[Federal Register Volume 59, Number 81 (Thursday, April 28, 1994)]
[Unknown Section]
[Page ]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10085]


[Federal Register: April 28, 1994]


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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 930532-3329]
RIN 0648-AF59


Guidelines for Nondiscretionary Financial Assistance

AGENCY: National Oceanic and Atmospheric Administration, Commerce.

ACTION: Notice.

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SUMMARY: The National Oceanic and Atmospheric Administration (NOAA) is 
issuing guidelines to ensure that applications for financial assistance 
under nondiscretionary assistance programs will be processed and 
approved or disapproved within 75 days after submission of the 
application; and that applicants will be notified within 14 days after 
receipt of an application whether or not the application is complete.

DATES: The provisions of this notice become effective April 28, 1994.

FOR FURTHER INFORMATION CONTACT:
David Litton, Chief, Policy & Planning Branch, Grants Management 
Division, room 5440, 1325 East-West highway, Silver Spring MD, 20910; 
telephone (301) 713-0942.

SUPPLEMENTARY INFORMATION: The authority for these guidelines is the 
NOAA Authorization Act of 1992, Public Law No. 102-567, Sec. 404, 15 
U.S.C. 1539 (Supp. IV 1992), which directed that the Secretary develop, 
and after notice and after notice and opportunity for comment, 
promulgate guidelines for processing nondiscretionary assistance awards 
within 75 days after submission of the application to the responsible 
program office of NOAA. In the case of a program for which the 
recipient of a grant, contract, or other financial assistance is 
specified by statute to be, or has customarily been, a State or an 
interstate fishery commission, such financial assistance may be 
provided by the Secretary to that recipient on a sole-source basis, 
notwithstanding any other provision of law. These final guidelines 
include revisions based on comments received on draft guidelines 
published in the Federal Register on August 30, 1993 (58 FR 45487).

Comments and Changes to the Proposed Guidelines

    Following is a summary of the major comments, and a response to 
each comment.

Concurrent Review

    Comment: Concurrent review of applications to the National Marine 
Fisheries Service, as proposed in the draft guidelines, would not be 
practical, because proposals are frequently modified by the program 
office prior to approval for funding.
    Response: Since the program office frequently modifies proposals, 
concurrent review by the program office and the Grants Management 
Divisions will not be provided. Instead, when a application is 
determined by the program office to be complete and acceptable, the 
original application will be forwarded to the Grants Management 
Division as soon as the applicant is notified (within 14 days after 
receipt), to permit prompt administrative review and issuance of an 
award within 75 days after submission. Since applications will not 
receive concurrent review, applications should be submitted only to the 
appropriate program office.

Clarifications

    Comment: The guidelines should define ``Complete application''.
    Response: ``Complete application'' has been defined in the 
guidelines.
    Comment: Will applications be processed in 75 calendar days or work 
days?
    Response: The intent is to process award within 75 calendar days.

Applicability

    Comment: The guidelines should apply to Fishery Management Councils 
and other applicants.
    Response: The guidelines implement a law which defined the 
categories of applications to which it applies. This would not include 
Fishery Management Councils or other applicants unless they fall within 
the definition established by section 404.

Budget Detail

    Comment: Less budget detail should be required for applications 
from States, Commissions, and Councils because they must comply with 
Federally mandated accounting and fiscal procedures.
    Response: Our position is that we require only sufficient detail to 
carry out our responsibility to determine the adequacy and 
reasonableness of proposed costs.

Role of Grants Office

    Comment: Is there duplication of functions between the program 
office and the grants office in reviewing grant applications?
    Response: We do not believe there is duplication between program 
and grants office functions. The program office assures that proposed 
project activities are technically sound and allowable under program 
regulations and that proposed costs are adequate. The Grants Management 
Division assures that financial and administrative requirements are 
met, and that costs are reasonable, allocable, and necessary.

Avilability of Funds

    Comment: The National Marine Fisheries Service should notify 
applicants of the amount of funding available prior to submission of 
applications. Another comment requested a specific time frame after 
funding authorizations become available, within which applicants would 
be notified of the amount of funding available.
    Response: The National Marine Fisheries Service notifies 
applications as soon as possible after it determines how much will be 
available for nondiscretionary awards.

Paperwork Reduction

    Comment: Applicants with more than one award should be required to 
submit certain documents, such as audit and indirect cost information, 
only once a year, instead of once per application.
    Response: To expedite processing, the Grants Management Division 
currently requires a copy of each document for each grant file. We will 
keep this comment in mind for possible future implementation.

Guidelines for National Oceanic and Atmospheric Administration 
Nondiscretionary Assistance

1. Definitions

    ``Complete application'' for a non-construction program means one 
that includes an original and two signed copies of the following 
correctly completed documents: SF-424 ``Application for Federal 
Assistance'', SF-424A ``Budget Information Non-Construction Programs'', 
SF-424B ``Assurances--Non-Construction Programs'', Form CD-511 
``Certifications Regarding Debarment, Suspension and Other 
Responsibility Matters; Drug-Free Workplace Requirements; and 
Lobbying'', Statement of Work, and Detailed Budget and Budget 
Justification. It must also include the following documents, if 
applicable; SF-LLL ``Disclosure of Lobbying Activities'', SF-LLLA 
``Disclosure of Lobbying Activities (Continuation Sheet)'', and current 
Negotiated Indirect Cost Rate Agreement. Administrative or program-
related requirements for specific programs are published annually in 
program announcements, application packages, or other documentation.
    ``Nondiscretionary assistance program'' means any NOAA program for 
providing financial assistance: (1) Under which the amount of funding 
for, and the intended recipient of, the financial assistance is 
specified by Congress; or (2) the recipients of which have customarily 
been a State or an interstate fishery commission.
    Programs whose recipients have customarily been a State or an 
interstate fishery commission are:

Anadromous Fish Conservation Act Program (CFDA 11.405)
Interjurisdictional Fisheries Act of 1986 (CDFA 11.407)
Cooperative Fishery Statistics (CFDA 11.434)
Southeast Area Monitoring & Assessment Program (CFDA 11.435)
Columbia River Fisheries Development Program (CFDA 11.436)
West Coast Fisheries Data Program (CFDA 11.437)
Pacific Salmon Treaty Program (CFDA 11.438)
Marine Mammal Data Program (CFDA 11.439)
Alaska Salmon Enhancement (CFDA 11.458)

2. Notification of Applicant

    A NOAA program office will notify eligible applicants for 
nondiscretionary assistance programs of application requirements and 
deadlines. A complete and acceptable application must be submitted by 
the applicant to the appropriate program office at least 75 days prior 
to the proposed effective date of the award. The applicant must write 
``Nondiscretionary'' in block 8 of the Standard Form 424, Application 
for Federal Assistance, to identify applications subject to these 
guidelines. Within 14 days after receipt of the application, the 
program office will notify the applicant in writing whether the 
application is complete; if it is not, the notification will specify 
what additional material must be provided before the application will 
be considered complete and processing initiated.

3. Processing of Application

    Within 75 calendar days after a complete and acceptable application 
is received, the NOAA Grants Management Division will notify the 
applicant of approval or disapproval of the application.
Classification
    This notice of guidelines was not subject to review by the Office 
of Management and Budget under Executive Order 12866. The Standard 
Forms 424, 424A, 424B and LLL have been approved by the Office of 
Management and Budget pursuant to the Paperwork Reduction Act under OMB 
Control Nos. 0348-0043, 0348-0044, 0348-0040, and 0348-0046. This 
notice does not contain policies with sufficient federalism 
implications to warrant preparation of a federalism assessment under 
E.O. 12612. The General Counsel of the Department of Commerce certified 
to the Chief Counsel for Advocacy of the Small Business Administration 
that these guidelines, if adopted, will not have a significant 
economical impact on a substantial number of small entities because 
they specify only internal procedures for ensuring that NOAA meets the 
deadlines established by section 404 of the NOAA Authorization Act.

    Dated: April 19, 1994.
Diana H. Josephson,
Deputy Under Secretary for Oceans and Atmosphere.
[FR Doc. 94-10085 Filed 04-26-94; 8:45 am]
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