[Federal Register Volume 68, Number 123 (Thursday, June 26, 2003)]
[Notices]
[Pages 38053-38063]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-16076]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of Community Services
Compassion Capital Fund Demonstration Program
AGENCY: The Office of Community Services (OCS), Administration for
Children and Families (ACF), Department of Health and Human Services
(HHS).
ACTION: Announcement of the request for competitive applications and
the availability of Federal funding to intermediary organizations to
provide
[[Page 38054]]
technical assistance to faith-based and community organizations.
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CFDA Number: The Catalog of Federal Domestic Assistance Number is
93.647.
SUMMARY: This program announcement announces the availability of funds
for Compassion Capital Fund (CCF) awards. These awards provide
experienced intermediary organizations with funds to deliver technical
assistance to small faith-based and community organizations.
Intermediaries will assist these small groups, for example, in their
efforts to improve program effectiveness and organizational management,
access funds from diverse sources and manage those funds, develop and
train staff, expand the types and reach of social services programs in
their communities and develop promising collaborations among
organizations dedicated to social service delivery. In addition,
recipients of awards under this announcement must issue sub-awards to a
number of qualified faith-based and community organizations for a
variety of capacity-building purposes.
To be eligible for CCF awards, intermediaries should have
established relationships with grassroots faith-based and community
organizations, as well as a proven track record in providing technical
assistance to such groups.
The Administration for Children and Families (ACF) is the agency
designated to issue awards under the Fund. However, the work supported
through such awards is expected to address a broad array of services
and programs and to complement related activities in other parts of HHS
and other Federal departments. CCF will help further the President's
goals and objectives regarding faith-based and community organizations
and will enhance work being supported by multiple Federal agencies. ACF
estimates that the funds available under this announcement will support
an estimated 4-8 cooperative agreements \1\ with intermediary
organizations.
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\1\ A cooperative agreement allows substantial Federal
involvement in the activities undertaken with Federal financial
support.
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The Federal government wishes to partner with applicant
organizations that share the same vision, have similar goals, and are
able to share in the cost of this important set of activities.
Therefore, ACF is seeking applicants who can provide funding for the
proposed project equal to 25 percent of the amount of Federal funds
requested (i.e., one-fourth of the total budget. For example, an
applicant requesting $500,000 in Federal funds would need to provide
$125,000 to the total project. The total budget therefore would be
$625,000. An applicant requesting $250,000 in Federal funds would need
to provide $62,500. The total budget in this circumstance would
therefore be $312,500).
DATES: The closing date for submission of applications is July 28,
2003. Applications received after the closing date will be classified
as late. See Part IV of this announcement for more information on
submitting applications.
In order to determine the number of expert reviewers that will be
necessary, if you plan to submit an application, you are requested, but
not required, to mail, fax, or e-mail written notification of your
intentions at least 15 calendar days prior to the submission deadline
date. Send the notification, with the following information: The name,
address, telephone and fax numbers, and e-mail address of the project
director and the name of the applicant to: OCS Operations Center, 1815
North Fort Myer Drive, Suite 300, Arlington, Virginia 22202 or fax to
(703) 248-8765 or e-mail to [email protected]. Label all submissions as
follows: Intent to Apply for Compassion Capital Fund Demonstration
Program.
FOR FURTHER INFORMATION CONTACT: All questions should be forwarded to
Joseph Grogan, Project Officer for the Compassion Capital Fund at 202-
401-4830 (ph) or [email protected] (email).
SUPPLEMENTARY INFORMATION: This program announcement consists of four
parts: Part I: Background and Program Purpose--legislative authority,
background, and program purpose and objectives; Part II: Project and
Applicant Eligibility--eligible applicants, funding availability and
instruments, cost sharing, and roles and responsibilities under the
cooperative agreement; Part III: The Review Process--intergovernmental
review, initial ACF screening, general instructions for the Uniform
Project Description, competitive review and evaluation criteria, and
review process; and Part IV: The Application Process--required forms,
application limits, checklist for complete application, application
submission, and Paperwork Reduction Act.
Part I. Background and Program Purpose
A. Legislative Authority
Funding under this announcement is authorized by section 1110 of
the Social Security Act governing Social Services Research and
Demonstration activities and the Departments of Labor, Health and Human
Services, and Education, and Related Agencies Appropriations Act, 2003,
Pub. L. 108-7.
B. Background
Faith-based and community organizations have a long history of
providing an array of important services to people and communities in
need of charitable services in the United States. These groups are part
of their communities and possess unique strengths that the government
cannot duplicate. They hold the trust of their neighbors and leaders
and have a keen understanding of the particular needs of the community
and its systems. As a result, they are well positioned to assist
individuals and families with the most pressing needs, such as the
homeless, prisoners reentering the community, children of prisoners,
at-risk youth, addicts, elders in need, and families moving from
welfare to work. Faith-based and community organizations are also
equipped to help couples who choose marriage for themselves, develop
the skills and knowledge to form and sustain healthy marriages.
In recognition of this history and ability, President Bush believes
it is in the public's interest to broaden Federal efforts to work with
faith-based and community organizations and has made improving funding
opportunities for such organizations a priority. A key part of the
effort to enhance and expand the participation of faith-based and
community groups serving those in need is CCF. Intermediary
organizations awarded funds under this announcement will serve as
partners to both the Federal government and to the faith-based and
community organizations that they assist. The intermediaries will
represent a diverse set of affiliations, and will assist community-
level organizations with a range of service goals, target populations,
affiliations, and beliefs.
C. Program Purpose and Objectives
The goal of CCF is to assist faith-based and community
organizations in increasing their effectiveness, enhancing their
ability to provide social services, expanding their organizations,
diversifying their funding sources, and creating collaborations to
better serve those most in need. This will be accomplished through the
funding of established intermediary organizations in well-defined
geographic locations with a proven track record of providing technical
assistance to smaller organizations in their communities. These
intermediary organizations will serve as a bridge between the Federal
government and the faith-based and
[[Page 38055]]
community organizations that this program is designed to assist.
Intermediary organizations will provide two services within their
communities: (1) Technical assistance to a diverse range of faith-based
and community organizations; and (2) technical assistance and financial
support--through sub-awards--to some subset of the faith-based and
community organizations in their communities. ACF's expectations for
these two activities are described more fully below.
ACF expects to work closely with organizations that receive funding
to ensure that CCF monies are used appropriately and in the most
effective manner possible. It has also entered into a contract with an
organization that serves as the National Resource Center (herein also
referred to as the National Center) for these intermediaries. Under
this contract, the National Center provides CCF intermediaries with
support and assistance. Funded organizations must expect to interact
with both ACF and the National Center on an on-going basis and modify
their technical assistance and sub-award plans in coordination with
ACF.
Technical Assistance. ACF seeks intermediary organizations with
demonstrated expertise and a proven track record in working with and
providing technical assistance to faith-based and community
organizations in a variety of areas. Technical assistance activities
funded under the CCF are to be conducted at no cost to interested
faith-based and community organizations. Applicants must have
demonstrated experience in the delivery of capacity-building assistance
to smaller organizations in the following areas:
[sbull] Strategic planning;
[sbull] Financial management;
[sbull] Board development;
[sbull] Fund-raising;
[sbull] Outcome measurement.
Additionally, there is a range of other needs that may
appropriately be provided by the intermediary organizations awarded
funds under this announcement. The following list is meant to be
illustrative, and not exhaustive.
[sbull] Legal assistance in various areas such as the process of
incorporation, and obtaining tax-exempt status;
[sbull] Needs assessments to identify internal areas needing
improvement or areas in which to develop or expand community services
to address service gaps;
[sbull] Development of internal operating controls and procedures
related to all aspects of business management;
[sbull] Facilitation of networks, service coordination, and
resource sharing among organizations;
[sbull] Incorporation of ``best practices'';
[sbull] Expanding outreach and client screening, intake or tracking
methods;
[sbull] Volunteer management;
[sbull] Human resources.
Intermediaries must be established organizations with well-
developed connections to and working relationships with faith-based and
community organizations in well-defined communities. Typically, these
organizations will be located in the same communities as the faith-
based and community organizations that they serve. Organizations that
provide technical assistance through single or short-term contacts
(such as a nationwide series of conferences) are not encouraged to
apply.
Sub-Awards. The program goals will be further accomplished through
the issuance of sub-awards by the funded intermediary organizations to
a diverse set of small faith-based and community organizations that
seek to increase program and organizational effectiveness. The total
amount of sub-awards proposed in an intermediary's application must
represent at least one-quarter or 25 percent of the total Federal
share, though applicants are encouraged to exceed this threshold, if
possible. Applicants must develop sub-award plans that are consistent
with the following principles:
[sbull] Participation in the CCF sub-award program must be open to
faith-based and community-based organizations;
[sbull] Recipients of sub-awards must receive sub-awards through a
competitive process and may not be pre-selected;
[sbull] The approach must include outreach to both faith-based and
community organizations in a fair and open competition;
[sbull] Intermediary organizations must provide on-going technical
assistance and capacity-building support to the organizations to which
they issue sub-awards;
[sbull] The criteria for selection of sub-awardees shall not
include consideration of the religious nature of a group or the
religious nature of the program it offers;
[sbull] Intermediaries shall not require sub-award applicants to
provide matching funds or give them a preference in the selection
process if they offer matching funds in their applications;
[sbull] Intermediaries shall not require sub-award applicants to
have 501(c)(3) status or to identify a sponsoring organization with
501(c)(3) status;
[sbull] As a general rule, organizations that partner with an
intermediary to deliver technical assistance or provide cost-sharing
funds for the proposed project shall not be eligible for sub-awards;
[sbull] Sub-awards should be in amounts that are manageable for a
small organization;
[sbull] Priority for sub-awards should be given to organizations
implementing programs that address priority social service needs, such
as the homeless, elders in need, at-risk youth, families and
individuals in transition from welfare to work, those in need of
intensive rehabilitation such as addicts or prisoners, and
organizations that help couples who choose marriage for themselves, to
develop the skills and knowledge to form and sustain healthy marriages;
[sbull] The sub-award plan should focus on organizations that
historically have not received grants from the Federal government;
[sbull] Capacity-building activities that further the
sustainability of sub-awardees' social service efforts should form the
central focus of an intermediary's proposed sub-award concept. Sub-
awards should be used to assist organizations in differing stages of
development. For example, funds may be provided to fledgling
organizations to improve their basic functions, such as attaining
501(c)(3) status or developing sound financial systems. Sub-awards may
also be provided to promising organizations to expand the reach of
existing programs. Such funding would allow a promising organization to
move to a higher level of service, where it is able assist more people
on a sustainable basis. Uses for such funding might include employing a
key additional staff person; moving to a larger or better-equipped
facility; upgrading case management or informational technology
capabilities; or supporting a new social service; and
[sbull] Sub-awards should not be used for ``direct'' services.
Rather, they should be used to improve the sub-awardees efficiency and
capacity. For example, an organization that distributes food to the
poor should not receive a sub-award simply to purchase additional food.
Nor, for example, should an organization that provides substance abuse
treatment services receive additional funds simply to enable it to
provide exactly the same services to more people. Although these sub-
awards might well enable these organizations to assist additional
individuals, they would not serve to improve the organizations'
sustainability, efficiency, or capacity. Rather, the organizations
would simply use additional funds in the same way
[[Page 38056]]
that it used existing funds, without fundamentally changing or
improving its services.
Plan for Providing Technical Assistance and Sub-Awards. As part of
its application to ACF, each applicant must submit a basic outline of
its sub-award approach, describing the kinds of organizations in its
community that would benefit and examples of activities that it expects
these groups will undertake with sub-award funding. Intermediary
organizations that receive CCF awards will be required to develop, with
guidance from and in consultation with ACF, a detailed plan for this
process within 60 days of receipt of award under this announcement. ACF
must review and approve this plan prior to the issuance of any sub-
awards using Federal funds awarded under this announcement.
Intermediary organizations must report on the use of funds for sub-
awards as they do for other types of expenditures of Federal funds
received as a result of an award under this announcement and as
specified in the Cooperative Agreement. Intermediary organizations will
also be required to develop, with guidance from and in consultation
with ACF, a plan within six months of receipt of award for working with
sub-awardees to develop outcome measures and to evaluate the activities
supported by the sub-awards made with Federal funds under this
announcement.
Applicants must coherently describe their plan both for providing
technical assistance and sub-awards. In providing technical assistance
and in making sub-awards, these plans must provide for the
establishment of ongoing supportive relationships with those faith-
based and community organizations served, rather than single or short-
term interactions. Technical assistance conferences and workshops may
be parts of an applicant's plan, but they must not be its sole focus of
the plan. The plan must also describe how applicants will develop and
build upon existing long-term supportive relationships with the faith-
based and community organizations within their communities.
Further, approved applicants must be willing to work closely with
ACF and any entities funded by ACF to coordinate, assist, or evaluate
the activities of the intermediary organizations providing technical
assistance and issuing sub-awards. Proposed budgets should include the
cost of travel-related expenses for key personnel with responsibility
for the CCF award to attend two two-day meetings with Federal officials
and others in Washington, DC, shortly after awards are made under this
announcement. This meeting will focus on orientation to Federal
objectives for the project, information about related activities
supported by HHS and other Federal agencies,\2\ Federal grants
management requirements, and coordination between and among the
approved intermediary organizations and other entities funded by ACF to
be involved in the CCF initiative.
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\2\ Under the President's Faith-based and Community Initiative
program, Federal agencies have begun to provide technical assistance
and training services to faith-based and community organizations and
address barriers to their participation in Federally sponsored
programs. Successful applicants under this announcement must
coordinate and not duplicate services.
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Legal rules that apply to faith-based organizations that receive
government funds. CCF monies shall not be used to support inherently
religious practices such as religious instruction, worship, or
proselytization. Grant or sub-award recipients, therefore, may not and
will not be defined by reference to religion. Neutral, non-religious
criteria that neither favor nor disfavor religion must be employed in
their selection.
Part II. Project and Applicant Eligibility
The Administration for Children and Families (ACF), Department of
Health and Human Services (HHS) invites eligible entities to submit
applications for the Compassion Capital Fund Demonstration Program.
A. Eligible Applicants
ACF invites applications from a wide variety of organizations or
entities with demonstrated knowledge and experience in the provision of
the types of technical assistance described herein to a diverse group
of faith-based and community organizations. Further, ACF encourages
applications from applicants that propose to work with and have
experience working with faith-based and community organizations that
have not been well served or supported by governmental funds
historically. If organizations propose to collaborate to provide
Compassion Capital Fund intermediary services, they should have well-
developed working relationships and a history of working together prior
to announcement of this funding opportunity.
Fiscal Year (FY) 2002 ACF Compassion Capital Fund grantees who
received FY 2003 continuation funds are ineligible to apply.
Non-governmental organizations, Tribal governmental organizations,
non-profit agencies (including faith-based organizations) public
agencies, State and local governments, colleges and universities, and
for-profit entities may submit applications under this announcement. It
should be noted, however, that no Federal funds received as a result of
this announcement can be paid as profit to grantees or sub-grantees,
i.e., any amount in excess of allowable direct and indirect costs of
the recipient (45 CFR 74.81).
Private, nonprofit organizations are encouraged to submit with
their applications the optional survey located under ``Grant Manuals &
Forms'' at http://www.acf.hhs.gov/programs/ofs/forms.htm
B. Project and Budget Periods
This announcement is inviting applications for project periods up
to three years (36 months). Awards, on a competitive basis, will be for
a 12-month budget period, although project periods may be for three
years. Applications for continuation grants funded under these awards
beyond the one year budget period but within the 36-month project
period will be entertained in subsequent years on a noncompetitive
basis, subject to the availability of funds, satisfactory progress on
the part of the grantee, and a determination that continued funding
would be in the best interest of the Federal Government.
C. Type of Awards
This is a full and open competition for cooperative agreements to
implement and operate CCF projects. A cooperative agreement is Federal
assistance in which substantial Federal Involvement is anticipated.
Responsibilities of Federal Staff and the successful applicants are
negotiated prior to an award. The grantees funded under this
announcement will work collaboratively with the CCF program office on
the development of products and prior to finalization and dissemination
will submit products such as sub-award plans and sub-award assessment
plans to the CCF program office for review and approval.
D. Funding Availability
ACF will issue Financial Assistance Awards under this announcement
as cooperative agreements. ACF expects to award approximately
$4,200,000 in Fiscal Year 2003 for the CCF program and estimates that
4-8 intermediary organizations will receive awards to provide technical
assistance and make sub-awards to smaller faith-based and community
organizations. Applicants shall specify in their budget documents
estimates of the amount of funds to be used for each purpose (technical
assistance and sub-awards). The program goals will be further
[[Page 38057]]
accomplished through the issuance of sub-awards by the funded
intermediary organizations to a diverse set of small faith-based and
community organizations that seek to increase program and
organizational effectiveness. The total amount of sub-awards proposed
in an intermediary's application must represent at least 25 percent of
the total Federal share requested.
ACF reserves the right to award less then the funds described, in
the absence of worthy applications, or under such other circumstances
as may be deemed to be in the best interest of the government.
E. Cost Sharing
Applicants must provide a minimum cost share of twenty-five (25)
percent of the total Federal funds requested for each 12-month budget
period. The non-Federal share may be met by cash or in-kind
contributions, although applicants are encouraged to meet the cost
share through cash contributions. For example, an applicant requesting
$500,000 in Federal funds would include a cost share of at least
$125,000. The total budget for the applicant's project would therefore
be $625,000. An applicant requesting $250,000 in Federal funds would
include a cost share of $62,500. The total budget for the applicant's
project in this circumstance would therefore be $312,500.
F. Roles and Responsibilities Under the Cooperative Agreement
Federal Officials' Minimum Responsibilities
1. Promote collaborative relationships and facilitate the exchange
of information (e.g., identified technical assistance and training
needs, emerging issues, research findings, available resources and
model programs) among intermediary organizations funded under this
announcement and between the funded intermediaries and other entities
or organizations engaged by ACF for purposes related to the Compassion
Capital Fund.
2. Provide consultation to each approved intermediary organization
with regard to the development of work plans, special issues and
concerns and approaches to address problems that arise, and
identification of any special focus areas for technical assistance.
3. Sponsor meetings of all technical assistance providers funded
under the Compassion Capital Fund demonstration program to promote
coordination, information sharing, and access to resources, training,
and learning opportunities.
4. Work together to address issues or problems identified by the
intermediary organization, ACF, or others with regard to the
applicant's ability to carry out the full range of activities included
in the approved application in the most efficient and effective manner.
Applicant's Minimum Responsibilities
1. Develop and implement work plans that will ensure that the
services and activities included in the approved application address
the needs of faith-based and community organizations in an efficient,
effective, and timely manner.
2. Submit regular reports as requested by ACF, but no less
frequently than every six months, on sub-awards made with Federal funds
that include, at a minimum, the name and description of the
organization receiving the sub-award, summary of the purpose of the
award (how the funds are to be used), the amount of the award, and the
proposed plan for outcomes measurement and program evaluation of the
activities that will be supported with sub-award funds made with
Federal funds awarded under this announcement.
3. Work collaboratively with ACF officials, other Federal agency
officials conducting similar activities, the other intermediary
organizations approved under this announcement, and other entities or
organizations engaged by ACF to assist in carrying out the purposes of
the Compassion Capital Fund program.
4. Ensure that key staff participate in ACF sponsored workshops and
meetings.
5. Develop a reporting system and submit required semi-annual
progress and financial reports timely and completely. In addition to
information about sub-awards as specified in item 2, above, the regular
semi-annual reports shall include, at a minimum, information about the
technical assistance provided and unduplicated listings of the
organizations receiving assistance during the period. Such listings
shall include the organization name, type (e.g., faith-based,
community), location, a brief description of the organization, and
brief summary of the technical assistance provided.
6. Submit timely sub-award plans for approval by Federal staff.
7. Develop, with guidance from and in consultation with ACF, a plan
within six months of receipt of award for working with sub-awardees to
develop outcome measures and to evaluate the activities supported by
the sub-awards made with Federal funds under this announcement.
Part III. The Review Process
A. Intergovernmental Review
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, states may design their own
processes for reviewing and commenting on proposed applications for
Federal assistance under covered programs.
As of April 8, 2002, the jurisdictions listed below have elected
not to participate in the Executive Order process. Applicants from
these jurisdictions or for projects administered by Federally
recognized Indian Tribes need take no action in regard to Executive
Order 12372. Although the jurisdictions listed below no longer
participate in the process, grant applicants are still eligible to
apply for a grant even if a state, territory, commonwealth, etc. does
not have a Single Point of Contact (SPOC).
Alabama; Alaska; Arizona; Colorado; Connecticut; Kansas; Hawaii;
Idaho; Indiana; Louisiana; Massachusetts; Minnesota; Montana; Nebraska;
New Jersey; New York; Ohio; Oklahoma; Oregon; Palau; Pennsylvania;
South Dakota; Tennessee; Vermont; Virginia; Washington and Wyoming.
All remaining jurisdictions participate in the Executive Order
process and have established SPOCs. Applicants from participating
jurisdictions should contact their SPOCs as soon as possible to alert
them of the prospective applications and receive instructions. The
applicant must submit all required materials, if any, to the SPOC and
indicate the date of the submittal (or the date of contact if no
submittal is required) on the Standard Form 424, item 16a. Under 45 CFR
100.8(a)(2), a SPOC has 60 days from the application deadline to
comment on proposed new or competing continuation awards. Applicants
must submit any required material to the SPOCs as soon as possible so
that the Federal program office can obtain and review SPOC comments as
part of the award process. A listing of the SPOC for each participating
state and territory with contact and address information is available
at: http://www.whitehouse.gov/omb/grants/spoc.html.
[[Page 38058]]
B. Initial ACF Screening
Each application submitted under this program announcement will
undergo a pre-review to determine that (1) the application was received
by the closing date and submitted in accordance with the instructions
in this announcement and (2) the applicant is eligible for funding.
C. General Instructions for the Uniform Project Description
The Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public Law 104-13 the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations including
program announcements. All information collections within this program
announcement are approved under the following current valid OMB control
numbers 0348-0043, 0348-0044, 034800040, 0348-0046, 0925-0418 and 0970-
0139.
Public reporting burden for this collection is estimated to average
25 hours per response, including the time for reviewing instructions,
gathering and maintaining the data needed and reviewing the collection
of information.
The project description is approved under OMB control
0970-0139 which expires 12/31/03.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
Consistent with the Uniform Program Description format, the
specific evaluation criteria applicable to this program follows in
section D.
1. Objectives and Need for Assistance: Clearly identify the
physical, economic, social, financial, institutional, and/or other
problem(s) requiring a solution. The need for assistance must be
demonstrated and the principal and subordinate objectives of the
project must be clearly stated; supporting documentation, such as
letters of support and testimonials from concerned interests other than
the applicant, may be included. Any relevant data based on planning
studies should be included or referred to in the endnotes/footnotes.
Incorporate demographic data and participant/beneficiary information,
as needed. In developing the project description, the applicant may
volunteer or be requested to provide information on the total range of
projects currently being conducted and supported (or to be initiated),
some of which may be outside the scope of the program announcement.
2. Results or Benefits Expected: Identify the results and benefits
to be derived. For example, when applying for an award to provide
technical assistance to community and faith-based charitable
organizations, describe specific goals of the proposed technical
assistance strategy; e.g., expansion of program capacity; increase in
types of services offered; increased access to funding from different
sources and sectors; improvement in staff capabilities; or replication
of successful program models (``best practices'').
3. Approach: Outline a plan of action which describes the scope and
detail of how the proposed work will be accomplished. Account for all
functions or activities identified in the application. Cite factors
which might accelerate or decelerate the work and state your reason for
taking the proposed approach rather than others. Describe any unusual
features of the project such as design or technological innovations,
reductions in cost or time, or extraordinary social and community
involvement. Describe how the faith-based and community organizations
with which they would work have been underserved by Federal and other
resources in the past and the reasons why the applicant believes its
services would benefit the types of faith- and community-based
organizations intended to be served through the Compassion Capital
Fund. Describe past experience working with faith-based and community
organizations to address social needs.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in, for
example, such terms as the average number of days of technical
assistance to be provided, the number of faith and/or community-based
organizations to be provided services, or number of sub-awards to be
issued to faith- or community-based organizations. When accomplishments
cannot be quantified by activity or function, list them in
chronological order to show the schedule of accomplishments and their
target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by HHS.'' List organizations, cooperating
entities, consultants, or other key individuals who will work on the
project along with a short description of the nature of their effort or
contribution.
4. Geographic Location: Describe the precise location of the
project and boundaries of the area to be served by the proposed
project. Maps or other graphic aids may be attached.
5. Staff and Position Data: Provide a biographical sketch for each
key person appointed and a job description for each vacant key
position. A biographical sketch will also be required for new key staff
as appointed.
6. Budget and Budget Justification: The following guidelines are
for preparing the budget and budget justification. Both Federal and
non-Federal resources shall be detailed and justified in the budget and
narrative justification. For purposes of preparing the budget and
budget justification, ``Federal resources'' refers only to the ACF
grant for which you are applying. Non-Federal resources are all other
Federal and non-Federal resources. It is suggested that budget amounts
and computations be presented in a columnar format: First column,
object class categories; second column, Federal budget, next column(s),
non-Federal budget(s), and last column, total budget. The budget
justification should be a narrative.
General
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. For purposes
of preparing the budget and budget justification, ``Federal resources''
should refer only to the HHS grant for which you are applying. For
these purposes, ``Non-federal resources'' are all other resources. If
other Federal resources will be used, they should be included under
Non-Federal for budget display purposes but other Federal resources may
NOT be used to meet the cost sharing provision, as discussed in Part
II, section D. It is suggested that budget amounts and computations be
presented in a columnar format: First column, object class categories;
second column, Federal budget; next column(s), non-Federal budget(s),
and last column, total budget. The budget justification should be a
narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project (in months), time commitment to the
[[Page 38059]]
project (as a percentage or full-time equivalent), annual salary, grant
salary, wage rates, etc. Do not include the costs of consultants or
personnel costs of delegate agencies or of specific project(s) or
businesses to be financed by the applicant.
Fringe Benefits
Description: Costs of employee fringe benefits unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and percentages
that comprise fringe benefit costs such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
Justification: For each trip, show the total number of traveler(s),
travel destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances. Travel costs for key staff to attend HHS
sponsored workshops should be detailed in the budget.
Equipment
Description: ''Equipment'' means an article of tangible, non-
expendable, personal property having a useful life of more than one
year and an acquisition cost which equals or exceeds the lesser of (a)
the capitalization level established by the organization for the
financial statement purposes, or (b) $5,000. (Note: Acquisition cost
means the net invoice unit price of an item of equipment, including the
cost of any modifications, attachments, accessories, or auxiliary
apparatus necessary to make it usable for the purpose for which it is
acquired. Ancillary charges, such as taxes, duty, protective in-transit
insurance, freight, and installation shall be included in or excluded
from acquisition cost in accordance with the organization's regular
written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of units,
the total cost, and a plan for use on the project, as well as use or
disposal of the equipment after the project ends. An applicant
organization that uses its own definition for equipment should provide
a copy of its policy or section of its policy which includes the
equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which supports
the amount requested.
Contractual
Description: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and sub-recipients, other than States that are
required to use Part 92 procedures, must justify any anticipated
procurement action that is expected to be awarded without competition
and exceed the simplified acquisition threshold fixed at 41 U.S.C.
403(11) (currently set at $100,000). Recipients might be required to
make available to HHS pre-award review and procurement documents, such
as request for proposals or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Construction
N/A.
Other
Enter the total of all other costs. Such costs, where applicable
and appropriate, may include but are not limited to insurance, food,
medical and dental costs (noncontractual), professional services costs,
space and equipment rentals, printing and publication, computer use,
training costs, such as tuition and stipends, staff development costs,
and administrative costs.
Justification: Provide computations, a narrative description and a
justification for each cost under this category.
Indirect Charges
Description: Total amount of indirect costs. This category should
be used only when the applicant currently has an indirect cost rate
approved by the Department of Health and Human Services (HHS) or
another cognizant Federal agency. Applicants without an approved
indirect cost rate may charge related costs as direct costs.
Justification: An applicant that will charge indirect costs to the
grant must enclose a copy of the current rate agreement. If the
applicant organization is in the process of initially developing or
renegotiating a rate, it should immediately upon notification that an
award will be made, develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year in accordance with the
principles set forth in the cognizant agency's guidelines for
establishing indirect cost rates, and submit it to the cognizant
agency. Applicants awaiting approval of their indirect cost proposals
may also request indirect costs. It should be noted that when an
indirect cost rate is requested, those costs included in the indirect
cost pool should not also be charged as direct costs to the grant.
Also, if the applicant is requesting a rate which is less than what is
allowed under the program, the authorized representative of the
applicant organization must submit a signed acknowledgment that the
applicant is accepting a lower rate than allowed.
Program Income
Description: The estimated amount of income, if any, expected to be
generated from this project.
Justification: Describe the nature, source and anticipated use of
program income in the budget or refer to the pages in the application
which contain this information.
Non-Federal Resources
Description: Amounts of non-Federal resources that will be used to
support the project as identified in Block 15 of the SF424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process. A detailed budget must be prepared for
each funding source.
Note: In the SF424A, Section B, Budget Categories, list in
column 2 non-federal resources separately from federal resources,
which must be listed in column 1.
D. Competitive Review and Evaluation Criteria
Applications that have been determined to be eligible for funding
through the initial ACF pre-review screening will be evaluated and
rated by independent review panels on the basis
[[Page 38060]]
of specific evaluation criteria. The evaluation criteria are designed
to assess the quality of the proposed project and to determine the
likelihood of its success. The evaluation criteria are closely related
and are considered as a whole in judging the overall quality of an
application. Points are awarded only to applications that are
responsive to the evaluation criteria within the context of this
program announcement.
There is a 25-page limit for the application narrative. Pages
submitted beyond the first 25 in the application narrative section will
be removed prior to panel review. Applicants should strive to be
concise and provide only the information requested and needed. The
budget portion of the application is not subject to this limitation.
There is no formal page limit for the budget portion of the
application, including the letters detailing the cost-share commitment,
though applicants should take care to ensure that budgets are clear and
easy to understand. Applicants should limit any supporting
documentation to 5 pages. Supporting documentation, including letters
of support, in excess of five pages will be removed prior to review.
Supplemental information (e.g., brochures, reports) not required in
this announcement will not be reviewed. More information about
application submission is provided under Part IV, below.
Proposed projects will be reviewed using the following evaluation
criteria:
1. Approach: (45 Points)
Technical Assistance Strategy (15 points). The application should
describe how the intermediary's assistance to faith-based and community
groups will achieve the broad CCF goals of helping these organizations
improve efficiency and broaden their funding base. Applications should
describe a plan for delivering capacity-building assistance to smaller
organizations in the following areas:
[sbull] Strategic planning;
[sbull] Financial management;
[sbull] Board development;
[sbull] Fund-raising;
[sbull] Outcome measurement.
Applications should also describe any additional activities that
will serve to meet other needs of smaller organizations. Additional
activities may include (but are not limited to) the following:
[sbull] Legal assistance in various areas such as the process of
incorporation, and obtaining tax-exempt status;
[sbull] Needs assessments to identify internal areas needing
improvement or areas in which to develop or expand community services
to address service gaps;
[sbull] Development of internal operating controls and procedures
related to all aspects of business management;
[sbull] Facilitation of networks, service coordination, and
resource sharing among organizations;
[sbull] Incorporation of ``best practices'';
[sbull] Expanding outreach and client screening, intake, or
tracking methods;
[sbull] Volunteer management;
[sbull] Human resources development.
Applications should reflect the following additional
considerations:
[sbull] An applicant's strategy should not focus on any single
technical-assistance activity, such as grants writing. The applicant
should instead describe how it will offer a range of technical
assistance services. Ideal approaches will be multi-tiered and focus on
as many areas of need as is logical and achievable.
[sbull] Technical assistance should be provided on a long-term, on-
going basis to smaller organizations, rather than through single or
short-term contacts (such as a nationwide series of seminars or
conferences).
[sbull] The application should describe the approach the
intermediary will employ to reach out to a diverse range of faith-based
and community organizations needing assistance.
[sbull] Particular attention should be given to including groups
that address priority social service needs, such as the homeless,
prisoners reentering the community, children of prisoners, at-risk
youth, addicts, elders in need, families moving from welfare to work,
and groups that help couples who choose marriage for themselves, to
develop the skills and knowledge to form and sustain healthy marriages.
[sbull] The application should provide a proposed schedule for
accomplishing the activities planned.
[sbull] The application should discuss factors that may negatively
affect the project and how those factors will be addressed.
[sbull] Technical assistance activities funded under the CCF are to
be conducted at no cost to interested faith-based and community
organizations.
Sub-award Strategy (15 points). The application should describe a
plan for making sub-awards to smaller faith-based and community
organizations. This plan should estimate the types and number of
organizations expected to receive funding and the purposes to which
sub-awards may be put. It should also describe the procedures the
applicant will employ to identify and select organizations to receive
sub-awards.
[sbull] Intermediary organizations that receive CCF awards will
develop, with guidance from and in consultation with ACF, a final plan
for making sub-awards within 30 days of receipt of award under this
announcement. This final plan will be based upon the proposal in the
grantee's application, although it may not contain all proposed
elements. ACF must approve the plan prior to the issuance of any sub-
awards using Federal funds awarded under this announcement. Sub-Award
Plans. The following principles underlying the CCF sub-award component
must be evident in the applicant's approach. The total amount of sub-
award funds proposed must represent at least one-quarter the amount of
the total Federal funds requested, though applicants are encouraged to
exceed this 25 percent threshold, if possible. For example, an
applicant seeking $500,000 in Federal funds must propose to distribute
at least $125,000 in sub-awards and an applicant seeking $250,000 in
Federal funds must propose to distribute at least $62,500 in sub-
awards.
[sbull] Participation in the CCF sub-award program must be open to
faith-based and community-based organizations;
[sbull] Recipients of sub-awards must receive sub-awards through a
competitive process and may not be pre-selected;
[sbull] The approach must include outreach to both faith-based and
community organizations in a fair and open competition.
[sbull] Intermediary organizations must provide on-going technical
assistance and capacity-building support to the organizations to which
they issue sub-awards;
[sbull] The criteria for selection of sub-awardees shall not
include consideration of the religious nature of a group or the
religious nature of the program it offers;
[sbull] Intermediaries shall not require sub-award applicants to
provide matching funds or give them a preference in the selection
process if they offer matching funds in their applications;
[sbull] Intermediaries shall not require sub-award applicants to
have 501(c)(3) status or to identify a sponsoring organization with
501(c)(3) status;
[sbull] As a general rule, organizations that partner with an
intermediary to deliver technical assistance or provide cost-sharing
funds for the proposed project shall not be eligible for sub-awards;
[sbull] Sub-awards should be in amounts that are manageable for a
small organization;
[sbull] Priority for sub-awards should be given to organizations
implementing
[[Page 38061]]
programs that address homelessness, elders in need, at-risk youth,
families and individuals in transition from welfare to work, those in
need of intensive rehabilitation such as addicts or prisoners, and
organizations that help couples, who choose marriage for themselves,
develop the skills and knowledge to form and sustain healthy marriages.
[sbull] The sub-award plan should focus on organizations that
historically have not received grants from the federal government;
[sbull] Capacity-building activities that further the
sustainability of sub-awardees' social service efforts should form the
central focus of an intermediary's proposed sub-award concept. Sub-
awards should be used to assist organizations in differing stages of
development. For example, funds may be provided to fledgling
organizations to improve their basic functions, such as attaining
501(c)(3) status or developing sound financial systems. Sub-awards may
also be provided to promising organizations to expand the reach of
existing programs. Such funding would allow a promising organization to
move to a higher level of service, where it is able assist more people
on a sustainable basis. Uses for such funding might include employing a
key additional staff person; moving to a larger or better-equipped
facility; upgrading case management or informational technology
capabilities; or supporting a new social service; and
[sbull] Sub-awards should not be used for ``direct'' services.
Rather, they should be used to improve the sub-awardee's efficiency and
capacity. For example, an organization that distributes food to the
poor should not receive a sub-award simply to purchase additional food.
Nor, for example, should an organization that provides substance abuse
treatment services receive additional funds simply to enable it to
provide exactly the same services to more people. Although these sub-
awards might well enable these organizations to assist additional
individuals, they would not serve to improve the organizations'
sustainability, efficiency, or capacity. Rather, the organizations
would simply use additional funds in the same way they used existing
funds, without fundamentally changing or improving their services.
Past Experience Working with Faith-Based and Community
Organizations to Address Social Needs (15 Points). CCF intermediary
organizations are expected to be established organizations with well-
developed connections to and working relationships with faith-based and
community organizations in well-defined communities. They should also
have demonstrated experience and a proven track record in providing
technical assistance to smaller organizations in their communities. The
applicant should list recent examples of technical assistance it has
provided to faith-based and community organizations, citing dates,
names of groups assisted, and the kind of technical assistance
provided. Closely related experience as a partner in a successful
collaborative effort should be similarly detailed.
2. Budget and Budget Justification: (20 Points)
CCF Project Budget (10 points). The application should include a
budget that is clear, easy to understand, and that provides a detailed
justification for the amount requested. (Applicants should refer to the
budget information presented in the Standard Forms 424 and 424A and to
the budget justification instructions in section C. General
Instructions for the Uniform Project Description. Since non-Federal
reviewers will be used in the review of applications, applicants may
omit from the copies of the application submitted (not from the
original), the specific salary rates or amounts for individuals in the
application budget and instead provide only summary information.)
Cost share (5 points). The basis for an applicant's meeting its
cost sharing commitments must be firm, and cannot be speculative. Cash
commitments to meet the cost sharing requirement are preferable to in-
kind commitments. If the applicant is submitting letters documenting
costs-share commitments from collaborating partners, state, or local
governments or philanthropic organizations, the cost-share letters must
clearly state that these organizations are committed to providing the
funds to the organizations should the applicant be awarded a grant.
Commitments in excess of the 25 percent threshold will not receive
extra points, though applicants should note that applicants will be
held accountable for all cost-share included. Failure to provide the
full amount committed in the grant award may result in disallowance of
Federal match.
Recent Operating Budgets (5 points). The application should
describe, in general, the recent operating budgets of the applicant. A
detailed listing is not required, but the recent size of the
applicant's operating budget should be proportional to the amount
requested under the funding announcement. For example, it would be
inappropriate for an organization that operated with $100,000 in 2001
and $110,000 in 2002 to request $1 million in Federal funds.
Additionally, the applicant should briefly describe why the amount
requested is logical, given the organization's recent operating
budgets.
3. Objectives and Need for Assistance: (10 Points)
Need of faith-based and community organizations to be served (5
points). The application should describe how the project addresses
vital needs of the faith-based and community organizations that will be
provided sub-awards and technical assistance.
Need of communities served (5 points). The application should
describe how the faith-based and community organizations that will
receive technical assistance and sub-awards serve vital needs in their
communities.
4. Geographic Location: (10 Points)
ACF envisions that most CCF-funded intermediary organizations will
be located in the same communities as the faith-based and community
organizations that they serve. Organizations that provide technical
assistance through single or short-term contacts (such as a nationwide
series of conferences) are not encouraged to apply, and proposals for
nationwide projects are not recommended. The application should
include:
[sbull] A description of the precise region to be served, including
the boundaries of the area, and the rationale for proposing the
geographic area. Maps or other graphic aids may be included.
[sbull] Information about the experience and capability of the
applicant to address the needs of faith-based and community
organizations in the proposed region.
[sbull] A detailed description of the population served by faith-
based and community organizations in the proposed area. The narrative
should display an intimate knowledge of the population in the target
area, including statistics and facts that convey an understanding of
the unique needs of the population in the area.
5. Staff and Position Data: (10 Points)
The application should include a listing of key positions required
to carry out the project, the individuals proposed to fill the
positions, and a detailed description of the kind of work they will
perform. The staff should have not only good technical skills, but also
a record of working with faith-based and community organizations. The
application should provide evidence of the staff's skill, knowledge and
experience in carrying out the sort of activities to be assigned to
them and
[[Page 38062]]
include their relevant experience. Similar information should be
provided with regard to consultants or staff from other organizations
proposed to work on the project.
6. Results or Benefits Expected (5 Points)
The application will be judged on the extent to which the benefits
proposed by the applicant are reasonable and likely, will support the
stated goals under this announcement, and can be expected to have a
positive impact on faith-based and community organizations,
particularly very small organizations or those which have not
traditionally been served by Federal and other resources. The
application will also be judged on the extent to which the results are
likely to be beneficial to a wide range of clearly identifiable
parties.
E. The Review Process
Applications received by the due date will be reviewed and scored
competitively. Experts in the field, generally persons from outside the
Federal Government, will use the evaluation criteria listed in Part III
of this announcement to review and score the applications. The results
of this review will be a primary factor in making funding decisions.
ACF may also solicit comments from Regional Office staff and other
Federal agencies. In order to ensure that the interests of the Federal
Government are met in making the final selections, in addition to the
review criteria identified above, ACF may consider a variety of factors
including geographic diversity/coverage and types of applicant
organizations. Further, ACF may limit the number of awards made to the
same or affiliated organizations although they would serve different
geographic areas. In this way, ACF may increase opportunities for
learning about different ways to provide technical assistance and
support to faith-based and community organizations.
Please note that applicants that do not comply with the
requirements in the section on ``Eligible Applicants'' will not be
included in the review process.
Part IV. The Application Process
A. Required Forms
Eligible applicants interested in applying for funds must submit a
complete application including the required forms listed under the
``Checklist for complete application'' in Part IV of this announcement.
All necessary forms are available at: http://www.acf.dhhs.gov/programs/ofs/forms.htm.
In order to be considered for a grant under this announcement, an
application must be submitted on the Standard Form 424 approved by the
Office of Management and Budget under Control Number 0348-0043. Each
application must be signed by an individual authorized to act for the
applicant and to assume responsibility for the obligations imposed by
the terms and conditions of the grant award. Applicants requesting
financial assistance for non-construction projects must file the
Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved
by the Office of Management and Budget under control number 0348-0040).
Applicants must sign and return the Standard Form 424B with their
application.
Applicants must provide a certification regarding lobbying when
applying for an award in excess of $100,000 (approved by the Office of
Management and Budget under control number 0348-0046). Applicants must
sign and return the certification with their application.
Applicants must make the appropriate certification of their
compliance with the Drug-Free Workplace Act of 1988. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the application, applicants are providing the
certification and need not mail back the certification with the
application.
B. Application Limits
Each application should include one signed original and two
additional copies of the following:
The application should be double-spaced and single-sided on 8\1/2\
x 11 plain white paper, with 1'' margins on all sides. Use only a
standard size font no smaller than 12 pitch throughout the application.
All pages of the application (including appendices, resumes, charts,
references/footnotes, tables, maps and exhibits) must be sequentially
numbered, beginning on the first page after the budget justification,
the principal investigator contact information and the Table of
Contents. There is a 25-page limit for the application narrative. Pages
submitted beyond the first 25 in the application narrative section will
be removed prior to panel review. The budget and the cost-share letters
are not included in this limitation, yet applicants are urged to be
concise. There is a 5-page limit to any additional supporting
documentation, including letters of support. Applicants are requested
not to send pamphlets, brochures, or other printed material along with
their applications as these pose copying difficulties. These materials,
if submitted, will not be included in the review process. In addition,
applicants must not submit any additional letters of endorsement beyond
any that may be required. Applicants are encouraged to submit
curriculum vitae in a biographical format.
C. Checklist for a Complete Application
Due to the overwhelming volume of applications received,
applications that are not prepared properly may not be reviewed. Please
ensure that your application is prepared properly.
The checklist below is for your use to ensure that the application
package has been properly prepared.
A. One original, signed and dated application plus two copies.
[sbull] Attachments/Appendices, when included, should be used only
to provide supporting documentation such as resumes, and letters of
agreement/support.
(1) Application for Federal Assistance (SF-424, Rev. 7-97)
(2) Budget information-non-construction programs (SF424A&B)
(3) Budget Justification, including subcontract agency budgets
(4) Application Narrative and Appendices
(5) Assurances Non-Construction Program
(6) Certification Regarding Lobbying
(7) If appropriate, a completed SPOC certification with the date of
SPOC contact entered in line 16, page 1 of the SF-424, Rev. 7-97
D. Application Submission
Deadline
The closing (deadline) time and date for receipt of applications is
4:30 p.m. (Eastern Time Zone) July 28, 2003. Applications received
after 4:30 p.m. will be classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the: OCS Operations Center, 1815 North Fort Myer Drive,
Suite 300, Arlington, Virginia 22202 and labeled:
Application for Compassion Capital Fund Demonstration Program.
Applicants are responsible for mailing applications well in advance,
when using all mail services, to ensure that
[[Page 38063]]
the applications are received on or before the deadline time and date.
Applications hand-carried by applicants, applicant couriers, or
other representatives of the applicant or by overnight/express mail
couriers shall be considered as meeting an announced deadline if they
are received on or before the deadline date, between the hours of 8
a.m. and 4:30 p.m. at: OCS Operations Center, 1815 North Fort Myer
Drive, Suite 300, Arlington, Virginia 22202 and labeled: Application
for Compassion Capital Fund Demonstration Program. Applicants are
cautioned that express/overnight mail services may not always deliver
as agreed.
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
Late applications. Applications that do not meet the criteria above
are considered late applications. ACF shall notify each late applicant
that its application will not be considered in the current competition.
Extension of deadlines. ACF may extend an application deadline for
applicants affected by acts of God such as floods and hurricanes, when
there is widespread disruption of the mail service, or for other
disruptions of services, such as a prolonged blackout, that affect the
public at large. An unfortunate occurrence that affects an applicant is
not considered adequate justification for an extension. A determination
to waive or extend deadline requirements rest with ACF's Chief Grants
Management Officer.
Dated: June 20, 2003.
Curtis L. Coy,
Deputy Assistant Sectretary for Administration.
[FR Doc. 03-16076 Filed 6-25-03; 8:45 am]
BILLING CODE 4184-01-P