Appendix I to Part 200 - Full Text of Notice of Funding Opportunity
2:1.1.2.2.1.6.48.23.6 : Appendix I
Appendix I to Part 200 - Full Text of Notice of Funding Opportunity
The full text of the notice of funding opportunity is organized
in sections. The required format outlined in this appendix
indicates immediately following the title of each section whether
that section is required in every announcement or is a Federal
awarding 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 following sections to
describe the types of information that a Federal awarding agency
would include in that section of an actual announcement.
A Federal awarding agency that wishes to include information
that the format does not specifically discuss may address that
subject in whatever section(s) is most appropriate. For example, if
a Federal awarding agency chooses to address performance goals in
the announcement, it might do so in the funding opportunity
description, the application content, or the reporting
requirements.
Similarly, when this format calls for a type of information to
be in a particular section, a Federal awarding 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, a Federal
awarding agency may want to include Section A information about the
types of non-Federal entities who are eligible to apply. The format
specifies a standard location for that information in Section C.1
but does not preclude repeating the information in Section A or
creating a cross reference between Section A and C.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.
A. Program Description - Required
This section contains the full program 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 Federal awarding agency's funding
priorities or the technical or focus areas in which the Federal
awarding 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
must include program goals and objectives, a reference to the
relevant Assistance Listings, a description of how the award will
contribute to the achievement of the program's goals and
objectives, and the expected performance goals, indicators,
targets, baseline data, data collection, and other outcomes such
Federal awarding agency expects to achieve, and may include
examples of successful projects that have been funded previously.
This section also may include other information the Federal
awarding agency deems necessary, and must at a minimum include
citations for authorizing statutes and regulations for the funding
opportunity.
B. Federal Award Information - Required
This section provides 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 the Federal awarding agency expects to award through
the announcement; the expected performance indicators, targets,
baseline data, and data collection; the anticipated number of
Federal awards; the expected amounts of individual Federal awards
(which may be a range); the amount of funding per Federal award, on
average, experienced in previous years; and the anticipated start
dates and periods of performance for new Federal awards. This
section also should address whether applications for renewal or
supplementation of existing projects are eligible to compete with
applications for new Federal awards.
This section also must indicate the type(s) of assistance
instrument (e.g., grant, cooperative agreement) that may be
awarded if applications are successful. If cooperative agreements
may be awarded, this section either should describe the
“substantial involvement” that the Federal awarding agency expects
to have or should reference where the potential applicant can find
that information (e.g., in the funding opportunity
description in Section A. or Federal award administration
information in Section D. If procurement contracts also may be
awarded, this must be stated.
C. Eligibility Information
This section addresses the considerations or factors that
determine applicant or application eligibility. 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. Federal agencies should make clear whether an
applicant's failure to meet an eligibility criterion by the time of
an application deadline will result in the Federal awarding agency
returning the application without review or, even though an
application may be reviewed, will preclude the Federal awarding
agency from making a Federal award. Key elements to be addressed
are:
1. Eligible Applicants - Required. Announcements 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 the program is
limited to nonprofit organizations subject to 26 U.S.C. 501(c)(3)
of the tax code (26 U.S.C. 501(c)(3)), the 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 nonprofit
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 D 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 D.6 could affect the eligibility of an
applicant or project, the announcement must either restate that
restriction in this section or provide a cross-reference to its
description in Section D.6.
2. Cost Sharing or Matching - Required. Announcements
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, the announcement 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
described in § 200.306 of this Part. This section should refer to
the appropriate portion(s) of section D. stating any pre-award
requirements for submission of letters or other documentation to
verify commitments to meet cost-sharing requirements if a Federal
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 Federal awards, whether
referred to as “responsiveness” criteria, “go-no go” criteria,
“threshold” criteria, or in other ways), must be clearly stated and
must include a reference to the regulation of requirement that
describes the restriction, as applicable. 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. This section
must also 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. This section should also
address any eligibility criteria for beneficiaries or for program
participants other than Federal award recipients.
D. Application and Submission Information
1. Address to Request Application Package - Required.
Potential applicants must be told how to get application forms,
kits, or other materials needed to apply (if this announcement
contains everything needed, this section need only say so). An
Internet address where the materials can be accessed is acceptable.
However, since high-speed Internet access is not yet universally
available for downloading documents, and applicants may have
additional accessibility requirements, 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), 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 should refer to where those
requirements may be found. This section also should include
required forms or formats as part of the announcement or state
where the applicant may obtain them.
This section should specifically address content and form or
format requirements for:
i. Pre-applications, letters of intent, or white papers required
or encouraged (see Section D.4), including any limitations on the
number of pages or other formatting requirements similar to those
for full applications.
ii. The application as a whole. For all submissions, this would
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, this could include special requirements for formatting or
signatures.
iii. 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).
iv. Information that successful applicants must submit after
notification of intent to make a Federal award, but prior to a
Federal award. This could include evidence of compliance with
requirements relating to human subjects or information needed to
comply with the National Environmental Policy Act (NEPA) (42 U.S.C.
4321-4370h).
3. Unique entity identifier and System for Award Management
(SAM) - Required. This paragraph must state clearly that each
applicant (unless the applicant is an individual or Federal
awarding agency that is excepted from those requirements under 2
CFR 25.110(b) or (c), or has an exception approved by the Federal
awarding agency under 2 CFR 25.110(d)) is required to: (i) Be
registered in SAM before submitting its application; (ii) Provide a
valid unique entity identifier in its application; and (iii)
Continue to maintain an active SAM registration with current
information at all times during which it has an active Federal
award or an application or plan under consideration by a Federal
awarding agency. It also must state that the Federal awarding
agency may not make a Federal award to an applicant until the
applicant has complied with all applicable unique entity identifier
and SAM requirements and, if an applicant has not fully complied
with the requirements by the time the Federal awarding agency is
ready to make a Federal award, the Federal awarding agency may
determine that the applicant is not qualified to receive a Federal
award and use that determination as a basis for making a Federal
award to another applicant.
4. Submission Dates and Times - Required. Announcements
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 Federal 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 § 200.204 of this part).
5. Intergovernmental Review - Required, if applicable. If
the funding opportunity is subject to Executive Order 12372,
“Intergovernmental Review of Federal Programs,” the notice must say
so and applicants must contact their state's Single Point of
Contact (SPOC) to find out about and comply with the state's
process under Executive Order 12372, it may be useful to inform
potential applicants that the names and addresses of the SPOCs are
listed in the Office of Management and Budget's website.
6. Funding Restrictions - Required. Notices 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).
Applicants must be advised if Federal awards will not allow
reimbursement of pre-Federal award costs.
7. 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 must include the name of an office, official, individual or
function (e.g., application receipt center) and a complete mailing
address. For electronic submission, this must include the URL or
email 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
who will be available in the event the applicant experiences
technical difficulties. 1
1 With respect to electronic methods for providing information
about funding opportunities or accepting applicants' submissions of
information, each Federal awarding agency is responsible for
compliance with Section 508 of the Rehabilitation Act of 1973 (29
U.S.C. 794d).
E. Application Review Information
1. Criteria - Required. This section must address the
criteria that the Federal awarding 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 make the application process
transparent so applicants can make informed decisions when
preparing their applications to maximize fairness of the process.
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 C.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 Federal award (e.g., geographical dispersion,
program balance, or diversity). The Federal awarding agency may
also include other appropriate details. For example, this section
may indicate who is responsible for evaluation against the merit
criteria (e.g., peers external to the Federal awarding agency or
Federal awarding agency personnel) and/or who makes the final
selections for Federal awards. If there is a multi-phase review
process (e.g., an external panel advising internal Federal awarding
agency personnel who make final recommendations to the deciding
official), the announcement may describe the phases. It 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 conflicts of interest are avoided. With respect to
electronic methods for providing information about funding
opportunities or accepting applicants' submissions of information,
each Federal awarding agency is responsible for compliance with
Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d).
In addition, if the Federal awarding agency permits 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. For any Federal award under a notice of funding opportunity,
if the Federal awarding agency anticipates that the total Federal
share will be greater than the simplified acquisition threshold on
any Federal award under a notice of funding opportunity may
include, over the period of performance, this section must also
inform applicants:
i. That the Federal awarding agency, prior to making a Federal
award with a total amount of Federal share greater than the
simplified acquisition threshold, is required to review and
consider any information about the applicant that is in the
designated integrity and performance system accessible through SAM
(currently FAPIIS) (see 41 U.S.C. 2313);
ii. That an applicant, at its option, may review information in
the designated integrity and performance systems accessible through
SAM and comment on any information about itself that a Federal
awarding agency previously entered and is currently in the
designated integrity and performance system accessible through
SAM;
iii. That the Federal awarding agency will consider any comments
by the applicant, in addition to the other information in the
designated integrity and performance system, in making a judgment
about the applicant's integrity, business ethics, and record of
performance under Federal awards when completing the review of risk
posed by applicants as described in § 200.206.
4. Anticipated Announcement and Federal 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 Federal awarding agency can include in this
section information about the anticipated dates for announcing or
notifying successful and unsuccessful applicants and for having
Federal 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
Federal awarding agency's decision.
F. Federal Award Administration Information
1. Federal Award Notices - Required. This section must
address what a successful applicant can expect to receive following
selection. If the Federal awarding agency's practice is to provide
a separate notice stating that an application has been selected
before it actually makes the Federal award, this section would be
the place to indicate that the letter is not an authorization to
begin performance (to the extent that it allows charging to Federal
awards of pre-award costs at the non-Federal entity's own risk).
This section should indicate that the notice of Federal 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. See also §
200.211.
2. Administrative and National Policy Requirements -
Required. This section must identify the usual administrative
and national policy requirements the Federal awarding agency's
Federal 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 receiving the Federal award. The announcement need
not include all of the terms and conditions of the Federal award,
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 Federal awards
with some special terms and conditions that differ from the Federal
awarding agency's usual (sometimes called “general”) terms and
conditions, this section should highlight those special terms and
conditions. Doing so will alert applicants that have received
Federal awards from the Federal awarding agency previously and
might not otherwise expect different terms and conditions. For the
same reason, the announcement should inform potential applicants
about special requirements that could apply to particular Federal
awards after the 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-Federal award reporting requirements. Highlight
any special reporting requirements for Federal awards under this
funding opportunity that differ (e.g., by report type,
frequency, form/format, or circumstances for use) from what the
Federal awarding agency's Federal awards usually require. Federal
awarding agencies must also describe in this section all relevant
requirements such as those at 2 CFR 180.335 and 180.350.
If the Federal share of any Federal award may include more than
$500,000 over the period of performance, this section must inform
potential applicants about the post award reporting requirements
reflected in appendix XII to this part.
G. Federal Awarding Agency Contact(s) - Required
The announcement 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 the Federal
awarding agency should consider approaches such as giving:
i. Points of contact who may be reached in multiple ways (e.g.,
by telephone, FAX, and/or email, as well as regular mail).
ii. A fax or email address that multiple people access, so that
someone will respond even if others are unexpectedly absent during
critical periods.
iii. Different contacts for distinct kinds of help (e.g., one
for questions of programmatic content and a second for
administrative questions).
H. Other Information - Optional
This section may include any additional information that will
assist a potential applicant. For example, the section might:
i. Indicate whether this is a new program or a one-time
initiative.
ii. Mention related programs or other upcoming or ongoing
Federal awarding agency funding opportunities for similar
activities.
iii. Include current Internet addresses for Federal awarding
agency Web sites that may be useful to an applicant in
understanding the program.
iv. Alert applicants to the need to identify proprietary
information and inform them about the way the Federal awarding
agency will handle it.
v. Include certain routine notices to applicants (e.g., that the
Federal Government is not obligated to make any Federal award as a
result of the announcement or that only grants officers can bind
the Federal Government to the expenditure of funds).
[78 FR 78608, Dec. 26, 2013, as amended at 80 FR 43310, July 22,
2015; 85 FR 49575, Aug. 13, 2020]