[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: 94-16498]


[[Page Unknown]]

[Federal Register: July 8, 1994]


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DEPARTMENT OF COMMERCE
[Docket No. 940679-4179; I.D. 060394C]

 

Financial Assistance for the Northeast Fisheries Assistance 
Program

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

ACTION: Notice of availability of federal assistance.

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SUMMARY: NMFS issues this notice describing the conditions under which 
applications will be accepted for Northeast fishing industry grants 
(NFIG) under the Northeast Fisheries Assistance Program (NFAP) and how 
NMFS will determine which applications it will fund. A total of $9.0 
million for NFIG will be available in two parts. This notice implements 
the first part, for which up to $4.5 million is available to meet the 
most pressing needs of fishermen who are affected by the decline of the 
traditional fisheries in the Northeast and recent Federal regulatory 
actions, and who require assistance in developing alternative 
employment or new business opportunities.

DATES: Applications must be received by August 22, 1994. Applicants 
must submit one signed original and two copies of the complete 
application. No facsimile applications will be accepted. Generally, the 
time required to process applications is 120 days from the closing date 
of the solicitation.

ADDRESSES: Applications should be sent to the Northeast Regional 
Office, National Marine Fisheries Service, One Blackburn Drive, 
Gloucester, MA 01930, Telephone: (508) 281-9256 or (508) 281-9267. 
Application kits, with instructions for completion, may be obtained 
from that office.

FOR FURTHER INFORMATION CONTACT: Kenneth Beal or Joyce Lacerda, at 
(508) 281-9267.

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Background

    Under the provisions of Public Law 103-211, the Emergency 
Supplemental Appropriations Act of 1994, $30 million has been provided 
to the U.S. Department of Commerce (Department) for NFAP to address the 
needs of those directly affected by the decline of the traditional 
fisheries in the Northeast. Of the total package, $18 million will be 
used by the Economic Development Administration (EDA) to provide 
economic adjustment assistance to communities; $12 million will be used 
by NOAA for direct industry assistance in the form of (1) loan 
guarantees under the Fisheries Obligation Guarantee Program to help 
restructure existing debt, (2) grants to assist the fishing industry 
which has been affected by the decline of the traditional groundfish 
and scallop fisheries, and (3) Fishing Family Assistance Centers in the 
Northeast to serve as clearinghouses for all possible assistance 
available from Federal and state sources.
    Of the $12.0 million NOAA will administer under NFAP, $9.0 million 
for NFIG will be provided directly to the private sector through grants 
that are authorized under 15 U.S.C. 713c-3(d). These grants will be 
administered in two parts. This Federal Register notice implements the 
first part, for which up to $4.5 million is available. NMFS will 
provide financial assistance to meet the most pressing needs of 
fishermen who require assistance in developing alternative employment 
or new business opportunities. This part will require no cost-sharing 
by applicants. The second part, for which $4.5 million will be 
available, will be implemented through a separate Federal Register 
notice, which will invite innovative proposals to assist the Northeast 
fishing industry to expand the harvesting, processing, and marketing of 
underexploited species; increase the value of species currently 
harvested; address bycatch reduction; and create new business and 
employment opportunities through aquaculture. The second part will 
require cost-sharing by the applicants.

B. Funding

    NMFS issues this notice to solicit applications for federal 
assistance, describing the conditions under which applications will be 
accepted for part-one fishing industry grants under NFAP and how NMFS 
will select the applications it will fund.

II. Funding Priorities

    NMFS' emphasis in part one of the fishing industry grant portion of 
NFAP will be to meet the most pressing needs of fishermen who are 
affected by the decline of the traditional fisheries in the Northeast, 
and who require assistance in developing alternative employment or new 
business opportunities.
    Greatest consideration will be given to applications that involve, 
or are expected to benefit, a broad range of fishermen, rather than 
individual fishermen. Applications may be for demonstration or pilot 
projects, technology development and/or transfer, experimental fishing, 
or other activities to develop alternative long-term employment or new 
business opportunities to fishermen. Funding will not be provided for 
projects primarily involving construction or operational costs for 
individual businesses. Fishermen seeking financial assistance for 
proprietary business activities, e.g., business loans, may contact the 
Family Assistance Centers listed in section III.A. of this document for 
information regarding other types of financial assistance and 
eligibility.
    The following areas, listed in no particular order, have been 
identified as priorities for part one of the NFIG Program.
    A. Develop commercial fisheries and markets for finfish and 
shellfish species of the Northwest Atlantic Ocean for which there are 
harvestable surpluses. These include Atlantic mackerel, Atlantic 
herring, butterfish, spiny dogfish, skates, short-finned and long-
finned squid, and red hake. NOTE: If applicable, recipients must have 
the appropriate Federal fishing permits in their possession. Also, if 
applicable, obtaining an experimental fishing permit may be required 
prior to approval of project activities.
    B. Help restore overfished New England groundfish stocks through 
aquaculture or hatchery programs. This may include, but is not limited 
to, establishing small-scale aquaculture pilot and demonstration 
projects in commercial fishing communities.
    C. Develop projects/conduct activities to provide alternate 
employment or new business opportunities for fishermen who have been 
affected by the decline of the traditional Northeast fisheries.

III. How to Apply

A. Eligible Applicants

    Applications for assistance may be made, in accordance with the 
procedures set forth in this notice, by any individual who is a citizen 
or national of the United States, or any corporation, partnership, 
association, or other entity, non-profit or otherwise, if such entity 
is a citizen of the United States within the meaning of section 2 of 
the Shipping Act, 1916, as amended (46 U.S.C. App. 802). Although a 
broad range of applicants is eligible, all applications submitted must 
respond to the funding priorities as noted in the above sections.
    Federal Government employees, including full-time, part-time, and 
intermittent personnel (or their spouses or blood relatives who are 
members of their immediate households), are not eligible to submit an 
application under this solicitation.
    Assistance from NOAA employees is available to eligible applicants, 
by telephone or through pre-proposal meetings, and will be limited to 
such issues as the program goals, funding priorities, application 
procedures, and completion of application forms. Since this is a 
competitive program, assistance will not be provided in 
conceptualizing, developing, or structuring competitive proposals. Pre-
proposal meetings will be held at Fishing Family Assistance Centers 
located in Portland and Rockland, ME; Gloucester, New Bedford, and 
Provincetown, MA; and Narragansett, RI. Details on specific times and 
location of pre-proposal meetings may be obtained by calling the NMFS 
Northeast Regional Office in Gloucester (508-281-9256 or 508-281-9267), 
or the Fishing Family Assistance Center locations in Portland, New 
Bedford, or Provincetown. The addresses and telephone numbers of all 
Fishing Family Assistance Centers are as follows:

Fishing Family Assistance Center, National Marine Fisheries Service, 
Marine Trades Center, Suite 311, 2 Portland Fish Pier, Portland, ME 
04101, Tel: 207-780-3423.
Fishing Family Assistance Center, National Marine Fisheries Service, 
Greater New Bedford Reemployment Career Services, 693 Purchase Street, 
New Bedford, MA 02740, Tel: 508-979-1750.
Fishing Family Assistance Center, National Marine Fisheries Service, 
City Hall, 260 Commercial Street, Provincetown, MA 02657, Tel: 508-487-
7261.
Fishing Family Assistance Center, National Marine Fisheries Service, 
Department of Employment and Training, 11-15 Parker Street, Gloucester, 
MA 01930, Tel: 508-283-4750.
Fishing Family Assistance Center, National Marine Fisheries Service, 
Federal Building, Room 200, 21 Limerock Street, Rockland, ME 02841, 
Tel: 207-594-2267.
Fishing Family Assistance Center, National Marine Fisheries Service, 
Narragansett Laboratory, 28 Tarzwell Drive, Narragansett, RI 02882, 
Tel: 401-782-3200.

B. Duration and Terms of Funding

    Generally, grants are awarded for a period of 1 year, but no more 
than 18 months at a time.
    If an application for an award is selected for funding, the 
Department has no obligation to provide any additional future 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.
    Publication of this announcement does not obligate NMFS to award 
any specific grant or to obligate any part or the entire amount of 
funds available.

C. Cost-sharing

    Cost-sharing is not required for applications submitted in response 
to this solicitation to implement part one of NFIG. It will not be a 
factor in the evaluation and selection of the application. If cost-
sharing is proposed, the applicant will be obligated to account for the 
amount contained in the award document.

D. Format

    Applications for project funding must be complete. They must 
identify the principal participants and include copies of any 
agreements between the participants and the applicant describing the 
specific tasks to be performed. Project applications must respond to 
priority(ies) contained in section II of this document. Project 
applications must be clearly and completely submitted in the format 
that follows. The forms described are available, with instructions for 
completion, from the Northeast Regional Office, NMFS, One Blackburn 
Drive, Gloucester, MA 01930, telephone: 508-281-9256 or 508-281-9267.
    1. Cover Sheet: An applicant must use OMB Standard Form 424 
(revised 4-92) as the cover sheet for each project. (Do not complete 
item 16 of Standard Form 424 (REV 4-92). NMFS will obtain for the 
applicant any necessary clearances by the State Point of Contact (SPOC) 
established as a result of E.O. 12372, Intergovernmental Review of 
Federal Programs to which this program is subject.)
    2. Project Summary: An applicant must complete NOAA Form 88-204 
(10-92), Project Summary, for each project.
    3. Project Budget: A budget must be submitted for each project, 
using NOAA Form 88-205 (10-92), Project Budget. The applicants must 
submit cost estimates showing total project costs. Estimates of the 
direct costs must be specified in the categories listed on the Project 
Budget form. The budget may also include an amount for indirect costs, 
if the applicant has an established indirect cost rate with the Federal 
Government. However, this program limits the indirect cost rate that 
may be charged to 25 percent of the federal share of total direct costs 
or the institution's negotiated indirect cost rate, whichever is less. 
A copy of the current, approved, negotiated indirect Cost Agreement 
with the Federal Government must be included with the application.
    NOAA will not consider fees or profits as allowable costs for 
applicants.
    The total costs of a project consist of all costs incurred in the 
performance of project tasks to accomplish the objectives of the 
project during the period the project is conducted. A project begins on 
the effective date of an award between the applicant and an authorized 
representative of the U.S. Government and ends on the date specified in 
the award. Accordingly, the time expended and costs incurred in either 
the development of a project or the financial assistance application, 
or in any subsequent discussions or negotiations prior to award, are 
not reimbursable.
    4. Project Narrative Description: The project must be completely 
and accurately described, as follows:
    a. Identification of Problem(s): As appropriate, in this 
description include: (1) The fisheries involved, (2) the specific 
problem(s) being addressed, and (3) the sectors of the fishing industry 
that are affected.
    b. Project Goals and Objectives: State what the proposed project is 
expected to accomplish, and describe how this will eliminate or reduce 
the problem(s) described in 4.a. above.
    c. Need for Government Financial Assistance: Explain why Government 
financial assistance is needed for the proposed work. List all other 
sources of funding that are or have been sought for the project.
    d. Participation by Persons or Groups Other Than the Applicant: 
Describe: (1) The participation by Government and non-Government 
entities, particularly members of the fishing industry, required in the 
project(s); and (2) the nature of such participation.
    e. Federal, State, and Local Government Activities: List any 
existing Federal, state, or local government programs or activities 
that this project would affect, including activities under state 
Coastal Zone Management Plans and those requiring consultation with the 
Federal Government under the Endangered Species Act and the Marine 
Mammal Protection Act. Describe the relationship between the project 
and these plans or activities, and list names and addresses of persons 
providing this information.
    f. Project Statement of Work: The statement of work is an action 
plan of activities to be conducted during the period of the project. 
This section requires the applicant to prepare a detailed narrative, 
fully describing the work to be performed that will achieve the 
previously articulated goals and objectives. A milestone chart that 
outlines major goals, supporting work activities, timeframe, and 
individuals responsible for various work activities must be included. 
The narrative should include information that responds to the following 
questions:
    (1) How will the project be designed?
    (2) What major products (e.g., research, services, or reports) will 
result and what is their specific purpose?
    (3) What work, activities, or procedures (be as specific as 
possible) will be undertaken to produce major products?
    (4) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting).
    (5) How will the final products or services be evaluated? What 
evaluation methods will be used?
    The milestone chart should graphically illustrate:
    (1) Steps to accomplish the major products, research, services and/
or activities;
    (2) Supporting activities and associated timelines, e.g., month 1, 
month 2; and
    (3) The individual(s) responsible for the various activities.
    Because this information is critical to understanding and reviewing 
the application, NMFS encourages applicants to provide sufficient 
detail. Applications lacking sufficient detail may be eliminated from 
further consideration.
    g. Project Management: Describe how the project will be organized 
and managed. List all persons directly employed by the applicant who 
will be involved in the project, their qualifications, experience, and 
level of involvement in the project. If any portion of the project will 
be conducted through consultants and/or subcontracts, applicants, as 
appropriate, must follow procurement guidance in 15 CFR part 24, 
``Grants and Cooperative Agreements to State and Local Governments,'' 
and OMB Circular A-110 for Institutions of Higher Education, Hospitals, 
and other Non-profit Organizations. Commercial organizations and 
individuals that apply should use OMB Circular A-110. If a consultant 
and/or subcontractor is selected prior to application submission, 
include the name and qualifications of the consultant and/or 
subcontractor and the process used for selection.
    h. Project Impacts: Describe the anticipated impacts of the project 
in terms of landings, production, sales, improvement in product quality 
or safety, or other measurable factors. Describe how the results of the 
project will be made available to the public.
    i. Evaluation of Project: The procedures for evaluating the 
relative success or failure of a project in achieving its goals and 
objectives should be clearly described within each application.
    5. Supporting Documentation: This section should include any 
required documents and any additional information necessary or useful 
to the description of the project. The amount of information given in 
this section will depend on the type of project proposed.

IV. Evaluation Criteria and Selection Procedures

A. Evaluation of Proposed Projects

    1. Consultation with Interested Parties: NMFS will evaluate 
applications in consultation with NMFS Offices, NOAA Grants Office, 
and, as appropriate, Department and other Federal agencies with 
programs affecting the U.S. fishing industry, members of the fishing 
industry, and others outside NMFS who have knowledge in the subject 
matter of a project or who would be affected by a project. The Regional 
Fishery Management Councils will be asked to review applications that 
could impact a managed fishery, the bycatch of a managed fishery, or a 
fishery management issue.
    2. Technical Evaluation: NMFS will solicit technical evaluations of 
each project application from appropriate private and public sector 
experts. Point scores will be given to project applications, based on 
the following evaluation criteria:
    a. Problem Description and Conceptual Approach for Resolution. Both 
the applicant's comprehension of the problem(s) and the overall concept 
proposed to resolve the problem(s) will be evaluated. (25 points)
    b. Soundness of Project Design/Technical Approach. Applications 
will be evaluated to determine whether or not the applicant provided 
sufficient information to evaluate the project technically and, if so, 
the strengths and/or weaknesses of the technical design proposed for 
problem resolution. (25 points)
    c. Project Management and Experience and Qualifications of 
Personnel. The organization and management of the project, and the 
project's Principal Investigator and other key personnel in terms of 
related experience and qualifications will be evaluated. Those projects 
that do not identify the Principal Investigator with his or her 
qualifications will receive a lower point score. (20 points)
    d. Project Evaluation. The effectiveness of the applicant's 
proposed methods to evaluate the project in terms of meeting its 
original goals and objectives will be evaluated. (10 points)
    e. Project Costs. The justification and allocation of the budget in 
terms of the work to be performed will be evaluated. Unreasonably high 
project costs will be taken into account. (20 points)
    f. In addition to the above criteria, in reviewing applications 
that include consultants and contracts, NMFS will make a determination 
regarding the following:
    (1) Is the involvement of the primary applicant necessary to the 
conduct of the project and the accomplishment of its goals and 
objectives?
    (2) Is the proposed allocation of the primary applicant's time 
reasonable and commensurate with the applicant's involvement in the 
project?
    (3) Are the proposed costs for the primary applicant's involvement 
in the project reasonable and commensurate with the benefits to be 
derived from the applicant's participation?
    3. Panel Review: After the technical evaluation, comments will be 
solicited from a panel of representatives selected by the Assistant 
Administrator for Fisheries, NOAA, from the fishing industry, state 
government, and others, as appropriate, to rank the projects. 
Considered in the rankings, along with the technical evaluation, will 
be the significance of the problem addressed in the project. Each 
panelist will rank each project in terms of importance or need for 
funding and provide recommendations on the level of funding NMFS should 
award to each project and the merits and benefits of funding each 
project.

B. Selection Procedures and Project FundingU.S.C.

    After projects have been evaluated and ranked, the Director, 
Northeast Region, NMFS, will develop recommendations for project 
funding. These recommendations will be submitted to the Assistant 
Administrator for Fisheries, NOAA, who will determine the number of 
projects to be funded, ensuring that there is no duplication with other 
projects funded by NOAA or other Federal organizations.
    The exact amount of funds awarded to a project will be determined 
in pre-award negotiations between the applicant and NOAA/NMFS program 
and grants management representatives. The funding instrument will be 
determined by the NOAA Grants Management Division. Projects should not 
be initiated in expectation of Federal funding until a notice of award 
document is received.

V. Administrative Requirements

A. Obligation of the Applicant

    An Applicant must:
    1. Meet all application requirements and provide all information 
necessary for the evaluation of the project.
    2. Be available, upon request, in person or by designated 
representative, to respond to questions during the review and 
evaluation of the project(s).
    3. Primary Applicant Certification. Applicants whose applications 
are recommended for funding will be required to 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:
    a. Nonprocurement Debarment and Suspension. Prospective 
participants (as defined at 15 CFR part 26, Section 105) are subject to 
15 CFR Part 26, ``Nonprocurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies;
    b. 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;
    c. Anti-Lobbying. Persons (as defined at 15 CFR Part 28, Section 
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 which ever 
is greater; and
    d. 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.
    4. Lower Tier Certifications. Successful applicants shall 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 DOC. SF-LLL 
submitted by any tier recipient or subrecipient should be submitted to 
DOC in accordance with the instructions contained in the award 
document.

B. Other Requirements

    1. Federal Policies and Procedures. Recipients and subrecipients 
are subject to all Federal laws and Federal and DOC policies, 
regulations, and procedures applicable to Federal financial assistance 
awards.
    2. 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 recipient have been 
convicted of, or are presently facing, criminal charges such as fraud, 
theft, perjury, or other matters that significantly reflect on the 
recipient's management, honesty, or financial integrity. A false 
statement on the application is grounds for denial or termination of 
funds and grounds for possible punishment by a fine or imprisonment (18 
U.S.C. 1001).
    3. Past Performance. Unsatisfactory performance under prior Federal 
awards may result in an application not being considered for funding.
    4. Delinquent Federal Debts. No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
until either:
    a. The delinquent account is paid in full,
    b. A negotiated repayment schedule is established and at least one 
payment is received, or
    c. Other arrangements satisfactory to DOC are made.
    5. Buy American-Made Equipment or Products. Applicants are hereby 
notified that they are encouraged, to the extent feasible, to purchase 
American-made equipment and products with funding 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).
    6. Preaward 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 DOC to cover preaward costs.

Classification

    This action has been determined to be not significant for purposes 
of E.O. 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    This notice contains a collection-of-information requirement 
subject to the Paperwork Reduction Act. The collection of this 
information has been approved by OMB, OMB Control Number 0648-0135. 
Public reporting burden for preparation of the grant application is 
estimated to be 8 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding this burden estimate 
or any other aspect of this collection of information, including 
suggestions for reducing this burden, to Richard Roberts, NOAA/IRMS, 
6010 Executive Blvd., Rm. 722, WSC-5, Rockville, MD 20852; and to the 
Office of Information and Regulatory Affairs, Office of Management and 
Budget, Washington, D.C. 20503, Attention: Project No. 0648-0135.
    A notice of availability of financial assistance for the NFIG 
Program will also appear in the Commerce Business Daily.

(Authority: 15 U.S.C. 713c-3(d))

    Dated: July 1, 1994.
Charles Karnella,
Acting Program Management Officer for Fisheries, National Marine 
Fisheries Service.
[FR Doc. 94-16498 Filed 7-7-94; 8:45 am]
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