[Federal Register Volume 68, Number 120 (Monday, June 23, 2003)]
[Notices]
[Pages 37379-37385]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-15799]
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OFFICE OF MANAGEMENT AND BUDGET
Standard Data Elements for Electronically Posting Synopses of
Federal Agencies' Financial Assistance Program Announcements at
Grants.gov FIND
AGENCY: Office of Management and Budget.
ACTION: Notice of standard data elements.
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SUMMARY: The Office of Federal Financial Management (OFFM) is
establishing a government-wide standard set of data elements for
Federal agencies to use to electronically post, at Grants.gov FIND,
synopses of announcements of funding opportunities under programs that
award discretionary grants or cooperative agreements. The data elements
are designed to give potential applicants: (1) Enough information about
each funding opportunity to decide whether they are interested enough
to look at the full announcement, which contains the detailed
information they need to decide whether they wish to apply; and (2) a
way to get the full announcement electronically (either directly at
Grants.gov FIND or through an electronic link to another Internet
site). The Federal awarding agencies jointly developed these Grants.gov
FIND data elements as one part of the interagency grants streamlining
effort under the Federal Financial Assistance Management Improvement
Act of 1999 (Pub. L. 106-107).
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 on August 12, 2002 (67 FR 52555), the
Office of Management and Budget (OMB) proposed standard data elements
for Grants.gov FIND posting of Federal funding opportunities leading to
the award of grants, cooperative agreements, and other financial
assistance instruments. Grants.gov FIND is modeled after FedBizOpps, an
Internet site established by the General Services Administration, as
the single site for giving the public access to relevant information
about procurement contract opportunities that exceed $25,000. Many of
the proposed data elements
[[Page 37380]]
have been part of a pilot test for Grants.gov FIND, which is to serve
as a single site where Federal agencies will post electronic synopses
of opportunities for financial assistance awards. That function is
expected to be fully operational by October 1, 2003. In response to the
Federal Register notice, OMB received comments from 22 entities: Two
State governments, two local governments; four universities; a group of
universities that participate with Federal agencies in a demonstration
program on research administration; one organization representing non-
profit entities; two non-profit organizations; three for-profit
organizations; and seven Federal agencies. All comments were considered
in developing the final data elements.
We will continue to consider some of the comments separately from
this notice because they address issues that are beyond the scope of
the proposed data elements. Some of the comments (e.g., the general
ability of the public to access the Internet) relate broadly to all of
the E-Government initiatives of the President's Management Agenda (of
which E-Grants is one) and will be considered in that context. Other
comments relate more specifically either to the E-Grants initiative's
policies for, or design of, the Grants.gov FIND site. We and the E-
Grants Program Management Office will address the policy issues as we
establish the requirement for agencies to use the Grants.gov FIND site.
We will consider comments related to system design (e.g., what search
capabilities the system will have) as the E-Grants Program Management
Office finalizes the design of the initial system or makes plans for
future enhancements. Some of these comments may be addressed in a
limited way in this notice, to the extent that they relate to other
comments within the scope of the proposal.
In addition to changes we made in response to comments on the
proposed data elements, we made two other significant changes. First,
we added a data element for ``Announcement Type'' that an agency will
use to indicate whether the Grants.gov FIND synopsis relates to a new
announcement or to a modification of one that the agency issued
previously. Second, we eliminated the data element for ``type of help
available from Federal agency contact,'' because we believe that the
name of the data element ``Federal agency contact for electronic access
problems'' is self-explanatory.
The following sections present a summary of the major comments
grouped by subject and our responses to them. Changes to the Grants.gov
FIND data elements are discussed in the responses to the comments.
II. Comments and Responses
A. General
Comment: One commenter asked us to clarify the relationship of
Grants.gov FIND to the Federal Register. For example, the commenter
asked if every announcement published in the Federal Register would
also appear at Grants.gov FIND and vice versa.
Response: Grants.gov FIND and the Federal Register are
complementary. Grants.gov FIND's primary purposes are to provide: (1) A
synopsis of each funding opportunity, the minimum information people
need in order to quickly decide whether they want to review the full
announcement for that opportunity; and (2) a way to access the full
announcement electronically. The Federal Register is one place an
agency may locate the full announcement to which the synopsis links
electronically.
It is our expectation that, with few exceptions, announcements of
opportunities published in the Federal Register will appear in
Grants.gov FIND. Whether a given opportunity that is synopsized at
Grants.gov FIND will have its full announcement published in the
Federal Register is a question for agencies and their program offices.
Other locations they could consider include the agency's own or an
alternative Internet location.
Comment: Twelve commenters suggested additional data elements,
including: A point of contact for programmatic information; if
collaboration is required; the population to be served; any geographic
restrictions; the countries eligible to be beneficiaries; the source of
funding; whether the opportunity is new; whether there are mandatory
outcomes or performance standards; whether there are any special
security requirements; any limit on the number of applications an
organization may submit; the anticipated number of awards; the duration
of awards; anticipated award amounts (suggestions included a range;
upper and lower limits; or information on awards in various subranges,
such as between $100,000 and $500,000); if matching is required; and,
if so, whether matching may be either in cash or in-kind and at what
percentage of the award amount.
Response: Agree in part. The proposal already included two of the
suggested elements--whether cost sharing is required and the funding
agency. Grants.gov FIND should provide the minimum summary information
that potential applicants need to quickly decide whether they want to
read the full announcement. As we reviewed the other suggested data
elements, we considered that factor and also whether abbreviated
synopsis information would be useful or could instead mislead potential
applicants. Based on that analysis, we added two required data
elements--any ceiling setting a maximum amount for an individual award;
and any floor setting a minimum amount for an individual award. We also
added two optional data elements for the estimated total program
funding and expected number of awards, with a policy statement
encouraging a funding agency to provide this information whenever it is
possible to do so. The funding agency may include the other suggested
information, and an appropriate level of additional detail, in the full
announcement for the funding opportunity.
Comment: Two commenters suggested that information at Grants.gov
FIND be harmonized in content and sequential order with the overview
section of the standard format that we proposed for full announcements
of funding opportunities (a notice at 67 FR 52548, immediately
preceding the August 12, 2002, notice on the proposed Grants.gov FIND
data elements).
Response: Agree in part. To the extent that the same or similar
data elements appear in Grants.gov FIND and the overview portion of the
full announcement, we revised the announcement overview data elements
to ensure substantive consistency with Grants.gov FIND and the same
sequential order. However, it is important to note that Grants.gov FIND
and the overview portion of the full announcement serve different
purposes and all of the information elements should not be identical.
Grants.gov FIND is intended to provide sufficient information to allow
a potential applicant to decide whether to read the full announcement.
A full announcement's overview section provides additional, more
detailed information for people who have decided to review the
announcement and who may be preparing applications.
B. Specific Data Elements
Comment: One commenter asked where to find the issuing Federal
agency's name.
Response: The proposed data elements included the Federal agency
name within the element entitled ``Federal agency mailing address.''
The final set of data elements has an element entitled ``Federal agency
name'' (see response to next comment).
[[Page 37381]]
Comment: Three commenters suggested alternative approaches for the
Federal agency mailing and e-mail addresses. One questioned why the
mailing address was needed in the Grants.gov FIND synopsis. Another
asked for the complete postal mailing address, e-mail address, and
telephone and fax numbers. The third asked that more than one Federal
agency e-mail contact be allowed.
Response: We agree in part. We changed ``Federal agency mailing
address'' to ``Federal agency name.'' Given that the purposes of
Grants.gov FIND are to provide sufficient information to allow a
potential applicant to decide whether to review the full announcement
and to provide a link to that announcement, the only reason that
potential applicants should need to contact the agency after reviewing
the Grants.gov FIND synopsis is if they are having difficulty with the
electronic link to the full announcement. The proposal included data
elements for that purpose, including the name of a Webmaster or other
technical point of contact (called ``Federal agency contact for
electronic access problems'') and his or her e-mail address (called
``Federal agency contact e-mail address''). Other than that, potential
applicants should not need to contact the agency before reading the
announcement, where they will find points of contact for programmatic
or award administration information.
Comment: Two commenters asked why the data elements allowed more
than one Federal agency contact name for help with electronic access
problems, but only one e-mail address. One commenter saw this as an
inconsistency. The second commenter suggested that each name be
associated with an e-mail address and the type of help available. In
addition, this commenter asked that alternate contact information, such
as a telephone number, be provided for those without e-mail.
Response: No change. ``Help desk'' activities for computer hardware
or software system problems generally flow through a single, central e-
mail address accessible by several people rather than through
individual e-mail accounts. Therefore, agencies are given the option to
provide names of multiple individuals at that e-mail address in order
to provide the public with needed service. We did add, as suggested, a
telephone number for contacting the agency for electronic access
problems.
Comment: One commenter expressed concern that the requirement to
provide a Catalog of Federal Domestic Assistance (CFDA) number in the
Grants.gov FIND synopsis would prevent agencies from listing
international funding opportunities. The commenter asked that an
additional or alternative system be used that would include
international opportunities.
Response: We revised the guidance for the CFDA data element to
permit an agency to post funding opportunities under programs that are
not listed in the CFDA. However, doing so does not create a requirement
for agencies to post international funding opportunities at Grants.gov
FIND. The types of agency programs and opportunities that will be
subject to the posting requirement is an issue to be resolved during
the development of the Grants.gov FIND policy document.
Comment: Two commenters requested expansion of the ``Funding
instrument types'' category. One commenter suggested that it would be
helpful for potential applicants to know if the intended instrument is
a discretionary or formula grant. That commenter also indicated that if
an agency selects ``Other,'' there should be a text field to describe
the meaning of ``Other.'' The second commenter requested that we
explicitly include types of assistance instruments beyond those already
specified.
Response: No change. With respect to the comment about formula
grants (which can be discretionary or mandatory), if the Grants.gov
FIND policy document applies the posting requirement to formula grant
opportunities, the Grants.gov FIND user should be able to distinguish
formula programs through other data elements (e.g., the funding
opportunity title and description, as well as the link to additional
program information through the CFDA Number). With respect to a text
field to describe what is in ``other,'' the use of instruments other
than ``standard'' grants, cooperative agreements, or procurement
contracts currently is limited to certain agencies and programs with
special authorities. We believe it is best for the reader to consult
the full announcement for the funding opportunity to learn details
about any additional instruments.
Comment: Seven commenters indicated that the ``categories of
funding activity'' were too broad and did not adequately represent the
specific aspects of many Federal programs. Several of them asked that
we consider using keywords to facilitate the search with more
specificity than allowed by the proposed categories. One commenter
suggested that we include a text field where an agency selecting
``Other'' could provide further information.
Response: Agree in part. We adopted the suggestion to require any
agency choosing the ``Other'' category to use the accompanying text box
to provide additional explanation. We did not create more specific
categories of funding activity. The categories in the proposed data
elements, which closely mirror the categories in the CFDA, are intended
only to provide an initial ``filter'' to narrow the field of
opportunities to match the user's interests. It is unlikely that a
fixed set of categories or keywords could cover the very broad spectrum
of Federal activities and still have the necessary degree of
specificity to let a user search and find only opportunities in a
specific interest area. Current plans for Grants.gov FIND are to have a
full-text search capability and electronic announcements would be
similarly searchable. Nonetheless, we will continue to consider keyword
searches for possible use in the future.
Comment: One commenter suggested the guidance for the ``categories
of funding activity'' encourage agencies to use as many categories as
feasible to adequately characterize the program.
Response: No change. The guidance for this data element already
indicates that the agency may list as many as needed.
Comment: Eight commenters asked for additions or changes to the
proposed categories of eligible applicants. One commenter suggested
adding a separate category for non-profits that do not have 501(c)(3)
status under the Internal Revenue Service (IRS) code. Another commenter
recommended including an ``Other'' category and accompanying text field
that would allow agencies to provide more specific information about
eligible applicant categories than the standard list allowed. Other
commenters addressed the need for greater specificity in the categories
and/or requested a variety of additions.
Response: Agree in part. We changed the proposed category of ``Non-
profits other than institutions of higher education [includes community
action agencies and other organizations having a 501(c)(3) status with
the IRS]'' to ``Non-profits having a 501(c)(3) status with the IRS,
other than institutions of higher education''; and added a new category
for ``non-profits that do not have 501(c)(3) status with the IRS, other
than institutions of higher education.'' We changed ``All others (e.g.,
U.S. Federal or foreign governmental entities and non-profits that do
not have a 501(c)(3) status with the IRS)'' to ``Other'' and added a
text field that is required if ``Other'' is selected. We also changed
``Unrestricted (i.e., open to any
[[Page 37382]]
type of entity below)'' to ``Unrestricted (i.e., open to any type of
entity below), subject to any clarification in the text field entitled
`Additional information on eligibility'.'' We did not otherwise revise
the proposed categories to provide greater specificity, which
appropriately is found in the full announcement.
Comment: Three commenters recommended changes to the data element
entitled ``cost-sharing requirement.'' One commenter suggested that
non-profit organizations may be confused by the term ``cost sharing''
and that the term ``local match'' would be better. The second commenter
asked that the level of cost sharing be included if cost sharing
applies. The third commenter offered that the field should be expanded
to include the type of cost-sharing.
Response: In response to the first comment, we expanded the term
``cost sharing requirement'' to ``cost sharing or matching
requirement,'' terminology 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. We
similarly changed the title of the cost sharing section in the format
for the full announcement of the funding opportunity (see the Federal
Register notice accompanying this one)--we expect that each program
office, in the full text of that section, will use the term that
conforms best with what is predominately used by their communities of
potential applicants.
We did not expand this Grants.gov FIND data element to address the
level or type of cost sharing. It is not essential that people have
those details before deciding whether to review the full announcement.
Moreover, as indicated in a response to a previous comment, additional
information in a Grants.gov FIND data element necessarily is less
detailed than an explanation in a full announcement and therefore could
mislead potential applicants.
Comment: One commenter asked that we clarify that the ``due date
for applications'' data element includes due dates for letters of
intent or pre-proposals.
Response: Agree. We changed the description of this element to
state that the pre-application due date must be provided if a pre-
application is required in order to submit an application.
Comment: One commenter asked why the description of the data
element ``Date of Grants.gov FIND posting'' said that an agency might
post a synopsis to Grants.gov FIND after Federal Register publication
of the full announcement. The commenter suggested that it would be in
the spirit of Grants.gov FIND to have the synopsis posted there as soon
as available.
Response: No change. Ideally, one could post a Grants.gov FIND
synopsis simultaneously with issuing the full announcement (which could
be in the electronic Federal Register or at an Internet site the agency
selects), so that information in the Grants.gov FIND synopsis would let
a user immediately find the announcement as soon as both are posted.
However, perfect synchronization is not practical because one agency
activates the synopsis and another usually issues the full
announcement. The language in the proposal therefore recognizes that an
agency might send the synopsis to Grants.gov FIND and ask that they
build in a small delay before posting it, to ensure that the full
announcement is available electronically as soon as the Grants.gov FIND
synopsis appears. Doing so can avoid unnecessary frustration for
Grants.gov FIND users, as well as trouble reports and questions to
agency officials.
Dated: June 17, 2003.
Linda M. Springer,
Controller.
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Is agency input
Data element Description required?
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Federal agency user User ID of Federal One entry required.
identification. agency
representative who
is authorized to
post information to
the Grants.gov FIND
site.
Federal agency user password Password of Federal One entry required.
agency
representative who
is authorized to
post information to
the Grants.gov FIND
site.
Announcement type........... Type of announcement One entry required.
to which the
synopsis relates:
Initial
announcement..
Modification to
priviously issued
announcement..
Funding opportunity title... The Federal agency's One entry required.
title for the
funding opportunity
(including program
subcomponent names,
as the agency deems
appropriate).
Funding opportunity number.. The number, if any, Optional for initial
that the Federal announcement if you
agency assigns to give no number,
its announcement. Grants.gov FIND
For a modification will assign one.
of a previously Agency input is
issued required for
announcement, use modification.
the funding
opportunity number
of that earlier
announcement.
Catalog of Federal Domestic Number(s) of the At least one entry
Assistance (CFDA) number(s). CFDA listing(s) for required (may list
program(s) included more than one) if
in the announcement the Federal agency
(e.g., 12.300). is subject to the
requirement in 31
U.S.C. chapter 61
to report to the
CFDA. Federal
agencies that have
programs that are
not domestic
assistance, and
therefore are not
listed in the CFDA,
may arrange with
Grants.gov FIND to
insert an
alternative number
that will allow
listing of the
funding
opportunity.
Federal agency name......... Name of the Federal Optional. If you
organization give no office
responsible for the name, Grants.gov
announcement, FIND will insert
including agency the office name you
name and, as gave when you
applicable, initially
specific registered and got
subcomponent (e.g., your user ID and
department, bureau, password.
directorate, or
division).
[[Page 37383]]
Federal agency contact for Should list name of At least one entry
electronic access problems. person (e.g., required. May list
webmaster) to whom more than one.
potential
applicants should
refer questions if
they cannot link
from Grants.gov
FIND to the full
announcement (this
person is distinct
from programmatic
and other agency
contacts who are
listed in the full
announcement).
E-mail address for Federal E-mail address of Required. May list
agency contact for Federal agency only one.
electronic access problems. contact who can
help with
electronic access
problems.
Telephone number for Federal Telephone number of Required. May list
agency contact for Federal agency only one.
electronic access problems. contact who can
help with
electronic access
problems.
Funding opportunity A concise Required.
description. description of the
funding
opportunity,
designed to contain
sufficient
information for
potential
applicants to
decide whether they
are interested
enough to read the
full announcement.
Funding instrument types.... Types of instruments Required. Select all
that may be awarded that apply (up to 4
(codes provided for codes).
system-to-system
interface):
Grant (G)
Cooperative
Agreement (CA)
Procurement Contract
(PC)
Other (O)
Note that if your ....................
announcement states
that you may award
procurement
contracts, as well
as assistance
instruments, the
announcement must
be posted to both
the procurement and
assistance modules
of Grants.gov FIND.
Category of funding activity Designed to allow At least one
potential required and may
applicants to list as many as
narrow their needed. There is no
searches to default value. If
programs in CFDA the category of
categories of funding activity
interest to them. does not clearly
Note that the terms fit in any other
are defined in the listed category,
CFDA. List all must select
categories that ``Other.''
apply (codes
provided for system-
to-system
interface):
Agriculture (AG)
Arts (AR--see
``Cultural
Affairs'' in the
CFDA)
Business and
Commerce (BC)
Community
Development (CD)
Consumer Protection
(CP)
Disaster Prevention
and Relief (DPR)
Education (ED)
Employment, Labor
and Training (ELT)
Energy (EN)
Environment (ENV)
Food and Nutrition
(FN)
Health (HL)
Housing (HO)
Humanities (HU--see
``Cultural
Affairs'' in the
CFDA)
Income Security and
Social Services
(ISS)
Information and
Statistics (IS)
Law, Justice and
Legal Services
(LJL)
Natural Resources
(NR)
Regional Development
(RD)
Science and
Technology and
other Research and
Development (ST)
Transportation (T)
Other (O--see text
field entitled
``Explanation of
other category of
funding activity''
for clarification.)
Explanation of ``other'' A text description Required if an
category of funding of what other agency selects
activity. category or ``other'' as a
categories of category of funding
activity are activity, either by
eligible for itself or in
support under the combination with
funding opportunity. one or more other
categories.
Estimated total program The total amount of Optional. Default,
funding. funding the agency if agency provides
expects to make no input, is ``not
available for available.''
awards under this However, as a
announcement. matter of
Government-wide
policy, agencies
are strongly
encouraged to
provide this
information
whenever possible.
Expected number of awards... The number of Optional. Default,
individual awards if agency provides
the agency expects no input, is ``not
to make under this available.''
announcement. However, as a
matter of
Government-wide
policy, agencies
are strongly
encouraged to
provide this
information
whenever possible.
Ceiling, if any, on amount Any maximum dollar Required. Enter a
of individual award. amount for an number or ``none.''
individual award
under this
announcement that
the awarding agency
will not exceed.
[[Page 37384]]
Floor, if any, on amount of Any minimum dollar Required. Enter a
individual award.. amount for an number or ``none.''
individual award
under this
announcement (i.e.,
if the awarding
agency will not
make smaller awards
under any
circumstance).
How to get full announcement Hypertext stating Required.
where to get the
full announcement.
If it is available
on the Internet,
this field should
include the
descriptor that
precedes the URL
for the full
announcement (e.g.,
``Click on the
following link to
see the full text
of the announcement
for this funding
opportunity:''
Electronic link to full The URL for the full Agency input is
announcement. announcement, optional because
unless the there will be no
announcement is URL if the agency
uploaded in uploads the
Grants.gov FIND. announcement in
Grants.gov FIND and
does not also post
it on the Internet.
Eligible applicants......... Designed to help Required to either
potential select ``99'' for
applicants narrow unrestricted or
their searches to select all others
programs where they that apply.
are most likely to
be eligible,
although they still
must read the full
announcement for
details because
eligibility may be
further limited to
certain subsets of
applicants within
the categories
below (codes
provided for system-
to-system
interface).
99--Unrestricted ....................
(i.e., open to any
type of entity
below), subject to
any exceptions
listed in the text
field entitled
``Additional
information on
eligibility''
Government codes:
00--State
governments.
01--County
governments.
02--City or township
governments.
04--Special district
governments.
05--Independent
school districts.
06--State controlled
institutions of
higher education.
07--Native American
tribal governments
(Federally
recognized).
08--Public housing
authorities/Indian
housing authorities.
Non-Government
organizations:
11--Native American
tribal
organizations
(other than
Federally
recognized tribal
governments).
12--Nonprofits with
501(c)(3) IRS
status, other than
institutions of
higher education
13--Nonprofits
without 501 (c)(3)
IRS status, other
than institutions
of higher education
20--Private
institutions of
higher education.
21--Individuals.....
22--For-profit
organizations other
than small
businesses.
23--Small businesses
Additional information on Explanatory Required if agency
eligibility. information to selects either
provide any needed category 25 or
clarification of category 99 in
the meaning of ``eligible
``unrestricted'' applicants'' field.
(e.g., all but If agency selects
foreign entities), category 99 and
to identify types there are no
of recipients meant further
by ``all others,'' limitations, enter
or to provide ``no
further information restrictions.''
about limitations Optional for
for any other additional
categories (e.g., information related
for categories 6 to any category
and 20, a other than 99 or
limitation to 25.
historically Black
colleges and
universities).
Cost sharing or matching Answer to question: Required.
requirement. Is cost sharing
ormatching
required? (Y or N).
Due date for applications... Date when Required if
applications are ``Explanation of
due (or latest date application due
when applications dates'' field is
accepted, if not completed.
announcement has Optional otherwise.
multiple due dates
or is a general
announcement that
is open for a
specified period
with applications
accepted at any
time during that
period). Note: This
field is to contain
the date when pre-
applications,
rather than
applications, are
due if an applicant
must submit a pre-
application to be
considered for an
award.
[[Page 37385]]
Explanation of application Used by agencies Optional (note ``Due
due dates. wishing to post date for
more information applications''
about due date(s) field is required
for potential if this
applicants. For ``Explanation of
example, the field application due
may be used to dates'' text field
describe programs is not completed).
with multiple due
dates or ones where
applications are
accepted, reviewed,
and funded at any
point within a
broad time window.
The field also may
be used to add
information about
the time when
applications are
due (e.g., 5 p.m.
EDT on the date
given in the ``Due
date for
applications''
field).
Date of Grants.gov FIND Month, day, and year Required.
posting. when the agency
wants the synopsis
posted on
Grants.gov FIND
(e.g., some
agencies may build
in delays to allow
announcements to
appear first in the
Federal Register or
at agency Internet
sites. Format is
MMDDCCYY.
Date for Grants.gov FIND to Month, day, and year Optional. Default,
archive. when the agency if agency provides
wants the synopsis no input, is 30
archived. Format is days after the date
MMDDCCYY. given in the ``Due
date for
applications''
field.
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[FR Doc. 03-15799 Filed 6-20-03; 8:45 am]
BILLING CODE 3110-01-P