[Federal Register Volume 66, Number 142 (Tuesday, July 24, 2001)]
[Notices]
[Pages 38434-38440]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 01-18358]
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MORRIS K. UDALL SCHOLARSHIP AND EXCELLENCE IN NATIONAL ENVIRONMENTAL
POLICY FOUNDATION
The United States Institute for Environmental Conflict Resolution
Agency Information Collection Activities: Proposed Collection;
Comment Request; U.S. Institute for Environmental Conflict Resolution;
Application for Support From the Environmental Conflict Resolution
(ECR) Participation Program
AGENCY: Morris K. Udall Scholarship and Excellence in National
Environmental Policy Foundation, U.S. Institute for Environmental
Conflict Resolution.
ACTION: Notice.
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[[Page 38435]]
SUMMARY: In compliance with the Paperwork Reduction Act and supporting
regulations, this document announces that the U.S. Institute for
Environmental Conflict Resolution (the U.S. Institute), part of the
Morris K. Udall Foundation, is planning to submit the following
proposed Information Collection Request (ICR) to the Office of
Management and Budget (OMB): Application for Support from the
Environmental Conflict Resolution Participation Program. Before
submitting the ICR to OMB for review and approval, the U.S. Institute
is soliciting comments regarding the proposed information collection
(see Section C, below entitled Questions to Consider in Making
Comments.) This document provides information on the need for the ECR
Participation Program, the information to be provided in the
application form, and the burden estimate for applying for and
documenting activities conducted under the ECR Participation Program.
The application will not be available until all Paperwork Reduction Act
requirements are met.
DATES: Comments must be submitted on or before September 24, 2001.
ADDRESSES: Please direct comments and requests for information,
including copies of the proposed ICR, to: David P. Bernard, Associate
Director, U.S. Institute for Environmental Conflict Resolution, 110
South Church Avenue, Suite 3350, Tucson, Arizona 85701, Fax: 520-670-
5530, Phone: 520-670-5299, E-mail: bernard@ecr.gov.
FOR FURTHER INFORMATION CONTACT: David P. Bernard, Associate Director,
U.S. Institute for Environmental Conflict Resolution, 110 South Church
Avenue, Suite 3350, Tucson, Arizona 85701, Fax: 520-670-5530, Phone:
520-670-5299, E-mail: bernard@ecr.gov.
SUPPLEMENTARY INFORMATION:
A. Title for the Collection of Information
Application for Support from the Environmental Conflict Resolution
(ECR) Participation Program from the U.S. Institute for Environmental
Conflict Resolution.
B. Potentially Affected Persons
State and local governments and agencies, tribes, and non-
governmental organizations who may apply for support to initiate multi-
party, neutral-led conflict resolution processes on environmental and
natural resource issues that involve federal agencies or interests.
C. Questions To Consider in Making Comments
The U.S. Institute for Environmental Conflict Resolution requests
your comments and responses to any of the following questions related
to collecting information as part of the Application for Support from
the Environmental Conflict Resolution Participation Program.
1. Is the proposed application process (``collection of
information'') necessary for the proper performance of the functions of
the agency, including whether the information will have practical
utility?
2. Is the agency's estimate of the time spent completing the
application (``burden of the proposed collection of information'')
accurate, including the validity of the methodology and assumptions
used?
3. Can you suggest ways to enhance the quality, utility, and
clarity of the information collected?
4. Can you suggest ways to minimize the burden of the information
collection on those who are to respond, including through the use of
appropriate automated electronic, mechanical, or other technological
collection techniques or other forms of information technology?
D. Abstract
The U.S. Institute for Environmental Conflict Resolution plans to
collect information in an application form to be submitted by entities
and organizations for the purpose of documenting the need for U.S.
Institute support, both technical and financial, for specific conflict
resolution projects. Through the ECR Participation Program, the U.S.
Institute will provide neutral facilitation and convening services, and
related participation support, for the initiation of agreement-focused
environmental conflict resolution processes. State and local
governments and agencies, tribes, and non-governmental organizations,
may apply for support when it is needed to create balanced stakeholder
involvement processes involving federal agencies or interests.
Responses to the collection of information (the application) are
voluntary, but required to obtain a benefit (financial or technical
support from the U.S. Institute.) 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.
Background Information: U.S. Institute for Environmental Conflict
Resolution. The U.S. Institute for Environmental Conflict Resolution
was created in 1998 by the Environmental Policy and Conflict Resolution
Act (P.L. 105-156). The U.S. Institute is located in Tucson, Arizona
and is part of the Morris K. Udall Foundation, an independent agency of
the executive branch of the federal government. The U.S. Institute's
primary purpose is to provide impartial, non-partisan assistance to
parties in conflicts involving environmental, natural resources, and
public lands issues involving a federal interest. The U.S. Institute
provides assistance in seeking agreement or resolving disputes through
use of mediation and other collaborative, non-adversarial means.
The Need for and Proposed Use of the Information Collected in the
Application for the ECR Participation Program: The ECR Participation
Program is designed to achieve several objectives, consistent with the
U.S. Institute's mission of promoting resolution of environmental
disputes involving federal agencies. The specific objectives for this
program are:
To further the U.S. Institute goal of increasing the use
of ECR in environmental, natural resource, and public lands conflicts
that involve federal agencies.
To encourage high quality dispute resolution processes by
supporting appropriate use of ECR strategies and appropriate balance
among interests involved in the processes.
To support the ability of all affected parties to
participate effectively in ECR processes.
The U.S. Institute conducted an assessment of the need for support
to foster participation by all essential parties in ECR efforts early
in 2001. The U.S. Institute consulted with representatives of
constituencies who would be potential users of this program to
ascertain their views of the need for ECR participation support.
Representatives of environmental groups, natural resource users,
tribes, local and state governments, and ECR practitioners provided
information about the specific needs for such a fund and about criteria
for eligibility.
The consultative contacts identified the following needs for
participation support.
Many opportunities exist to build consensus on
environmental and natural resource issues, but the parties are often
unable to do so without neutral, third party assistance.
State, local, non-governmental, and tribal entities often
lack the technical and financial resources to obtain neutral
feasibility assessments, ECR process design and facilitation.
[[Page 38436]]
Third party assistance is often required to ensure
balanced representation, or a level playing field, for non-
governmental, state and local groups, and others who are not paid to
participate in environmental negotiations and collaborative processes.
There is also a need to provide training in interest-based
negotiations for those working to overcome serious differences on
environmental and natural resource issues.
A participation support program should be easy to use and
accessible to all types of applicants involved in ECR processes, but
particularly to groups and situations that would be less likely than
others to succeed without it.
The U.S. Institute developed guidelines and application forms to
gather information about ECR processes for which support was requested.
The U.S. Institute requires a mechanism for determining if the
applicants meet the criteria for receiving support and for targeting
support to the most promising ECR efforts (i.e. those likely to produce
implementable results through collaboration.) The selection criteria
for U.S. Institute support include:
Required Criteria
The U.S. Institute will target participation support to ECR
efforts:
Where the initiators, co-sponsors, or key parties to the
conflict resolution effort are state or local governments or agencies,
tribes, or non-governmental organizations;
Involving a federal agency or federal interest;
That are, or likely will be, agreement seeking; and
Involve a third party neutral facilitator or mediator who
is a member of the U.S. Institute's Roster of Environmental Dispute
Resolution and Consensus Building Professionals, or who has equivalent
experience.
Discretionary Criteria
The following additional factors will be considered when choosing
among applicants who meet the requirements stated above. Project
support from the U.S. Institute will be more likely when:
The quality of the proposed process would suffer without
support from the U.S. Institute,
Resources from an impartial source (i.e. the U.S.
Institute) would be beneficial to the ECR process,
Applicants demonstrate a commitment to the ECR process
through in-kind contributions, previous collaborative efforts, or
allocations of personnel, time and resources to building consensus on
the issues involved, and/or
The conflict involves resolution of issues that could have
a national impact.
Quarterly progress reports will be used to collect information
about the use of any funding provided and to maintain accountability of
the contracted entity receiving financial support, usually a neutral
facilitator.
The program will be open for applications through September 30,
2003, roughly two years from approval of the information collection
request.
Draft Application Form: The Draft Guidelines and Application Form
are attached. The format of the actual application will be modified to
use fonts, spacing and formatting for optimum electronic use.
E. Burden Statement
The Application Form will be available in both hard copy and
through the U.S. Institute's web site. It is a two-page list of
questions about the proposed ECR effort and the activities that require
support. The application includes suggested budget formats, and is
designed to allow applicants to attach existing documents and, where
possible, reduce the time required for completion of the application.
An application can be submitted electronically, through e-mail, and/or
in hard copy via fax or mail. The required quarterly progress report
form is also included in the application form attached to this
submittal.
The Burden calculation includes time for applicants to complete the
application form and the time required for the submittal of quarterly
reports. It assumes a pool of 15 applicants per year, and assumes that
10 of the applications will be approved. Quarterly reports would be
required only for those ten funded projects. It further assumes an
average of four quarterly project reports per project.
Likely Respondents: State agency staff, local government staff,
non-governmental organizations, tribal governments, and natural
resource user group association staff or members.
Estimated Number of Respondents (per year): 15.
Proposed Frequency of Response: One response per application, plus
up to four quarterly progress reports per year.
Respondent Time Burden Estimates:
Estimated Time per Response for Initial Application: Eight hours.
Estimated Time per Responder for Quarterly Reports: 4 hours per
year (1 hour per report).
Estimated Total Burden Per Year for Applications: 120 hours for 15
applicants.
Estimated Total Burden Per Year for Quarterly Reports: 40 hours for
ten projects.
Respondent Cost Burden Estimates (at $55 per hour (managerial level
salary)):
No capital or start-up costs.
Estimated Cost per Respondent per application: $440.
Estimated Cost per Project for Quarterly Reports: $220.
Estimated Total Annual Cost Burden for 15 Applications: $6,600.
Estimated Total Annual Cost Burden for Quarterly Reports: $2,200.
Estimated Total Annual Cost Burden: $8,800.
Estimated Total Cost Burden, Two Years: $17,600.
Burden means the total time, effort, or financial resources
expended by persons to generate, maintain, retain, or disclose or
provide information to or for a Federal agency. This includes the time
needed to review instructions; develop, acquire, install, and utilize
technology and systems for the purpose of collecting, validating, and
verifying information, processing and maintaining information, and
disclosing and providing information and transmitting information.
(Authority: 20 U.S.C. Sec. 5601-5609)
Dated: July 16, 2001.
Christopher L. Helms,
Executive Director, Morris K. Udall Foundation.
Guidelines
Draft; Do Not Submit
The U.S. Institute for Environmental Conflict Resolution is a
federal program established by the U.S. Congress to assist parties in
resolving environmental, natural resource, and public lands conflicts.
The U.S. Institute is part of the Morris K. Udall Foundation, an
independent agency within the executive branch of the federal
government. The U.S. Institute serves as an impartial, non-partisan
institution providing professional expertise, services, and resources
to all parties involved in such disputes, regardless of who initiates
or pays for assistance. The U.S. Institute helps parties determine
whether collaborative problem solving is appropriate for specific
environmental conflicts, how to bring all the parties to the table when
appropriate, and whether a third-party facilitator or mediator might be
helpful in assisting the parties to resolve the conflict. In addition,
the U.S. Institute provides mediation and facilitation services,
maintains a roster of qualified
[[Page 38437]]
facilitators and mediators with substantial experience in environmental
conflict resolution, and can help parties in selecting a neutral when
asked. (See www.ecr.gov for more information.)
The U.S. Institute has established the ECR Participation Program to
provide support for the full participation of all essential parties in
specific environmental conflict resolution (ECR) efforts. ECR is
defined, for the purposes of this program, as the intervention of a
neutral to assist affected interests in developing and conducting
processes that reach agreement on controversial environmental issues.
This document outlines how eligible parties can apply for U.S.
Institute assistance under the ECR Participation Program.
Objectives of the ECR Participation Program
Consistent with the U.S. Institute's mission of promoting
resolution of environmental disputes involving federal agencies and
other parties, the ECR Participation Program is designed to achieve
several objectives:
To further the U.S. Institute goal of increasing use of
ECR in environmental, natural resource, and public lands conflicts
involving federal agencies.
To encourage high quality dispute resolution processes by
supporting appropriate use of ECR strategies and appropriate balance
among interests involved in the processes.
To increase the ability of all affected parties to
participate effectively in ECR processes.
What Activities Can Be Supported?
The U.S. Institute will provide neutral services and related
participation support for initiation of agreement-focused environmental
conflict resolution efforts. State and local governments, tribes, and
non-governmental organizations may apply for support to initiate multi-
party, neutral-led conflict resolution processes that involve federal
agencies or interests. Support under the ECR Participation Program is
not provided to federal agencies. Participation support is available
for two-phases of ECR activities:
Phase One activities are:
Consultation with the U.S. Institute or a contracted
neutral about the potential for using ECR in a given situation,
Assistance to parties in the identification and selection
of an appropriate neutral, preparation of a scope of work, and contract
management,
A full conflict assessment conducted by a neutral and
involving consultation with all affected interests about the
feasibility and design of a specific ECR project, and/or
Training for potential stakeholders in ECR methods to help
determine whether ECR would be useful to address a specific situation.
Phase Two activities are those that take place after a decision is
made to proceed with an ECR process. If barriers to participation in
that process are identified through a conflict assessment, Phase Two
support could help overcome these barriers. Phase Two support is
available for:
Neutral facilitation services,
Services of technical experts. This support is intended to
help ensure that all parties can contribute fully to consensus
decision-making; it is not provided to support individual interest
groups or caucuses,
ECR project-specific training and other activities that
increase the capacity of negotiation groups to work in an interest-
based and collaborative manner,
Direct costs for meeting logistics, such as meeting
facilities, teleconferencing, and meeting recording services when no
other source of such funding is available,
Direct costs for participants to attend meetings when no
other source of such funding is available, and/or
Other activities that will have a direct impact on
improving the quality of the ECR effort.
Who Should Apply?
Potential initiators, co-sponsors, or key participants in ECR
processes (other than federal agencies) are eligible to apply for U.S.
Institute support. Support will be targeted to situations that meet the
required selection criteria, outlined below.
What Support Is Available?
It is expected that the average project will receive participation
support up to $20,000 for Phase One activities, and no more than
$50,000 for Phase Two. Phase Two support will require an additional
application if the applicant has already received Phase One support. It
would be considered on an expedited basis.
There is no requirement for matching funds for Phase One, although
demonstration of commitment to the ECR process through in-kind support
or match funds from other organizations is encouraged. For Phase Two,
the U.S. Institute will provide no more than 50% of the support
required for that phase.
When funding is for a neutral, the ECR participation support will
be made available through an U.S. Institute contract directly with the
neutral ECR professional. For other activities, the U.S. Institute will
either directly process reimbursement payments or contract with the
applicant.
What Are the Selection Criteria?
Required Criteria
The U.S. Institute will target participation support to ECR
efforts:
Where non-federal entities are the initiators, co-
sponsors, or key parties to the conflict,
Involving a federal agency or federal interest,
That are, or likely to be, agreement seeking, and
Involve a third-party neutral facilitator or mediator who
is a member of the U.S. Institute's roster of Environmental Dispute
resolution and Consensus Building Professionals, or who has equivalent
experience,
For Phase Two projects, a previous conflict assessment and
a 50% or more financial match.
Discretionary Criteria
The following additional factors will be considered when choosing
among applicants who meet the requirements stated above. Project
support from the U.S. Institute will be more likely when:
The quality of the proposed process would suffer without
the support from the U.S. Institute,
Resources from an impartial source (i.e., the U.S.
Institute) would be beneficial to the ECR process,
Applicants demonstrate a commitment to the ECR process
through in-kind contributions, previous collaborative efforts, or
allocations of personnel, time and resources to building consensus on
the issues involved, (a financial match is required for Phase Two
projects) and/or
The conflict involves resolution of issues that could have
a national impact.
How Is a Project Administered?
U.S. Institute support will be provided to the applicant
through a contractual arrangement involving the applicant, the neutral,
and the U.S. Institute, with payment on a reimbursement basis.
Applicants must provide a brief quarterly report for the
duration of the project. A reporting format is provided with the
application form.
Applicants agree to credit the U.S. Institute for any
support received as opportunities arise to do so.
Applicants agree to cooperate in documentation efforts for
case studies and evaluations of the ECR Participation Program and for
other ECR evaluation efforts.
[[Page 38438]]
What Is the Application Process?
The first step in the application process is to thoroughly review
the application form, including the Frequently Asked Questions. Next,
the applicant--which must be a non-federal entity initiating a conflict
assessment--should contact the U.S. Institute by telephone. The ECR
Participation Program manager at the U.S. Institute will help the
applicant determine whether and how to complete the application form.
An ECR Participation Program application can be submitted at any
time. The U.S. Institute will make its decision no later than 30 days
after an application is deemed complete. If an application for support
is declined, a proposal may be modified and resubmitted once more
within the life of the ECR project.
The application must be complete before the U.S. Institute begins
its decision-making review. Assistance with scoping the project tasks
and preparing a budget can be obtained from U.S. Institute staff. The
application must include the following elements:
Name and contact information for the applicant.
A description of the ECR process for which the support
will be used. The description should be a one-page summary with
attachments, covering all of the following items:
A brief overview of the conflict being addressed,
A list of potential participants and their affiliations,
A description of the expected product or agreement,
The suggested neutral, if one has already been identified,
(For Phase Two applications) a copy of the conflict
assessment,
(For Phase Two applications) a copy of the process
groundrules, and a detailed outline of the activities which will be
conducted with the requested support.
A statement outlining how the application meets the
required and discretionary support criteria.
A detailed budget for the support requested.
Project Application Form
An application form is attached, and is also available at the U.S.
Institute website.
For Further Information
Please contact: David Bernard, Associate Director, U.S. Institute
for Environmental Conflict Resolution, 110 South Church Avenue, Suite
3350, Tucson, AZ 85701, Telephone: 520/670-5299, Fax: 520/670-5530, E-
mail: bernard@ecr.gov.
Application Form
(Draft; Do Not Submit)
1. Project Title:
2. Date of Submission:
3. Support requested for______ Phase One______ Phase Two
4. Applicant:
Name:
Address:
Phone:
Fax:
E-mail:
Designated Contact or Project Manager:
5. Description of ECR Project for Which Support Is Requested: (One-
page summary covering the following items. Attach supporting documents,
if available.)
Conflict Addressed by the Project:
List of Potential Participants and their Affiliations:
Agreement or Product Sought:
(For Phase Two applications) Conflict Assessment Results: (A copy
of a written conflict assessment is sufficient.)
(For Phase Two applications) Groundrules for Participants:
6. Outline of Activities for Which Support is Requested: Specify
type of assistance (see list of activities on page two of this
information packet). Outline all tasks or sub activities, creating a
scope of work for the support funded through the U.S. Institute. (See
required format in the budget section and/or consult with the U.S.
Institute for help with this section.)
7. Describe (in no more than two pages) how the application meets
the required and discretionary funding criteria (see list on page three
of this information packet):
8. Budget (see example budget, attached and request U.S. Institute
help with this section, if desired):
A. Specify category(s) of support requested (see list of activities
on page two of this information packet).
B. Assign cost to each activity listed in Item 5 of the
application.
C. Provide a total for the support requested.
D. Attach the total budget for the entire ECR project, if
available.
E. For Phase Two applications, the U.S. Institute will only fund up
to 50% of the total proposed Phase Two costs. The application must
document the sources of the matching funds for the remaining 50%. A
sample budget format that includes a matching component is included.
Please note that incomplete or unclear presentation of project
costs and/or details regarding requested support will result in delays
in processing applications.
Application Budget Format--Phase One Request
Example Budget A: Neutral Conflict Assessment.
(The activities and quantities in this example are for illustrative
purposes only)
Project Title:
Applicant Name:
Category of Support Required: Neutral Conflict Assessment.
------------------------------------------------------------------------
Cost per
Task Hours hour Labor total
------------------------------------------------------------------------
1. Read background on conflict... 6 $100 $600
2. Interview 5 key parties....... 20 100 2,000
3. Interview addtl 25 parties, if 40 100 4,000
warranted.......................
4. Determine feasibility......... 5 100 450
5. Draft feasibility report and 16 100 1,600
recommended process design......
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Total Labor................ ........... ........... 8,700
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[[Page 38439]]
Other Direct Costs
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Dollars
------------------------------------------------------------------------
Neutral Travel for Conflict Assessment:...................... $3,390
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5 trips Phoenix to Boise to interview parties:
Airfare.................................................... 450
Hotel...................................................... 80
Ground transportation...................................... 120
Per diem................................................... 28
----------
Total per trip......................................... 678
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Miscellaneous................................................ 230
Phone........................................................ 100
Reproduction................................................. 30
Postage/Shipping............................................. 100
----------
Total Project Budget................................... 12,320
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Application Budget Formats--Phase Two Requests
Example Budget B: Technical Consultant Services
(The activities and quantities in this example are for illustrative
purposes only)
Project Title:
Applicant Name:
Category of Support Requested: Technical Consultant Services.
------------------------------------------------------------------------
Unit cost
Activity Hours (per hour) Total
------------------------------------------------------------------------
Review technical documents....... 24 100 $2,400
Provide technical advice at 8 64 100 6,400
meetings........................
Consult with subcommittee to 24 100 2,400
produce draft proposals.........
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Total...................... 112 ........... 11,200
------------------------------------------------------------------------
Example Budget C: Meeting Attendance Expenses
(The activities and quantities in this example are for illustrative
purposes only)
Project Name:
Applicant Name:
Category of Support Requested: Support for Meeting Attendance.
Cost per Meeting:
Airfare: $370
Mileage at $.32
Hotel (at govt. per diem for area): $85
Total per participant per mtg.: $455 + mileage, if any
------------------------------------------------------------------------
Number of Cost per
Participant receiving support meetings meeting Total
------------------------------------------------------------------------
John Doe (no mileage)............ 4 $455 $1,820
Jane Doe (no mileage)............ 4 455 1,820
Sally Smith (no airfare, 100 2 117 234
miles)..........................
------------
Total support needed....... ........... ........... 3,874
------------------------------------------------------------------------
Application Budget Formats--Phase Two Requests
Example Budget D: Neutral Facilitation Services with Match
(The activities and quantities in this example are for illustrative
purposes only)
------------------------------------------------------------------------
Requested
U.S. Complete
Budget element Match institute project
support
------------------------------------------------------------------------
Neutral's labor.................. \1\ $7,050 $30,000 $37,050
Neutral's travel................. 4,000 4,000
Neutral's other direct costs 1,000 1,000
(phone, copying, postage, etc.).
Other labor...................... \2\ 5,000 5,000
Mtg. support (meeting rooms, \3\ 20,000 20,000
teleconference, xeroxing, audio
visual, note-taker).............
Technical experts................ \1\ 10,000 10,000
Other costs...................... ........... ........... ...........
--------------------------------------
Totals..................... 42,050 35,000 77,050
Percent of total................. 55 45 100
------------------------------------------------------------------------
\1\ The Metropolitan Planning Council will provide an in-house technical
expert on the subject of the dispute.
\2\ The state environmental agency will contribute the follow staff
hours: 25 hrs. @ $75, 50 hrs. @ $45, and 25 hrs. @ $35 (the rates are
fully burdened, i.e., they include benefits and salary/wages).
\3\ The state agency match for meeting expenses will be provided through
an existing meeting management contract on the project and through in-
kind support. In-kind personnel for note taking will be provided
through a .16 Full Time Equivalent (FTE) staff person (which equals
$5,000). The remaining meeting logistical support of $15,000 will be
provided through a separate agency contract mechanism.
Quarterly Report Form
(Draft; Do Not Submit)
Project Title:
Project Manager:
Period Covered by This Report:
Date of This Report:
Activities Conducted with U.S. Institute Funds Since Last Report
(Attach a 1-2 page summary).
Total Expenses Incurred This Quarter:
Total Budget Amount:
Total Expended this Quarter:
Cumulative Total Expended to Date:
Balance Available for Future Activities: (Attach an expenditure
report showing budgeted amounts for each budget category, together with
expenditures for this reporting period and cumulative expenditures
since the start of the project).
[[Page 38440]]
Additional Comments: (Explain delays, barriers to use of funds,
pace of expenditures, etc.)
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Authorized Signature
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Title
[FR Doc. 01-18358 Filed 7-23-01; 8:45 am]
BILLING CODE 6820-EN-P