[Federal Register Volume 59, Number 130 (Friday, July 8, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-16479]


[[Page Unknown]]

[Federal Register: July 8, 1994]


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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No.940560-4160; I.D. 042194C]
RIN: 0648-ZA07

 

Financial Assistance for Information on the Antarctic Marine 
Ecosystem

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), Department of Commerce.

ACTION: Notice of availability of financial assistance.

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SUMMARY: Subject to the availability of funds, NMFS issues this notice 
describing funding for directed scientific research conducted under the 
Antarctic Living Marine Resources program and the conditions under 
which applications will be accepted and how NMFS will determine which 
applications will be funded.

DATES: Applications for funding under this program will be accepted 
between July 8, 1994, and 4:30 p.m. Pacific standard time on August 5, 
1994. Applications received after that time will not be considered for 
funding. No facsimile applications will be accepted. Awards are 
expected to be made by November 1, 1994.

ADDRESSES: Send applications to: Dr. Roger P. Hewitt, Krill Studies and 
Field Operations Director, Antarctic Ecosystem Research Group, 
Southwest Fisheries Science Center, National Marine Fisheries Service, 
8604 La Jolla Shores Drive, La Jolla, CA 92037.
    Requests for application packages should be sent to: Jean West, 
Chief, Grants Operation Branch, NOAA SSMC2, OA321, 1325 East-West 
Highway, Silver Spring, MD 20910, telephone 301-713-0926.

FOR FURTHER INFORMATION CONTACT: Dr. Roger P. Hewitt, 619-546-5602.

SUPPLEMENTARY INFORMATION:

I. Authority

    The Antarctic Marine Living Resources Convention Act of 1984 (Act) 
(Title III of Pub.L. 98-623, 16 U.S.C. 2431 et seq.) provides the 
legislative authority necessary to implement, with respect to the 
United States, the Antarctic Living Marine Resources (AMLR) program. 
One of the principal tenets of the Act is that the harvest of Antarctic 
marine living resources shall be managed with the goal of preserving 
species diversity and stability of the entire Antarctic marine 
ecosystem. The AMLR program was created to provide information needed 
to advise the U.S. delegation to the Commission for the Conservation of 
Antarctic Marine Living Resources (CCAMLR), part of the Antarctic 
treaty system.

II. Catalog of Federal Domestic Assistance (CFDA).

    This program is described in the Catalog of Federal Domestic 
Assistance under program number 11.446 Antarctic Marine Living 
Resources.

III. Program Description

    The Act provides for Federal agency cooperation in carrying out the 
policies and objectives of the Convention or to implement any decision 
of CCAMLR. It further provides that the Secretary of Commerce, in 
conjunction with the Director of the National Science Foundation, the 
Secretary of State, and the heads of other appropriate Federal 
agencies, shall design and conduct a program of directed scientific 
research pursuant to a plan entered in accordance with the Act. The 
plan is to describe priority directed research and identify needs to be 
fulfilled by the United States. The research to be funded is pursuant 
to 16 U.S.C. 2441 in support of the U.S. AMLR program, which provides 
information needed to formulate U.S. policy on the conservation and 
international management of resources living in the oceans surrounding 
Antarctica.
    The AMLR program monitors finfish and krill fisheries, projects 
sustainable yields where possible, and formulates management advice and 
options. In addition, the program conducts field research designed to 
describe the functional relationships between krill, their predators, 
and key environmental variables.
    The field work to be funded will be accomplished during a research 
cruise conducted in the vicinity of Elephant Island, Antarctica, during 
the months of January, February, and March, 1995. A large-area survey 
grid of approximately 90 stations and covering the area around 
Elephant, Clarence, and the eastern end of King George Islands will be 
occupied twice. In addition, station transects across hydrographic 
features, directed net sampling, fine-scale acoustic surveys, and other 
specialized studies will be conducted. Additional research details will 
be provided to principal investigators prior to the cruise.
    Sampling gear and supplies may be loaded aboard the NOAA Ship 
Surveyor in Seattle in mid-November, 1994, and during a port call in 
San Diego in late November, 1994. The scientific party will fly to 
Punta Arenas, Chile, to meet the ship in late December, 1994. Proposals 
should include cost of travel to and from Punta Arenas, Chile. Airline 
tickets bought with cooperative agreement funds must be fully 
refundable and reservations alterable due to last minute changes in 
ship scheduling. There will be two mid-cruise port calls in Punta 
Arenas, and a final Punta Arenas port call in late March, 1995, prior 
to the ship's departure to return to Seattle.
    Depending on funding availability, a post-cruise data workshop for 
principal investigators may be held in San Diego at the end of May, 
1995. The Government will provide travel reimbursement for this meeting 
if it should occur; the cost of travel for this meeting should not be 
included in proposals.
    A report of accomplishments and tentative conclusions will be due 
from each principal investigator by April 1, 1995. Copies of all data 
sets on magnetic media will be due to the Southwest Fisheries Science 
Center no later than June 1, 1995. At least one article summarizing the 
field work will be prepared by each principal investigator for the 
annual review issue of the U.S. Antarctic Journal and will be due to 
the Southwest Fisheries Science Center by June 15, 1995. In addition, 
it is expected that results will be published in peer-reviewed 
journals. Proposals should include provisions for the preparation of 
collaborative manuscripts, publishing costs, and presentation of 
significant results at scientific meetings.
    It is highly desirable that the principal investigators participate 
in the field work. Minimum requirements for each of the three research 
components are listed in this notice (see Funding Priorities). 
Applicants are encouraged to propose research elements to be conducted 
in addition to the minimum requirements; however, funding will not be 
increased for these additional elements.

IV. Funding Availability

    Under this solicitation, NMFS estimates that up to $185,000 will be 
available to fund three cooperative agreements for research on the 
Antarctic marine ecosystem for 1 year: (1) Physical oceanography, for 
$65,000; (2) phytoplankton and primary productivity, $65,000; and (3) 
krill (Euphausia superba) demographics, $55,000. Publication of this 
notice does not obligate NMFS to award any specific cooperative 
agreement or to obligate all or any part of the available funds.

V. Matching Requirements

    Applications must reflect the total budget necessary to accomplish 
the project, including contributions and/or donations by the applicant 
or third parties. Cost sharing is not required for the AMLR program. 
However, cost sharing is encouraged and may be considered in the final 
selection of proposals.
    The appropriateness of cost sharing will be determined on the basis 
of guidance provided in applicable Office of Management and Budget 
(OMB) Circulars and Federal cost principles. If an applicant chooses to 
cost-share, and if that application is selected for funding, the 
applicant will be bound by the percentage of the cost share reflected 
in the cooperative agreement award.
    The non-Federal share may include the applicant's cash and/or in-
kind contributions or amounts received from private sources or from 
state or local governments including the value of in-kind 
contributions. Federal funds may not be used to meet the non-Federal 
share of matching funds, except as provided by Federal statute. In-kind 
contributions may be in the form of, but are not limited to, personal 
services rendered in carrying out functions related to the project, and 
use of real or personal property owned by others (for which 
consideration is not required) in carrying out the project.

VI. Type of Funding Instrument

    Cooperative agreements will be used to fund this program since NMFS 
is substantially involved in developing program research and priorities 
and will work closely with the recipient to carry out the contemplated 
activity throughout the project period. Three cooperative agreements 
will be awarded to conduct research on the Antarctic marine ecosystem 
in a 15,000 square mile (38,850 km2) area around Elephant Island, 
South Shetland Islands, Antarctica.

VII. Eligibility Criteria

    A. Applications for cooperative agreements under the AMLR research 
program may be made, in accordance with the procedures set forth in 
this notice, by any individual, state agency, university or college, 
institution, or laboratory, or any public or private nonprofit 
institution or organization qualified to perform the research described 
in this notice.
    B. NOAA employees, including full-time, part-time, and intermittent 
personnel (or their immediate families), and NOAA offices or centers 
are not eligible to submit an application under this solicitation, or 
aid in the preparation of an application.

VIII. Award Period

    Awards under this program are normally for 1 year. Project dates 
should be scheduled to begin November 1, 1994, and end October 31, 
1995.

IX. Indirect Costs

    The total dollar amount of the indirect costs proposed in an 
application under this program must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award or 100 percent of the total 
proposed direct costs dollar amount in the application, whichever is 
less. A copy of the current, approved or negotiated indirect cost rate/
agreement with the Federal Government should be included with the 
application, if available. Otherwise, the applicant will be required to 
submit documentation to its cognizant agency to establish an indirect 
cost rate within 90 days of the award date or be precluded from drawing 
down further indirect costs until the documentation is provided.

X. Application Forms

    Applications for project funding must be complete. Applicants are 
advised that failure to include all required information outlined in 
this notice, or to complete required forms, may have a detrimental 
effect on the evaluation of the application.
    Applicants are encouraged to obtain application packages and forms 
from the NOAA Grants Management Division (see ADDRESSES).
    A. An original and two signed copies of all of the following items 
are required from the applicant:
    1. SF-424, ``Application for Federal Assistance;''
    2. SF-424A, ``Budget Information-Non-Construction Programs;''
    3. SF-424B, ``Assurances-Non-Construction Program;''
    4. Budget with necessary supporting detail, i.e., budget narrative/
breakdown;
    5. Copy of current approved Negotiated Indirect Cost Rate 
Agreement, if available;
    6. Financial Audit Information, signed and dated, including date of 
organization's last financial audit and period covered by audit; any 
negative findings indicated and if so, how they were resolved; date of 
next scheduled audit and period to be covered by scheduled audit (copy 
of financial statement should not be included);
    7. CD-511, ``Certifications Regarding Debarment, Suspension and 
Other Responsibility Matters; Drug-Free Workplace Requirements and 
Lobbying;''
    8. CD-512, ``Certifications Regarding Debarment, Suspension and 
Eligibility and Voluntary Exclusion--Lower Tier Covered Transactions 
and Lobbying;''
    9. SF-LLL, ``Disclosure of Lobbying Activities'' (if applicable); 
and SF-LLL-A Continuation Sheet (if applicable);
    10. Statement of Work (narrative description of proposed activity, 
objectives, and milestones''; and
    11. Proof of status for First Time Eligible Non-Profit Applicants 
(any of the following is acceptable evidence of status):
    a. A reference to the applicant organization in the IRS' most 
recent list of tax-exempt organizations under Section 501(c) of the IRS 
code;
    b. A copy of a currently valid IRS tax-exemption certificate;
    c. A statement from a State taxing body or State Attorney General 
certifying that the applicant organization has nonprofit status and 
that none of the net earnings accrue to any private shareholders;
    d. A certified copy of the organization's certificate of 
incorporation or similar document that clearly establishes nonprofit 
status; or,
    e. Any of the above proof regarding a parent organization if one 
exists, and a statement signed by the parent organization that the 
applicant is a local nonprofit affiliate.
    Applicants should not assume prior knowledge on the part of NMFS as 
to the relative merits of the project described by the application. 
Applications are not to be bound in any manner and should be one-sided. 
All proposals will be considered by NMFS. All incomplete proposals will 
be returned to the applicant. Applicants must submit one signed 
original and two copies of the complete application.
    B. Project Description. Each project must be completely and 
accurately described. Each project description may be up to 15 pages in 
length. NMFS will make all portions of the project description 
available to the public for review and comment; therefore, NMFS cannot 
guarantee the confidentiality of any information submitted as part of 
any project, nor will NMFS accept for consideration any project 
requesting confidentiality of any part of the project.
    Each project must be described as follows:
    1. Identification of Research Discipline. State which of the three 
research components (see Funding Priorities XI) is being applied for. 
If the application is not in response to a funding priority, it should 
be so stated.
    2. Project Goals and Objectives. State what the proposed project 
will accomplish and describe how this will contribute to the 
description of the Antarctic marine ecosystem. Describe the time frame 
in which tasks would be conducted.
    3. Need for Government Financial Assistance. Demonstrate the need 
for assistance. Any appropriate database to substantiate or reinforce 
the need for the project should be included. Explain why other funding 
sources cannot fund all the proposed work. List all other sources of 
funding that are or have been sought for the project.
    4. Benefits or Results Expected. Identify and document the results 
or benefits to be derived from the proposed activities.
    5. Participation by Persons or Groups Other Than the Applicant. 
Describe the level of participation required in the project by NOAA or 
other government and non-government entities. Specific NOAA employees 
should not be named in the proposal.
    6. Federal, State, and Local Government Activities. List any 
programs (Federal, state, or local government or activities) this 
project would affect and describe the relationship between the project 
and those plans or activities.
    7. Project Statement of Work. The Statement of Work is the 
scientific or technical action plan of activities that are to be 
accomplished during each budget period of the project. This description 
must include the specific methodologies, by project job activity, 
proposed for accomplishing the proposal's objective. If the work 
described in this section does not contain sufficient detail to allow 
for proper technical evaluation, NMFS will not consider the application 
for funding and will return it to the applicant. Identify specific 
milestones that can be used to track project progress. The following 
activities must be included as milestones: Submission of a report of 
accomplishments and tentative conclusions by April 1, 1995; submission 
of data sets on magnetic media by June 1, 1995; and submission of 
article summarizing field work for annual review issue of the U.S. 
Antarctic Journal by June 15, 1995. Each Statement of Work must include 
the following information:
    a. The applicant's name.
    b. The inclusive dates of the budget period covered under the 
Statement of Work.
    c. The title of the proposal.
    d. The scientific or technical objectives and procedures that are 
to be accomplished during the budget period. Devise a detailed set of 
objectives and procedures to answer who, what, how, when and where. The 
procedures must be of sufficient detail to enable competent workers to 
be able to follow them and to complete scheduled activities.
    e. Location of the work.
    f. A list of all project personnel and their responsibilities.
    g. A milestone table that summarizes the procedures that are to be 
attained in each month covered by the Statement of Work.
    8. Project Management. Describe how the project will be organized 
and managed. Include resumes of principal investigators. List all 
persons directly employed by the applicant who will be involved in the 
project, their qualifications, and their level of involvement in the 
project.
    9. Monitoring of Project Performance. Identify who will participate 
in monitoring the project.
    10. Project Impacts. Describe the impact of the project in terms of 
anticipated improved management, social value enhancement, or any other 
values that will be improved by this project. Describe how these 
products or services will be made available to the fisheries and 
management communities.
    11. Evaluation of Project. The applicant is required to provide an 
evaluation of project accomplishments at the end of each budget period 
and in the final report. The application must describe the methodology 
to be followed to determine technical feasibility.
    12. Total Project Costs. Total project costs is the amount of funds 
required to accomplish the proposed statement of work (SOW), and 
includes contributions and donations. All costs must be shown in a 
detailed budget. Cost sharing must not come from another Federal 
source. Costs must be allocated to the Federal share and non-Federal 
share provided by the applicant or other sources. Non-Federal costs are 
to be divided into cash and in-kind contributions. A standard budget 
form (SF-424A) is included in the applications package (see ADDRESSES). 
NMFS will not consider fees or profits as allowable costs for grantees. 
To support its budget, the applicant must describe briefly the basis 
for estimating the value of the non-Federal funds derived from in-kind 
contributions. Additional cost detail may be required prior to a final 
analysis of overall cost allowability, allocability or reasonableness. 
The date, period covered, and findings for the most recent financial 
audit performed, as well as the name of the audit firm, the contact 
person, and phone number and address, must also be provided. Costs for 
the following categories must be detailed in the budget as follows:
    a. Personnel. Names and titles must be included for all project 
personnel. Abbreviated curricula vitae are to be submitted with each 
proposal as part of the supporting documentation (see below). 
Publication lists must be limited to all those documents prepared 
within the last 3 years. Up to five other relevant documents which fall 
outside this time frame will be accepted.
    b. Salaries. Identify salaries by position and percentage of time 
and annual/hourly salary of each individual dedicated to the project.
    c. Fringe Benefits. Indicate benefits associated with personnel 
working on the project. This entry should be the proportionate cost of 
fringe benefits paid for the amount of time spent on the project. For 
example, if an employee spends 20 percent of his/her time on the 
project, 20 percent of his/her fringe benefits should be charged to 
this project.
    d. Consultants and Contract Services. Identify all consultant and/
or contractual service costs by specific task in relation to the 
project. If a commitment has been made prior to application to contract 
with a particular organization, explain how the organization was 
selected. Describe the type of contract, budget, deliveries expected, 
and time frame. A detailed budget must be submitted (with supporting 
documentation) for the total amount of funding requested for a 
subcontractor/consultant. All contracts must meet the standards 
established in OMB circulars.
    e. Travel and Transportation. Identify the number of trips to be 
taken, purpose, and number of people to travel. Itemize estimated 
costs, including the approximate cost of transportation (airfare at 
coach rates), per diem rates, and any additional fees associated with 
the trip.
    f. Equipment, Space or Rental Costs. Identify equipment purchases 
or rental costs with the intended use. Equipment purchases greater than 
$500 are discouraged, since experienced investigators are expected to 
have sufficient capital equipment on hand. Use of lease to purchase 
(LTOP) or similar leases are prohibited. Identify space or rental costs 
with specific uses.
    g. Other Costs.
    (1) Supplies. Identify specific supplies necessary for the 
accomplishment of the project. Only consumable office supplies 
purchased and used on this project may be treated as a direct cost to 
the project.
    (2) Postage and Shipping. Include postage for correspondence and 
other project related material, as well as air freight, truck or rail 
shipping of bulk materials.
    (3) Printing Costs. Include costs associated with producing 
materials in connection with the project.
    (4) Long Distance Telephone and Telegraph. Identify estimated 
monthly bills.
    (5) Utilities. These costs should be included under indirect costs 
unless identified as direct costs to the project. Identify costs of 
utilities and percentage of use in conjunction with performance of 
project.
    (6) Additional Costs. Indicate any additional costs associated with 
the project that are allowable under OMB circulars A-21, A-87, or A-
122, as applicable.
    13. Geographic location. Field, laboratory, and office locations 
must be identified for all project activities.
    C. Supporting Documentation. This section should include any 
required documents and any additional information necessary or useful 
to the description of the project (e.g., curricula vitae, results from 
prior funding). The amount of information given in this section will 
depend on the type of project proposed, but should be no more than 20 
pages. The applicant should present any information that would 
emphasize the value of the project in terms of the significance of the 
discipline addressed. Without such information, the merits of the 
project may not be fully understood, or the value of the project may be 
underestimated. The absence of adequate supporting documentation may 
cause reviewers to question the assertions made in describing the 
project and may result in a lower ranking of the project. Information 
presented in this section should be clearly referenced in the project 
description.

XI. Project Funding Priorities

A. Physical Oceanography

    The objectives for this component are to: (1) Describe the 
hydrography of the upper ocean waters in the vicinity of Elephant 
Island throughout the 1995 austral summer; (2) describe the physical 
setting in relation to the observed vertical and horizontal 
distribution of phytoplankton and zooplankton; and (3) provide a 
continuous record of sea surface and atmospheric conditions annotated 
by date, time, and ship's position.
    Minimum observations should include: (1) Salinity, temperature, and 
oxygen profiles at each station; and (2) continuous measurements of 
solar irradiance, air temperature, wind speed and direction, relative 
humidity, barometric pressure, sea surface temperature, and sea surface 
salinity.
    The Government will supply a Seabird thermosalinograph, a General 
Oceanics rosette with 10-liter Niskin bottles equipped with teflon 
springs, a Guideline salinometer, and a Seabird SBE-9 CTD (to be used 
as a backup unit). All other equipment, supplies, and necessary 
personnel must be provided by the recipient.

B. Phytoplankton and Primary Productivity

    The objectives for this component are to: (1) Determine available 
food sources for zooplankton, including particulate organic carbon, 
phytoplankton organic carbon, cell size distribution, and dominant 
species composition; (2) determine rates of primary production and 
associated levels of incident radiation and light attenuation; (3) 
describe the seasonal change of phytoplankton growth and standing 
stock; and (4) estimate the relative importance of grazing, vertical 
mixing, nutrient depletion, and settling on the distribution of 
phytoplankton biomass.
    Minimum observations should include: (1) Vertical profiles of 
chlorophyll-a and inorganic nutrient content from discreet bottle 
samples and solar irradiance, beam attenuation and fluorescence from 
continuous measurements at each station; (2) primary production rates 
from shipboard incubations and associated irradiance levels; (3) 
continuous measurements between stations of sea surface fluorescence 
and beam attenuation; (4) cell size distribution and floristics 
composition of the phytoplankton; (5) organic carbon and nitrogen 
content of the particulate material; and (6) total microbial biomass.
    The Government will supply a General Oceanics rosette with 10-liter 
Niskin bottles equipped with teflon springs. All other equipment, 
supplies, and necessary personnel must be provided by the recipient. 
Laboratory space is very limited; however, fresh water, salt water, and 
electrical supplies can be provided to portable laboratory vans and 
incubation arrays.

C. Krill Demographics

    The objectives of this component are to: (1) Describe the 
population structure and biological characteristics of krill collected 
throughout the study area and over the duration of the cruise; and (2) 
correlate and interpret the krill data with information on 
phytoplankton biomass, primary production, circulation pattern, and 
water mass boundaries.
    Minimum observations should include distributions of animal length, 
maturity stages, sex ratios, reproductive condition, moult stages, and 
feeding condition. Specimen processing should be done at sea.
    The Government will provide personnel and equipment necessary for 
sample collection, as well as a small interior lab with fresh water, 
salt water, and electrical supplies. All other equipment, supplies, and 
necessary personnel must be provided by the recipient.

XII. Evaluation Criteria

    Unless otherwise specified by statute, in reviewing applications 
for cooperative agreements that include consultants and contracts, NOAA 
will make a determination regarding the following:
    A. Is the involvement of the consultant or contractor necessary to 
the conduct of the project and the accomplishment of its goals and 
objectives?
    B. Is the proposed allocation of the consultant or contractors time 
reasonable and commensurate with the his/her involvement in the 
project?
    C. Are the proposed costs for the consultant or contractors 
involvement in the project reasonable and commensurate with the 
benefits to be derived from his/her participation?
    In accordance with OMB Circulars and NOAA Administrative Special 
Award Conditions, grantees must request prior approval for all proposed 
sole-source contracts or where only one bid or proposals is received in 
which the aggregate expenditure is expected to exceed $25,000. 
Proposals involving a consultant or contractor will be reviewed for 
compliance with pertinent procurement standards, and this information 
will be used in the proposal selection process.

XIII. Selection Procedures

    Consideration for financial assistance will be given to those 
applications which meet the requirements of this solicitation and the 
following evaluation criteria: (1) Experience and qualifications of 
personnel. Organization and management of the project (34 points); (2) 
relevance to the objectives outlined in this notice (see Introduction 
and Funding Priorities XI) (33 points); and (3) soundness of project 
design and technical approach, especially whether the applicant 
provided sufficient information to technically evaluate the project, 
and, if so, the strengths and weaknesses of the technical design (33 
points).
    For applications meeting the requirements of this solicitation, 
NMFS will conduct a technical evaluation of each proposal. The review 
will be conducted by experts from non-NOAA, as well as NOAA, 
organizations. All comments submitted to NMFS will be taken into 
consideration in the technical evaluation of projects. NMFS will assign 
point scores on proposals based on the evaluation criteria stated 
above. Applications will be ranked into two groups (a) Recommended, and 
(b) Not Recommended. Proposals ranked as Not Recommended will not be 
given further consideration for selection and funding.
    The ranked applications will be evaluated by a panel of experts 
convened by NMFS. The panel will individually consider each proposal, 
along with the technical evaluation and the need for funding. The panel 
will provide individual recommendations to NMFS on each proposal ranked 
as Recommended.
    After the proposals have been evaluated by the panel, the Director 
of the NMFS Southwest Fisheries Science Center, in consultation with 
the NOAA Assistant Administrator for Fisheries, will ascertain which 
projects do not substantially duplicate other projects that are funded 
by NOAA or are approved for funding by other Federal offices, recommend 
the projects to be funded, and the amounts available for the program. 
Awards may not necessarily be made to applicants with the highest-
scored proposals. The exact amount of funds awarded to each project 
will be determined in pre-award negotiations between the applicant, the 
NOAA Grants Office, and the NMFS program staff.
    NMFS will make project descriptions available for review as 
follows:
    A. Consultation with Management Agencies, Environmental 
Organizations, and Academic Institutions. NMFS shall, at its 
discretion, request comments from groups, organizations and 
institutions who have knowledge in the subject matter of a project or 
who would be affected by a project.
    B. Consultation with Government Agencies. Applications will be 
reviewed in consultation with the Director, NMFS Southwest Fisheries 
Science Center, and appropriate laboratory personnel, NOAA Grants 
Officer and, as appropriate, Department of Commerce bureaus and other 
Federal agencies, for elimination of duplicate funding.

XIV. Other Requirements

A. Federal Policies and Procedures

    Recipients and subrecipients are subject to all Federal laws and 
Federal and Departmental policies, regulations, and procedures 
applicable to Federal financial assistance awards. Women and minority 
individuals and groups are encouraged to submit applications under this 
program.

B. Past Performance

    Unsatisfactory performance under prior Federal awards may result in 
an application not being considered for funding. Any first-time 
applicant for Federal cooperative agreement funds may be subject to a 
pre-award accounting survey prior to execution of the award. In 
addition, any recipient and/or researcher who is past due for 
submitting acceptable progress reports on any previous project funded 
under this program may be ineligible to be considered for new awards 
until the delinquent reports are received, reviewed and deemed 
acceptable by NMFS.

C. Pre-Award Activities

    If applicants incur any costs prior to an award being made, they do 
so solely at their own risk of not being reimbursed by the Government. 
Notwithstanding any verbal or written assurance that may have been 
received, there is no obligation on the part of the Department to cover 
pre-award costs.

D. No Obligation for Future Funding

    If an application for an award is selected for funding, the 
Department has no obligation to provide any additional prospective 
funding in connection with that award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of the Department.

E. Delinquent Federal Debts

    No award of Federal funds shall be made to an applicant who has any 
outstanding delinquent Federal debt until either:
    1. The delinquent account is paid in full;
    2. A negotiated repayment schedule is established and at least one 
payment is received; or
    3. Other arrangements satisfactory to the Department are made.

F. Name Check Review

    All non-profit and for-profit applicants are subject to a name 
check review process. Name checks are intended to reveal if any key 
individuals associated with the applicant have been convicted of or are 
presently facing criminal charges such as fraud, theft, perjury, or 
other matters which significantly reflect on the applicants management 
honesty or financial integrity.

G. Primary Applicant Certification

    All primary applicants must submit a completed Form CD-511, 
``Certification Regarding Debarment, Suspension and Other 
Responsibility Matters; Drug-Free Workplace Requirements and 
Lobbying,'' and the following explanations are hereby provided:
1. Nonprocurement Debarment and Suspension
    Prospective participants (as defined at 15 CFR 26.105) are subject 
to 15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies.
2. Drug-Free Workplace
    Grantees (as defined at 15 CFR part 26, section 605) are subject to 
15 CFR part 26, subpart F, ``Governmentwide Requirements for Drug-Free 
Workplace (Grants)'' and the related section of the certification form 
prescribed above applies;
3. Anti-Lobbying
    Persons (as defined at 15 CFR 28.105) are subject to the lobbying 
provisions of 31 U.S.C. 1352, ``Limitation on use of appropriated funds 
to influence certain Federal contracting and financial transactions,'' 
and the lobbying section of the certification form prescribed above 
applies to applications/bids for grants, cooperative agreements, and 
contracts for more than $100,000, and loans and loan guarantees for 
more than $150,000, or the single-family maximum mortgage limit for 
affected programs, whichever is greater; and
4. Anti-Lobbying Disclosure
    Any applicant that has paid or will pay for lobbying using any 
funds must submit an SF-LLL, ``Disclosure of Lobbying Activities,'' as 
required under 15 CFR part 28, appendix B.

H. Lower Tier Certifications

    Recipients must require applicants/bidders for subgrants, 
contracts, subcontracts, or other lower tier-covered transactions at 
any tier under the award to submit, if applicable, a completed Form CD-
512, ``Certifications Regarding Debarment, Suspension, Ineligibility 
and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' 
and disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form 
CD-512 is intended for the use of recipients and should not be 
transmitted to the Department. An SF-LLL submitted by any tier 
recipient or subrecipient should be submitted to the Department in 
accordance with the instructions contained in the award document.

I. False Statements

    A false statement on the application is grounds for denial or 
termination of funds and grounds for possible punishment by fine or 
imprisonment as provided in 18 U.S.C. 1001.

J. Intergovernmental Review

    Applications under this program are not subject to the provisions 
of E.O. 12372, ``Intergovernmental Review of Federal Programs.''

K. Requirement to Buy American-Made Equipment and Products

    Applicants are hereby notified that they are encouraged, to the 
extent feasible, to purchase American-made equipment and products with 
funding provided under this program, in accordance with Congressional 
intent as set forth in the resolution contained in Public Law 103-121, 
sections 606 (a) and (b).
Classification
    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts. Therefore, a 
regulatory flexibility analysis is not required for purposes of the 
Regulatory Flexibility Act.
    Cooperative agreements awarded pursuant to pertinent statutes shall 
be in accordance with the Fisheries Research Plan (comprehensive 
program of fisheries research) in effect on the date of the award.
    This action has been determined to be not significant for purposes 
of E.O. 12866.
    This notice involves information collection requirements subject to 
the Paperwork Reduction Act, which have been approved by the Office of 
Management and Budget (OMB) under OMB Control No. 0348-0043.

    Dated: July 1, 1994.
C. Karnella,
Acting Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 94-16479 Filed 7-5-94; 8:45 am]
BILLING CODE 3510-22-P