[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]



[[Page 37369]]

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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  

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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

[[Page 37374]]

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