[Federal Register Volume 60, Number 43 (Monday, March 6, 1995)]
[Notices]
[Pages 12199-12203]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-5399]



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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 950227061-5061-01; I.D. 020695C]
RIN 0648-XX11


Northeast Fishing Industry Grants (FIG) 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 under the FIG Program and how NMFS will 
determine which applications it will fund. This notice implements the 
second round of the FIG Program, for which $4.5 million is available to 
fund innovative proposals to assist the Northeast fishing industry to 
promote the development of commercial fishing and markets for 
underexploited species; develop methods for eliminating or reducing 
bycatch; and create new business and alternative employment 
opportunities for those who have been affected by the decline of the 
traditional fisheries.

DATES: Applications must be received by May 5, 1995. 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 01930-2298, 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, NMFS, 
at (508) 281-9267.

SUPPLEMENTARY INFORMATION:

I. 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 the Northeast 
Fisheries Assistance Program (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 has been designated to the 
Economic Development Administration to provide economic adjustment 
assistance to communities; $12 million has been designated to NMFS 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 in NFAP funds administered by NMFS $9.0 
million is being provided directly to the private sector through grants 
under the FIG Program, which is authorized under 15 U.S.C. 713c-3(d). 
These grants are being provided in two rounds. The availability of $4.5 
million for the first round was announced in the Federal Register on 
July 8, 1994 (59 FR 35107). In response to that notice, 201 proposals 
were received. Of those 201 proposals, 28 were recommended for funding. 
Eleven of the 28 projects will address development of commercial 
fisheries and markets for underexploited finfish and shellfish species; 
nine will focus on aquaculture as a method for enhancing natural 
production of groundfish and shellfish stocks, and also as a commercial 
enterprise; and eight will explore various aspects of new business 
opportunities for displaced fishermen. Federal support for these 
projects ranges from $20,000 to $654,900, with an average Federal 
funding level of $160,714.
    Since July 1994, when the first round of the FIG Program was 
implemented, the situation with respect to the New England groundfish 
stocks has worsened. As recent stock assessments indicated that 
groundfish populations were on the verge of collapse, NMFS approved the 
New England Fishery Management Council's request for implementation of 
emergency regulations while a more comprehensive plan is developed to 
restore the stocks. In recognition of the adverse impact of further 
reductions in fisheries access on the fishing industry, the second 
round of the FIG Program, through which $4.5 million will be provided, 
will [[Page 12200]] emphasize short-term assistance for those directly 
dependent upon groundfish and other traditional Northeast Fishery 
resources.
    Additional consideration will be given to those applications under 
this solicitation that include participation by individuals who own or 
operate fishing vessels permitted under the Magnuson Fishery 
Conservation and Management Act (Magnuson Act)(i.e., participants in 
the New England Groundfish fishery), and who agree to tender their 
privilege to harvest regulated multi-species finfish for the duration 
of the assistance period.
    Through this notice, NMFS is soliciting applications for Federal 
assistance, and describing the conditions under which applications will 
be accepted for the second part of the FIG Program and how NMFS will 
select the applications it will fund.

II. Funding Priorities

    The following have been identified as priorities for part two of 
the FIG Program:
    A. Develop projects/conduct activities to provide alternate 
employment or new business opportunities (e.g., through aquaculture or 
improved processing and expanded use of fish waste) for those who have 
been affected by the decline of the traditional fisheries.
    B. Promote development of commercial fisheries and markets for 
underexploited species of the northwest Atlantic Ocean. For the 
purposes of this solicitation, underexploited species include, but are 
not limited to, red hake (Gulf of Maine to Mid-Atlantic); Atlantic 
herring (coastal stock complex); Atlantic mackerel (Labrador to North 
Carolina); butterfish (Gulf of Maine to the Mid-Atlantic); skates (Gulf 
of Maine to the Mid-Atlantic); and short-finned squid (Illex) (Gulf of 
Maine to the Mid-Atlantic). 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.
    C. Develop methods for eliminating or reducing the inadvertent 
take, capture or destruction of nontargeted, protected, or prohibited 
species (e.g., juvenile or sublegal-sized fish and shellfish) in 
fishing operations through the technical development, demonstration, or 
evaluation of fishing gear or harvesting strategies.
    Applications may be for demonstration or pilot projects, technology 
development and/or transfer, experimental fishing, or other activities 
to develop immediate and long-term employment or new business 
opportunities for the various segments of the fishing industry. Funding 
will not be provided for projects primarily involving construction or 
operational costs for individual businesses. Those 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.
    The priorities contained in this solicitation provide potential 
applicants with a general sense of program focus and are not intended 
to limit or further constrain development of innovative proposals. 
Additional consideration (see section IV.A.2.f.) will be given to 
applications under this solicitation that include participation by 
individuals who own or operate fishing vessels permitted under the 
Magnuson Act (i.e., participants in the New England groundfish fishery) 
who agree to tender their privilege to harvest multispecies finfish for 
the duration of the project.

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 App. U.S.C. 802).
    Federal Government agencies or 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 NMFS 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 responding to questions regarding 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 Chatham, 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 nearest Fishing Family Assistance Center. 
The addresses and telephone numbers of all Fishing Family Assistance 
Centers are as follows:
    Fishing Family Assistance Center, National Marine Fisheries 
Service, Federal Building, Room 200, 21 Limerock Street, Rockland, ME 
04841; Tel: 207-594-2267.
    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, Department of Employment and Training, 11-15 Parker Street, 
Gloucester, MA 01930; Tel: 508-283-2863.
    Fishing Family Assistance Center, National Marine Fisheries 
Service, 15-A Market Place, Chatham, MA 02633; Tel: 508-945-5492.
    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, 118 Point Judith Road, Narragansett, RI 02882; Tel: 401-782-
8640.

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

    Sharing of project costs by applicants is not required and will not 
be considered in the technical evaluation of proposals. However, NMFS 
does encourage costsharing and will take into account the degree to 
which costsharing is provided in the final selection of projects to be 
funded. If costsharing is proposed, the applicant will be obligated to 
account for both the Federal and non-Federal amounts contained in the 
award document. [[Page 12201]] 

D. Format

    This format for Phase II has been streamlined from that in Phase I. 
Proposals 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 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 (see ADDRESSES).
    1. Cover sheet: An applicant must use Office of Management and 
Budget (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 Single Point of Contact 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. This form is required in 
addition to the Project Narrative described below. Those applications 
which are to receive additional consideration in the review process 
must include the following sentence in the upper left-hand corner of 
this form: ``If selected for funding, I agree to tender my privilege to 
fish for and retain regulated multispecies finfish for the duration of 
this project. My vessel name and permit number are 
____________________________.''
    If an application involves more than one vessel, a similar 
statement for each vessel may be attached to the Project Summary sheet, 
with the signature of the appropriate vessel owner(s).
    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. Costsharing is 
discretionary, but if applicants choose to cost share, both the Federal 
and non-Federal shares must be shown, divided into cash and in-kind 
contributions. To support the budget, the applicant must describe 
briefly the basis for estimating the value of the matching funds 
derived from in-kind contributions. 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. A 
copy of the current, approved, negotiated indirect Cost Agreement with 
the Federal Government must be included with the application, if 
applicable. 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. This restriction also applies to any subrecipient of this 
program.
    NMFS will not consider fees or profits as allowable costs for 
applicants.
    The total costs of a project consist of all costs incurred in 
accomplishing project objectives during the life of the project. 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. Generally, 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. Project goals and objectives: State what the proposed project is 
expected to accomplish.
    b. 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.
    (1) Describe in detail the project design. What work, activities, 
or procedures will be undertaken to produce anticipated results?
    (2) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting).
    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.
    c. 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. Provide a statement of experience 
and qualifications for the Principal Investigator(s). If any portion of 
the project will be conducted through consultants and/or 
subcontractors, applicants 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 which 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. If 
a consultant and/or subcontractor has been selected as a ``sole 
source,'' a justification must be provided giving the unique 
qualifications for the selection.
    d. Project impacts: Describe the anticipated impacts of the project 
in terms of increased employment, increased landings, processing, and 
sales of underutilized species, or other measurable factors. Describe 
how the results of the project will be made available to the public.
    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.
    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 FIG Projects

    1. Consultation with interested parties: NMFS will evaluate 
applications in consultation with NMFS Offices, the NOAA Grants 
Management Division, 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 [[Page 12202]] Management Councils may be asked to 
review applications that could affect 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 concept for problem resolution. The 
applicant's comprehension of the problem(s) and the overall concept 
proposed to resolve the problem(s) will be evaluated. (20 points)
    b. Soundness of project design/technical approach. Applications 
will be evaluated as to the soundness of the project design and the 
adequacy of the technical approach as it relates to achieving the 
stated goals and objectives. What are the proposal's strengths and 
weaknesses? (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 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. (15 points)
    e. Project impacts. The degree to which alternative employment or 
business opportunities are created for those dependent upon traditional 
Northeast fisheries resources will be evaluated. For example, will 
displaced fishermen be employed during the project period and beyond? 
(20 points)
    f. Tendering of multispecies harvesting privileges. Applicants who 
are willing to tender these privileges for the assistance period will 
be given an additional 10 points.
    g. 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. Constituent panel review: After the technical evaluation, 
comments will be solicited individually from members of a panel of at 
least three representatives, selected by the Assistant Administrator 
for Fisheries, NOAA (AA), 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 
individually 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 Funding

    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 AA, 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 26.105) 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 26.605) 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 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
    d. Anti-lobbying disclosure. Any applicant who 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 the Department. 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.

B. Other Requirements

    1. Federal policies and procedures. Recipients and subrecipients 
are subject to all Federal laws and Federal and Department 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 
[[Page 12203]] 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. Financial management certification/preaward accounting survey. 
Successful applicants at the discretion of the NOAA Grants Officer, may 
be required to have their financial management systems certified by an 
independent public accountant as being in compliance with Federal 
standards specified in the applicable OMB Circulars prior to execution 
of the award. Any first-time applicant for Federal grant funds may be 
subject to a pre-award accounting survey by the Department prior to 
execution of the award.
    4. Past performance. Unsatisfactory performance under prior Federal 
awards may result in an application not being considered for funding.
    5. Delinquent Federal debts. No award of Federal funds shall be 
made to an applicant or to its subrecipients who have an outstanding 
delinquent Federal debt or fine 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 the Department are made.
    6. 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 103-317, sections 607(a) and (b).
    7. 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.

Classification

    This action has been determined to be not significant for purposes 
of E.O. 12866.
    Applications under this program are subject to E.O. 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, OMB, Washington, D.C. 
20503, Attention: NOAA Desk Officer.

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

    Dated: March 1, 1995.
Gary Matlock,
Program Management Officer, National Marine Fisheries Service.
[FR Doc. 95-5399 Filed 3-1-95; 3:56 pm]
BILLING CODE 3510-22-F