2 C.F.R. § 200, app I to Part 200
(a) General Requirements.
(1) Requirements for developing NOFOs. In developing a notice of funding opportunity (NOFO), Federal agencies must:
(i) Be concise and use plain language per the guidance at PlainLanguage.gov wherever possible.
(ii) For electronic NOFOs and other information about them, comply with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d ).
(2) Considerations for developing NOFOs. Federal agencies may:
(i) Link to standard content to include required information rather than including the full language in the NOFO. The NOFO should make clear if linked information is critical-for example, standard terms and conditions, administrative and national policy requirements, and standard templates.
(ii) Include links to relevant regulations and other sources.
(iii) Use cross-references between the sections, including hyperlinks in electronic versions.
(3) Required Consistency. Potential applicants must be able to find similar information across all Federal NOFOs. To that end, Federal agencies must include the same or similar section headings and a table of contents with at least these sections:
(i) Basic Information
(ii) Eligibility
(iii) Program Description
(iv) Application Contents and Format
(v) Submission Requirements and Deadlines
(vi) Application Review Information
(vii) Award Notices
(viii) Post-Award Requirements and Administration
(b) Required Sections and Information.
As required below, the Federal agency must include the following sections and information in the text of a NOFO and a table of contents.
(1) Basic Information.
This section provides sufficient information to help an applicant make an informed decision about whether to submit a proposal.
(i) This section must include the following:
(A) Federal Agency Name.
(B) Funding Opportunity Title.
(C)I Announcement Type (whether the funding opportunity is the initial announcement or a modification of a previously announced opportunity).
(D) Funding Opportunity Number (required, if the Federal agency has assigned a number to the funding opportunity announcement).
(E) Assistance Listing Number(s).
(F) Funding Details. The total amount of funding that the Federal agency expects to award, the anticipated number of awards, and the expected dollar values of individual awards, which may be a range.
(G) Key Dates. Key dates include due dates for submitting applications or Executive Order 12372 submissions, as well as for any letters of intent or preapplications. 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; and any other additional information, as deemed applicable by the Federal agency. If possible, the Federal agency should provide an anticipated award date. If the NOFO is evaluated on a "rolling" basis, the Federal agency should provide an estimate of the time needed to process an application and notify the applicant of the Federal agency's decision.
(H) Executive Summary. A brief description that is written in plain language and summarizes the goals and objectives of the program, the target audience, and eligible recipients. The text of the executive summary should not exceed 500 words
(I) Agency contact information.
(ii) This section could include the following:
(A) The amount of funding per Federal award, on average, experienced in previous years.
(B) Whether this is a new program or a one-time initiative.
(2) Eligibility.
This section addresses the factors that determine applicant or application eligibility.
(i) Eligible Applicants. This subsection must identify the following:
(A) A complete and specific list of entity types eligible to apply.
(B) Any additional restrictions on eligibility beyond the type of entity.
(C) Eligibility factors for the principal investigator or project director, if any.
(D) Criteria that would make any particular projects ineligible.
(E) A reference to any funding restriction elsewhere in the NOFO that could affect an applicant's or project's eligibility.
(F) A reference or link to any other factors that would disqualify an applicant or application, such as the responsiveness criteria in 6a.
(G) Any limit on the number of applications an applicant may submit under the announcement. Make clear whether the limitation is on the submitting organization, individual investigator or program director, or both.
(ii) Cost Sharing. This subsection must state:
(A) Whether there is required cost sharing. This statement must be clear that not committing to the required cost sharing will make the application ineligible. If cost sharing is not required, the announcement must say so.
(B) An explanation of the calculation for the required cost sharing. Required cost sharing may be a certain percentage or amount or in the form of contributions of specified items or activities (for example, provision of equipment).
(C) Any restrictions on the types of cost, such as in-kind contributions, acceptable as cost sharing.
(D) Any requirement to commit to cost sharing. This section should refer to the appropriate portions of section (b)(4) stating any pre-award requirements for the submission of letters or other documentation to verify commitments to meet cost-sharing requirements if a Federal award is made.
(3) Program Description. This section contains the full program description of the funding opportunity.
(i) This section must include the following:
(A) The general purpose of the funding and what it is expected to achieve for the public good.
(B) The Federal agency's funding priorities or focus areas, if any.
(C) Program goals and objectives.
(D) A description of how the award will contribute to achieving the program's goals and objectives.
(E) The expected performance goals, indicators, targets, baseline data, data collection, and other outcomes the Federal agency expects recipients to achieve.
(F) For cooperative agreements, the "substantial involvement" that the Federal agency expects to have or should reference where the potential applicant can find that information.
(G) Information on program specific unallowable costs so that the applicant can develop an application and budget consistent with program requirements and any limits on indirect costs.
(H) Any eligibility criteria for beneficiaries or program participants other than Federal award recipients.
(I) Citations for authorizing statutes and regulations for the funding opportunity.
(ii) This section could also include the following:
(A) Any program history, such as whether it is a new program or a new or changed area of program emphasis.
(B) Examples of successful projects funded in the past.
(C) For infrastructure projects subject to Build America, Buy America requirements, information on key items anticipated to be purchased under the program, and any related domestic sourcing concerns based on market research.
(D) Other information the Federal agency finds necessary.
(4) Application Contents and Format. This section must identify the required content of an application and the forms or formats an applicant must use. If any requirements are stated elsewhere, 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.
(i) This section must specifically address content and form or format requirements for:
(A) Whether pre-applications, letters of intent, or white papers are required or encouraged.
(B) The application as a whole.
(C) Component pieces of the application.
(D) Information that successful applicants must submit after notification of intent to make a Federal award but prior to a Federal award. For example, 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 et seq.).
(ii) Within each of the categories above, this subsection must include, where relevant:
(A) Limitations on page numbers.
(B) Formatting requirements, including font and font size, margins, paper size, and color limitations.
(C) Any requirements for file naming, file size limitations, or file format such as PDF.
(D) The number of copies required if paper submissions are allowed.
(E) The sequence required for application sections or components.
(F) Signature requirements, including those for electronic submissions.
(G) Any requirements for third-party information such as references, letters of support, or letters of commitment to the project or to contribute to cost sharing.
(H) A reference to any requirements to provide documentation to support an eligibility determination, such as proof of 501(c)(3) status or an authorizing tribal resolution.
(I) Instructions needed to develop the narrative portions of the application. Include any requirements for its order, format, or required headings.
(J) If applicable, the need to identify proprietary information. Include how to do so and how the Federal agency will handle it.
(5) Submission Requirements and Deadlines.
(i) Address to Request Application Package. This section must include the following:
(A) How to get application forms, kits, or other materials needed to apply. If the announcement contains everything needed, this section needs only say so. If not, the guidance must include:
(1) An internet address where the materials can be accessed.
(2) An email address.
(3) A U.S. Postal Service mailing address.
(4) Telephone number.
(5) Telephone Device for the Deaf (TDD), Text Telephone (TTY) number, or other appropriate telecommunication relay service.
(ii) Unique entity identifier and System for Award Management (SAM.gov). This section must state the requirements for unique entity identifiers and registration in SAM.gov. It must include the following:
(A) Each applicant must:
(1) Be registered in SAM.gov before submitting its application;
(2) Provide a valid unique entity identifier in its application; and
(3) Continue to maintain an active registration in SAM.gov with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal agency.
(B) If individuals are eligible to apply, they are exempt from this requirement under 2 CFR 25.110(b) .
(C) If the Federal agency exempts any applicants from this requirement under 2 CFR 25.110(c) or (d) , a statement to that effect.
(iii) Submission Instructions. This section addresses how the applicant will submit the application. It must include the following:
(A) Actions needed prior to applying:
(1) Instructions on any registrations required to access electronic submission systems or links to them. Where possible, provide the expected time frames needed to complete the registration process.
(B) The methods for submitting the application:
(1) Whether the applicant must submit in electronic or paper form or whether the applicant has an option. Applicants should not be required to submit in more than one format.
(2) Instructions on how to submit electronically or links to them. Must include the URL to the electronic submission system and information on or links to information about the system or software requirements needed by the system.
(3) If the Federal agency allows paper submissions, the process used to approve this option if it is not automatically allowed.
(4) If the Federal agency allows paper submissions, the method for submitting the application. This information must include a postal address and "care of" information needed to route the application to the appropriate person, office, or email address, if the Federal agency allows such submissions.
(C) If applicable, this section also must say how applicants must submit pre-applications, letters of intent, third-party information, or other information required before the award. It must include the following:
(1) Instructions on how to submit electronically or links to them.
(2) Whether the applicant must submit in electronic or paper form or whether the applicant has an option.
(3) If the Federal agency allows paper submissions, the method for submitting the required information. This information must include a postal address and "care of" information needed to route the application to the appropriate person, office, or email address.
(D) This section must also include what to do in the event of system problems and a point of contact who will be available if the applicant experiences technical difficulties.
(iv) Submission Dates and Times. This section must include due dates and times for all submissions. If they are different for electronic and paper submissions, be clear about the differences. This includes the following:
(A) Full applications.
(B) Any preliminary submissions, such as letters of intent, white papers, or pre-applications.
(C) Any other submissions required before Federal award separate from the full application.
(D) 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.
(v) Intergovernmental Review. This section must include the following:
(A) Whether or not the funding opportunity is subject to Executive Order 12372, "Intergovernmental Review of Federal Programs".
(B) If it is applicable, include the following:
(1) A short description of this requirement.
(2) Where applicants can find their State's Single Point of Contact, learn whether their State has an intergovernmental review process, and if so, get information on their State's process. The list of SPOCs is on the Office of Management and Budget's website.
(6) Application Review Information.
(i) Responsiveness Review. This section includes information on the criteria that make an application or project ineligible. These are sometimes referred to as "responsiveness" criteria, "go-no-go" criteria, or "threshold" criteria. Federal agencies may change the title of this section as appropriate. This section must include the following:
(A) A brief understanding of the Federal agency responsiveness review process.
(B) A list and enough detail to understand the criteria or disqualifying factors to be reviewed.
(C) A reference to the regulation or requirement that describes the restriction, if applicable. For example, if entities that have been found to be in violation of a particular Federal statute are ineligible, say so.
(ii) Review Criteria. This section must address the review criteria that the Federal agency will use to evaluate applications for merit. This information includes the merit and other review criteria evaluators will use to judge applications, including any statutory, regulatory, or other 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 the fairness of the process.
(A) This section must include the following:
(1) A clear description of each criterion and sub-criterion used.
(2) If criteria vary in importance, the relative percentages, weights, or other means used to distinguish between them.
(3) For statutory, regulatory, or other preferences, an explanation of those preferences with an explicit indication of their effect, for example, if they result in additional points being assigned.
(4) How an applicant's proposed cost sharing will be considered in the review process if it is not an eligibility criterion in Section 2b. For example, 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. Do not include statements that cost sharing is encouraged without providing clarity about what that means.
(5) The relevant information if the Federal agency permits applicants to nominate reviewers of their applications or suggest those they feel may be inappropriate due to a conflict of interest.
(B) This section could include the following:
(1) The types of people responsible for evaluation against the merit criteria. For example, peers external to the Federal agency or Federal agency personnel.
(2) The number of people on an evaluation panel and how it operates, how reviewers are selected, reviewer qualifications, and how conflicts of interest are avoided.
(iii) Review and Selection Process. This section may vary in the level of detail provided.
(A) It must include the following:
(1) Any program policy, factors, or elements that the selecting official may use in selecting applications for the award. For example, geographical dispersion, program balance, or diversity.
(2) A brief description of the merit review process, including how the Federal agency uses merit review outcomes in final decision-making. For example, whether they are advisory only.
(B) It could also include the following:
(1) Who makes the final selections for awards.
(2) Any multi-phase review methods. For example, an external panel that advises on, makes, or approves final recommendations to the deciding official.
(iv) Risk Review.
(A) This section must include the following:
(1) A brief description of the factors used for the Federal agency's risk review as required by § 200.206 .
(2) If the Federal agency expects that any award under the NOFO will be more than the simplified acquisition threshold during its period of performance, include the following information:
(i) That before making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, the Federal agency must review and consider any information about the applicant that is in the responsibility/qualification records available in SAM.gov (see 41 U.S.C. 2313 ).
(ii) That an applicant can review and comment on any information in the responsibility/qualification records available in SAM.gov.
(iii) That before making decisions in the risk review required by § 200.206 the Federal agency will consider any comments by the applicant, along with information available in the responsibility/qualification records in SAM.gov.
(7) Award Notices. This section must address what a successful applicant can expect to receive following selection.
(i) It must include the following:
(A) If the Federal agency's practice is to provide a separate notice stating that an application has been selected before it makes the Federal award, indicate that the letter is not an authorization to begin performance and that the Federal award is the authorizing document.
(B) If pre-award costs are allowed, beginning performance is at the applicant's own risk.
(C) This section should indicate that the notice of Federal award signed by the grants officer, or equivalent, is the official document that obligates funds, and whether it is provided through postal mail or by electronic means and to whom.
(D) The timing, form, and content of notifications to unsuccessful applicants. See also § 200.211 .
(8) Post-Award Requirements and Administration.
(i) Administrative and National Policy Requirements. Providing information on administrative and policy requirements lets a potential applicant identify any requirements with which it would have difficulty complying. This section must include the following:
(A) A statement related to the "general" terms and conditions of the award, including requirements that the Federal agency normally includes.
(B) Any relevant specific terms and conditions.
(C) Any special requirements that could apply to specific awards after the review of applications and other information based on the particular circumstances of the effort to be supported. For example, if human subjects were to be involved or if some situations may justify specific terms on intellectual property, data sharing, or security requirements.
(D) As in other sections, the announcement need not include all terms and conditions of the award but may refer to documents with details on terms and conditions.
(ii) Reporting. This section includes information needed to understand the post-award reporting requirements. Highlight any special reporting requirements for Federal awards under this funding opportunity that differ from what the Federal agency's Federal awards usually require. For example, differences in report type, frequency, form, format, or circumstances for use. This section must include the following:
(A) The type of reporting required, such as financial or performance.
(B) The reporting frequency.
(C) The means of submission, such as paper or electronic.
(D) References to all relevant requirements, such as those at 2 CFR 180.335 and 180.350 .
(E) 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.
(9) Other Information-Optional. This section may include any additional information to help potential applicants. For example, the section could include the following:
(i) Related programs or other upcoming or ongoing Federal agency funding opportunities for similar activities.
(ii) Current internet addresses for Federal agency websites that may be useful to an applicant in understanding the program.
(iii) Routine notices to applicants. For example, the Federal Government is not obligated to make any Federal award as a result of the announcement, or only grants officers can bind the Federal Government to the expenditure of funds.
2 C.F.R. 200, app I to Part 200