
Section I information about the types of recipients who are eligible
to apply. The format specifies a standard location for that
information in Section III.1 but that does not preclude repeating
the information in Section I or creating a cross reference between
Sections I and III.1, as long as a potential applicant can find the
information quickly and easily from the standard location.
The sections of the full text of the announcement are described
in the following paragraphs.
I. Funding Opportunity Description--Required
This section contains the full programmatic description of the
funding opportunity. It may be as long as needed to adequately
communicate to potential applicants the areas in which funding may
be provided. It describes the agency's funding priorities or the
technical or focus areas in which the agency intends to provide
assistance. As appropriate, it may include any program history
(e.g., whether this is a new program or a new or changed area of
program emphasis). This section may communicate indicators of
successful projects (e.g., if the program encourages collaborative
efforts) and may include examples of projects that have been funded
previously. This section also may include other information the
agency deems necessary, such as citations for authorizing statutes
and regulations for the funding opportunity.
II. Award Information--Required
Provide sufficient information to help an applicant make an
informed decision about whether to submit a proposal. Relevant
information could include the total amount of funding that your
agency expects to award through the announcement; the anticipated
number of awards; the expected amounts of individual awards (which
may be a range); the amount of funding per award, on average,
experienced in previous years; and the anticipated start dates and
periods of performance for new awards. This section also should
address whether applications for renewal or supplementation of
existing projects are eligible to compete with applications for new
awards.
This section also must indicate the type(s) of assistance
instrument (i.e., grant,
[[Page 37377]]
cooperative agreement, and/or other instrument) that may be awarded
if applications are successful. If cooperative agreements may be
awarded, this section either should describe the ``substantial
involvement'' that the agency expects to have or should reference
where the potential applicant can find that information (e.g., in
the funding opportunity description in Section I or award
administration information in Section VI). If procurement contracts
also may be awarded, you must say so.
III. Eligibility Information
This section addresses considerations or factors that make an
applicant or application eligible or ineligible for consideration.
This includes the eligibility of particular types of applicant
organizations, any factors affecting the eligibility of the
principal investigator or project director, and any criteria that
make particular projects ineligible. You should make clear whether
an applicant's failure to meet an eligibility criterion by the time
of an application deadline will result in your agency's returning
the application without review or, even though an application may be
reviewed, will preclude the agency from making an award. Key
elements to be addressed are:
1. Eligible Applicants--Required. You must clearly identify the
types of entities that are eligible to apply. If there are no
restrictions on eligibility, this section may simply indicate that
all potential applicants are eligible. If there are restrictions on
eligibility, it is important to be clear about the specific types of
entities that are eligible, not just the types that are ineligible.
For example, if your program is limited to non-profit organizations
subject to Section 501(c)(3) of the tax code, your announcement
should say so. Similarly, it is better to state explicitly that
Native American tribal organizations are eligible than to assume
that they can unambiguously infer that from a statement that non-
profit organizations may apply. Eligibility also can be expressed by
exception, (e.g., open to all types of domestic applicants other
than individuals). This section should refer to any portion of
Section IV specifying documentation that must be submitted to
support an eligibility determination (e.g., proof of 501(c)(3)
status as determined by the Internal Revenue Service or an
authorizing tribal resolution). To the extent that any funding
restriction in Section IV.5 could affect the eligibility of an
applicant or project, you must either restate that restriction in
this section or provide a cross-reference to its description in
Section IV.5.
2. Cost Sharing or Matching--Required. You must state whether
there is required cost sharing, matching, or cost participation
without which an application would be ineligible (if cost sharing is
not required, you must explicitly say so). Required cost sharing may
be a certain percentage or amount, or may be in the form of
contributions of specified items or activities (e.g., provision of
equipment). It is important that the announcement be clear about any
restrictions on the types of cost (e.g., in-kind contributions) that
are acceptable as cost sharing. Cost sharing as an eligibility
criterion includes requirements based in statute or regulation, as
well as those imposed by administrative decision of the agency. This
section should refer to the appropriate portion(s) of Section IV
stating any pre-award requirements for submission of letters or
other documentation to verify commitments to meet cost-sharing
requirements if an award is made.
3. Other--Required, if applicable. If there are other
eligibility criteria (i.e., criteria that have the effect of making
an application or project ineligible for award, whether you refer to
them as ``responsiveness'' criteria, ``go-no go'' criteria,
``threshold'' criteria, or in other ways), you must clearly state
them. For example, if entities that have been found to be in
violation of a particular Federal statute are ineligible, it is
important to say so. In this section you also must state any limit
on the number of applications an applicant may submit under the
announcement and make clear whether the limitation is on the
submitting organization, individual investigator/program director,
or both. Also use this section to address any eligibility criteria
for beneficiaries or for program participants other than award
recipients.
IV. Application and Submission Information
1. Address to Request Application Package--Required. You must
tell potential applicants how to get application forms, kits, or
other materials they need to apply (if this announcement contains
everything they need, this section need only say so). You may give
an Internet address where they can access the materials.* Since
high-speed Internet access is not yet universally available for
downloading documents, there also should be a way for potential
applicants to request paper copies of materials, such as a U.S.
Postal Service mailing address, telephone or FAX number, Telephone
Device for the Deaf (TDD) or Text Telephone (TTY) number, and/or
Federal Information Relay Service (FIRS) number.
2. Content and Form of Application Submission--Required. This
section must identify the required content of an application and the
forms or formats that an applicant must use to submit it. If any
requirements are stated elsewhere because they are general
requirements that apply to multiple programs or funding
opportunities, this section may refer to where those requirements
may be found. This section also should address any preliminary
submissions that the agency requires or encourages, either to
facilitate its own planning or to provide potential applicants with
feedback to help them decide whether to submit a full proposal.
For a full application, this includes all content and forms or
formats that constitute a complete application, including: general
information (e.g., applicant name and address), budgetary
information, narrative programmatic information, biographical
sketches, and all other required information (e.g., documentation
that an applicant meets stated eligibility criteria or
certifications or assurances of compliance with applicable
requirements, such as evidence of compliance with human subjects
requirements). You must either include required forms or formats as
part of this announcement or state where the applicant may obtain
them.
In this section, you should specifically address content and
form or format requirements for:
[sbull] Pre-applications, letters of intent, or white papers
that your agency requires or encourages (see Section IV.3),
including any limitations on the number of pages or other formatting
requirements similar to those for full applications.
[sbull] The application as a whole. For hard copy submissions,
that could include any limitations on the number of pages, font size
and typeface, margins, paper size, number of copies, and sequence or
assembly requirements. If electronic submission is permitted or
required,* that could include special requirements for formatting or
signatures.
[sbull] Component pieces of the application (e.g., if all copies
of the application must bear original signatures on the face page or
the program narrative may not exceed 10 pages). This includes any
pieces that may be submitted separately by third parties (e.g.,
references or letters confirming commitments from third parties that
will be contributing a portion of any required cost sharing).
[sbull] Information that successful applicants must submit after
your agency notifies them of its intent to make awards, but prior to
award. This could include evidence of compliance with human subjects
requirements or information your agency needs to comply with the
National Environmental Policy Act (NEPA).
3. Submission Dates and Times--Required. Your announcement must
identify due dates and times for all submissions. This includes not
only the full applications but also any preliminary submissions
(e.g., letters of intent, white papers, or pre-applications). It
also includes any other submissions of information before award that
are separate from the full application. If the funding opportunity
is a general announcement that is open for a period of time with no
specific due dates for applications, this section should say so.
Note that the information on dates that is included in this section
also must appear with other overview information in a location
preceding the full text of the announcement (see ``Overview
Information'' segment of this format).
For each type of submission that you address, indicate whether
the submission is encouraged or required and, if required, any
deadline date for submission (or dates, if the agency plans more
than one cycle of application submission, review, and award under
the announcement). The announcement must state (or provide a
reference to another document that states):
[sbull] Any deadline in terms of a date and local time.
[sbull] What the deadline means (e.g., whether it is the date
and time by which the agency must receive the application, the date
by which the application must be postmarked, or something else) and
how that depends, if at all, on the submission method (e.g., mail,
electronic, or personal/courier delivery).
[sbull] The effect of missing a deadline (e.g., whether late
applications are neither
[[Page 37378]]
reviewed nor considered or are reviewed and considered under some
circumstances).
[sbull] How the receiving Federal office determines whether an
application or pre-application has been submitted before the
deadline. This includes the form of acceptable proof of mailing or
system-generated documentation of receipt date and time.
This section also may indicate whether, when, and in what form
the applicant will receive an acknowledgment of receipt.
You should consider displaying the above information in ways
that will be easy to understand and use. It can be difficult to
extract all needed information from narrative paragraphs, even when
they are well written. A tabular form for providing a summary of the
information may help applicants for some programs and give them what
effectively could be a checklist to verify the completeness of their
application package before submission. For example, a summary table
might look like:
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit it
----------------------------------------------------------------------------------------------------------------
Preapplication (optional, but Described in Section IV.2 Format described in By (give pre-application
encouraged). of this announcement. section -- of grants due date).
policy manual at (give
URL or where to obtain
the manual)*.
Application:
Cover sheet.................. (per required form)...... Form SF---, available
from (give source).
Budget information........... (per required form)...... Form SF---, available By (give application due
from (give source). date and time).
Narrative.................... Described in Section IV.2 Format described in
of this announcement. Section IV.2 of this
announcement.
Assurance.................... (per required form)...... Form SF---, available
from (give source).
Letters from third parties Third parties' No specific form or
contributing to cost sharing. affirmations of amounts format.
of their commitments.
Statement of intent to comply (per required form)...... Form SF---, available Prior to award, when
with human subjects requirements. from (give source). requested by grants
officer (if application
is successful).
----------------------------------------------------------------------------------------------------------------
4. Intergovernmental Review--Required, if applicable. If the
funding opportunity is subject to Executive Order (EO) 12372,
``Intergovernmental Review of Federal Programs,'' you must say so.
In alerting applicants that they must contact their State's Single
Point of Contact (SPOC) to find out about and comply with the
State's process under EO 12372, you may wish to inform them that the
names and addresses of the SPOCs are listed in the Office of
Management and Budget's home page at: http://www.whitehouse.gov/omb/grants/spoc.html.
5. Funding Restrictions--Required. You must include information
on funding restrictions in order to allow an applicant to develop an
application and budget consistent with program requirements.
Examples are whether construction is an allowable activity, if there
are any limitations on direct costs such as foreign travel or
equipment purchases, and if there are any limits on indirect costs
(or facilities and administrative costs). You also must tell
applicants if awards will not allow reimbursement of pre-award
costs.
6. Other Submission Requirements--Required. This section must
address any other submission requirements not included in the other
paragraphs of this section. This might include the format of
submission, i.e., paper or electronic, for each type of required
submission. Applicants should not be required to submit in more than
one format and this section should indicate whether they may choose
whether to submit applications in hard copy or electronically, may
submit only in hard copy, or may submit only electronically.
This section also must indicate where applications (and any pre-
applications) must be submitted if sent by postal mail, electronic
means, or hand-delivery. For postal mail submission, this should
include the name of an office, official, individual or function
(e.g., application receipt center) and a complete mailing address.
For electronic submission, this should include the URL or e-mail
address; whether a password(s) is required; whether particular
software or other electronic capabilities are required; what to do
in the event of system problems and a point of contact that will be
available in the event the applicant experiences technical
difficulties.*
V. Application Review Information
1. Criteria--Required. This section must address the criteria
that your agency will use to evaluate applications. This includes
the merit and other review criteria that evaluators will use to
judge applications, including any statutory, regulatory, or other
preferences (e.g., minority status or Native American tribal
preferences) that will be applied in the review process. These
criteria are distinct from eligibility criteria that are addressed
before an application is accepted for review and any program policy
or other factors that are applied during the selection process,
after the review process is completed. The intent is to give
applicants visibility into the evaluation process so that they can
make informed decisions when preparing their applications and so
that the process is as fair and equitable as possible.
The announcement should clearly describe all criteria, including
any sub-criteria. If criteria vary in importance, the announcement
should specify the relative percentages, weights, or other means
used to distinguish among them. For statutory, regulatory, or other
preferences, the announcement should provide a detailed explanation
of those preferences with an explicit indication of their effect
(e.g., whether they result in additional points being assigned).
If an applicant's proposed cost sharing will be considered in
the review process (as opposed to being an eligibility criterion
described in Section III.2), the announcement must specifically
address how it will be considered (e.g., to assign a certain number
of additional points to applicants who offer cost sharing, or to
break ties among applications with equivalent scores after
evaluation against all other factors). If cost sharing will not be
considered in the evaluation, the announcement should say so, so
that there is no ambiguity for potential applicants. Vague
statements that cost sharing is encouraged, without clarification as
to what that means, are unhelpful to applicants. It also is
important that the announcement be clear about any restrictions on
the types of cost (e.g., in-kind contributions) that are acceptable
as cost sharing.
2. Review and Selection Process--Required. This section may vary
in the level of detail provided. The announcement must list any
program policy or other factors or elements, other than merit
criteria, that the selecting official may use in selecting
applications for award (e.g., geographical dispersion, program
balance, or diversity).
You also may include other details you deem appropriate. For
example, this section may indicate who is responsible for evaluation
against the merit criteria (e.g., peers external to the agency or
Federal agency personnel) and/or who makes the final selections for
award. If you have a multi-phase review process (e.g., an external
panel advising internal agency personnel who make final
recommendations to the deciding official), you may describe the
phases. You also may include: the number of people on an evaluation
panel and how it operates, the way reviewers are selected, reviewer
qualifications, and the way that
[[Page 37379]]
conflicts of interest are avoided. In addition, if you permit
applicants to nominate suggested reviewers of their applications or
suggest those they feel may be inappropriate due to a conflict of
interest, that information should be included in this section.
3. Anticipated Announcement and Award Dates--Optional. This
section is intended to provide applicants with information they can
use for planning purposes. If there is a single application deadline
followed by the simultaneous review of all applications, the agency
can include in this section information about the anticipated dates
for announcing or notifying successful and unsuccessful applicants
and for having awards in place. If applications are received and
evaluated on a ``rolling'' basis at different times during an
extended period, it may be appropriate to give applicants an
estimate of the time needed to process an application and notify the
applicant of the agency's decision.
VI. Award Administration Information
1. Award Notices--Required. This section must address what a
successful applicant can expect to receive following selection. If
your practice is to provide a separate notice stating that an
application has been selected before you actually make the award,
this section would be the place to indicate that the letter is not
an authorization to begin performance (to the extent that you allow
charging to awards of pre-award costs at the recipient's own risk).
This section should indicate that the notice of award signed by the
grants officer (or equivalent) is the authorizing document, and
whether it is provided through postal mail or by electronic means
and to whom. It also may address the timing, form, and content of
notifications to unsuccessful applicants.
2. Administrative and National Policy Requirements--Required.
This section must identify the usual administrative and national
policy requirements your agency's awards may include. Providing this
information lets a potential applicant identify any requirements
with which it would have difficulty complying if its application is
successful. In those cases, early notification about the
requirements allows the potential applicant to decide not to apply
or to take needed actions before award. The announcement need not
include all of the award terms and conditions, but may refer to a
document (with information about how to obtain it) or Internet site*
where applicants can see the terms and conditions.
If this funding opportunity will lead to awards with some
special terms and conditions that differ from your agency's usual
(sometimes called ``general'') terms and conditions, this section
should highlight those special terms and conditions. Doing so will
alert applicants who have received awards from your agency
previously and might not otherwise expect different terms and
conditions. For the same reason, you should inform potential
applicants about special requirements that could apply to particular
awards after review of applications and other information, based on
the particular circumstances of the effort to be supported (e.g., if
human subjects were to be involved or if some situations may justify
special terms on intellectual property, data sharing or security
requirements).
3. Reporting--Required. This section must include general
information about the type (e.g., financial or performance),
frequency, and means of submission (paper or electronic) of post-
award reporting requirements. Highlight any special reporting
requirements for awards under this funding opportunity that differ
(e.g., by report type, frequency, form/format, or circumstances for
use) from what your agency's awards usually require.
VII. Agency Contact(s)--Required
You must give potential applicants a point(s) of contact for
answering questions or helping with problems while the funding
opportunity is open. The intent of this requirement is to be as
helpful as possible to potential applicants, so you should consider
approaches such as giving:
[sbull] Points of contact who may be reached in multiple ways
(e.g., by telephone, FAX, and/or e-mail, as well as regular mail).
[sbull] A fax or e-mail address that multiple people access, so
that someone will respond even if others are unexpectedly absent
during critical periods.
[sbull] Different contacts for distinct kinds of help (e.g., one
for questions of programmatic content and a second for
administrative questions).
VIII. Other Information--Optional
This section may include any additional information that will
assist a potential applicant. For example, the section might:
[sbull] Indicate whether this is a new program or a one-time
initiative.
[sbull] Mention related programs or other upcoming or ongoing
agency funding opportunities for similar activities.
[sbull] Include Internet addresses for agency Web sites that may
be useful to an applicant in understanding the program (NOTE: you
should make certain that any Internet sites are current and
accessible).*
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\*\ With respect to electronic methods for providing information
about funding opportunities or accepting applicants' submissions of
information, each agency is responsible for compliance with Section
508 of the Rehabilitation Act of 1973, as amended by the Workforce
Investment Act of 1998.
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[sbull] Alert applicants to the need to identify proprietary
information and inform them about the way the agency will handle it.
[sbull] Include certain routine notices to applicants (e.g.,
that the Government is not obligated to make any award as a result
of the announcement or that only grants officers can bind the
Government to the expenditure of funds).
[FR Doc. 03-15798 Filed 6-20-03; 8:45 am]
BILLING CODE 3110-01-P