HHS Transmittal 00.01 (2/28/00)

Part 2 PRE-AWARD

Section 03 Information for Potential Applicants for Competing Grants

1. Principles

Purpose. This Grants Policy Directive (GPD) provides guidance to HHS staff in developing and providing information to potential applicants for HHS grant awards. It also provides guidance concerning application submission deadlines.

Scope. The policies in this GPD apply to all HHS discretionary grants and cooperative agreements.

2. Policy

It is HHS policy to promote the widest possible dissemination of information to potential applicants concerning the availability of funding opportunities.

Applications for competing awards may be solicited only on the basis of a written solicitation. For HHS, the term "program announcement" is used to refer to all types of financial assistance solicitations, including announcements and Requests for Applications in the Federal Register, notices in the National Institutes of Health (NIH) Guide for Grants and Contracts, and approved alternative means of notification outlined in this GPD. Competing applications may not be solicited formally or informally on any other basis.

OPDIVs should publish their program announcements as early as feasible in order to promote equity for all eligible applicants.

OPDIVs are encouraged to provide applicants at least 60 days from the date of publication of a program announcement to prepare and submit applications; however, no less than 30 days shall be provided when there is competition for funds.

Program announcements for competing funding opportunities should be as clear and comprehensive as possible to limit the need for potential applicant consultation with OPDIV staff. If OPDIV staff do provide telephonic or other informal consultation, they must provide consistent interpretations and treat all requesters fairly.

3. Dissemination of Information about Funding Opportunities

For HHS, the primary vehicle for publishing information about funding availability is the Federal Register. All types of program announcements as well as the notices required by GPD 2.04 F for urgent, sole-source, or unsolicited applications must be published in the Federal Register except as indicated in paragraphs 2.03C.3. and 4. below. The complete program announcement is required to be published unless it is considered a "standing announcement" as provided in paragraph 2.03C.2.

Programs having essentially identical competitions are encouraged to publish the full announcement in the Federal Register only once (with updates published, as necessary, to address changed information) rather than publishing a complete program announcement for each separate competition. However, when using standing announcements, OPDIVs should publish a notice in the Federal Register at least annually to alert potential new applicants to the availability of funding.

Program announcements for competing funding opportunities, including standing announcements, related to biomedical and behavioral research to be funded by NIH or other OPDIVs may be published in the NIH Guide for Grants and Contracts in lieu of the Federal Register. For purposes of this GPD and GPD 2.04.F, applications submitted to NIH (or other OPDIVs) for review and assignment by the Center for Scientific Review, NIH, are considered "solicited."

When eligibility under a program announcement is limited to a known universe of applicants, e.g., State agencies, an OPDIV may use alternative means of notification, including targeted mailings or electronic notification, in lieu of Federal Register publication. The OPDIV must ensure that all eligible applicants are notified when using such alternative means.

In addition to these required means of notification, OPDIVs are encouraged to use other media (e.g., newspapers and magazines), as appropriate. OPDIVs are especially encouraged to maximize their use of the Web for this purpose.

Consistent with the requirements of this GPD, OPDIVs are also encouraged to streamline and simplify the program announcement process to better serve applicants and/or to reduce HHS administrative effort. An example of such a practice is the HRSA Preview (http://www.hrsa.dhhs.gov/grantsf.htm).

When multiple media sources are used to disseminate information about funding opportunities, OPDIVs should attempt to ensure that potential variations in the information provided and the timing of information release do not create an unfair advantage to the users of one media source rather than another.

4. Minimum Content Requirements for Program Announcements

Published program announcements are the OPDIVs= formal means of notifying the public about the availability of funding and the OPDIV=s intentions. These announcements must not only provide adequate information on which potential applicants can judge whether to submit an application, but they must also be able to withstand scrutiny concerning the fairness and equity of the competition. The minimum requirements for announcements of competing funding opportunities are as follows:

Catalog of Federal Domestic Assistance (CFDA) number for the program/project to be funded. If the request for assignment of a CFDA number is pending, the announcement should indicate this.

An estimate of the aggregate amount of Federal funds that may be available for award and the expected size and number of individual awards. If applications with budgets exceeding a certain dollar amount will not be considered, this must be stated.

Applicant eligibility.

How to obtain an application kit if the application (and related submission requirements) are not part of the notice itself.

If the announcement is expected to result in the award of a cooperative agreement(s), that possibility must be mentioned as well as the type of anticipated substantive involvement qualifying the award as a cooperative agreement relationship. This language should be tailored to the specific type(s) of activities that may be funded under the program announcement.

Evaluation criteria that will be applied to the review of applications and recommendations for award. If the criteria are not of equal value, then the criteria should be listed in descending order of priority with a notation to that effect. If any other criteria will be applied (e.g., initial screening criteria or preferences), they should be described and their effect stated (e.g., removal from further consideration, extra points, etc.).

Whether the applicant will be required to match or share in project costs if an award is made, any application requirements related to matching or cost sharing, and the manner in which proposed matching or cost sharing will be evaluated (e.g., scored evaluation criterion or preference factor as specified in 2.03D.1.f. above).

Where to submit applications and whether applications can be submitted in any medium other than hard-copy.

The deadline for submitting applications (see paragraph 2.03.E. below).

A statement indicating the applicability of Executive Order 12372 and 45 CFR Part 100, and additional guidance pertinent to the intergovernmental review process, as appropriate.

Notices of intent to fund sole-source, urgent, or unsolicited applications shall include the information required by GPD 2.04F.

5. Deadlines for Submission of Competing Applications

The HHS standard with respect to application deadlines is that, to be considered timely, applications must be sent on or before the published deadline date. OPDIV Chief Grants Management Officers (GMOs) may authorize other ways of determining timeliness, but these requirements must be identified in the program announcement.

Competing applications not meeting the deadline specified in the program announcement are considered late applications and may not be considered in the current competition. OPDIVs are responsible for notifying applicants submitting late applications and either returning the application or advising the applicant of its disposition.

The OPDIV=s Chief GMO may authorize a general extension of a published application deadline when justified by circumstances such as acts of God (e.g., floods or hurricanes), widespread disruptions of mail service, or other disruptions of services, such as a prolonged blackout, that affect the public at large.

6. Responsibilities

Chief GMO. In addition to any specific responsibilities indicated above, the Chief GMO is responsible for approving all program announcements.

Awarding Office GMO. The awarding office GMO is responsible for:

Working with program staff to ensure that program announcements meet the requirements of this GPD and any OPDIV requirements.

Complying with the OPDIV=s/ awarding office=s program announcement clearance process, including the timing, documentation, and coordination required, including providing the program announcement to the Chief GMO for approval prior to issuance.

Coordinating with the OPDIV SADBUS on planned funding opportunities to maximize the potential participation of the types of businesses indicated in paragraph 2.03F.4. below.

Serving as the focal point for business-management-related questions from potential applicants.

Project Officer or Other Responsible Program Staff. This individual(s) is responsible for:

Undertaking planning activities as part of strategic planning and budgeting activities.

Developing draft program announcements and coordinating with the awarding office GMO early enough in the fiscal year to allow the OPDIV to comply with the requirements of GPD 2.03B.3 and B.4 (as well as facilitating a fair and equitable review process and timely awards).

Providing the programmatic content required to make the program announcement a clear and complete document. In particular, this includes not only a statement of program or project objectives, but also the information required by GPD 2.03D.1.e., f., and g.

Providing the program announcement to the awarding office GMO for review and clearance.

OPDIV Small and Disadvantaged Business Utilization Specialist (SADBUS). The OPDIV SADBUS will ensure that small, minority, and women-owned business concerns are aware of competing funding opportunities for which such entities are eligible.

7. Salary Information

   If non-Federal reviewers will be used to evaluate applications, applicants should be advised they have the option to omit, from the application copies that will be made available to non-Federal reviewers, the specific salary rates or amounts for individuals identified in the application budget. Rather, only summary salary information is required. OPDIVs should provide any additional guidance deemed necessary in relation to this requirement.