[Federal Register Volume 61, Number 54 (Tuesday, March 19, 1996)]
[Notices]
[Pages 11189-11194]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-6490]



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DEPARTMENT OF COMMERCE
[Docket No. 960223046-6046-1; I.D. 020696E]
RIN 0648-ZA09


Financial Assistance for Research and Development Projects to 
Strengthen and Develop the U.S. Fishing Industry

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 document describing the conditions under 
which applications will be accepted under the Saltonstall-Kennedy (S-K) 
Grant Program and how NMFS will select applications for funding in FY 
1996. The S-K Grant Program assists eligible applicants in carrying out 
research and development projects that address aspects of U.S. 
fisheries (commercial or recreational), including, but not limited to, 
harvesting, processing, marketing, and associated infrastructures.

DATES: Applications must be received by close of business May 20, 1996 
in one of the offices listed in ADDRESSES. Applicants must submit one 
signed original and two signed copies of the completed 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: Application packages can be obtained from, and completed 
applications sent to any office listed below:
    Regional Director, National Marine Fisheries Service, One Blackburn 
Drive, Gloucester, MA 01930; telephone: (508) 281-9267.
    Regional Director, National Marine Fisheries Service, Koger Bldg., 
9721 Executive Center Drive, North, St. Petersburg, FL 33702; 
telephone: (813) 570-5324.
    Regional Director, National Marine Fisheries Service, 501 West 
Ocean Boulevard, Suite 4200, Long Beach, CA 90802-4213; telephone: 
(310) 980-4033.
    Regional Director, National Marine Fisheries Service, BIN C15700, 
7600 Sand Point Way, NE., Seattle, WA 98115; telephone: (206) 526-6117.
    Regional Director, National Marine Fisheries Service, P.0. Box 
21668, Juneau, AK 99802, or Federal Building, 709 W. 9th Street, 4th 
Floor, Juneau, AK 99801; telephone: (907) 586-7224.

FOR FURTHER INFORMATION CONTACT: Alicia L. Jarboe, S-K Program Manager, 
(301) 713-2358.

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Background

    The S-K Act, as amended (15 U.S.C. 713c-3), provides that a fund 
(known as the S-K fund) will be used to provide grants for fisheries 
research and development projects. The Secretary of Commerce makes such 
funds, as appropriated, available each year for grants and cooperative 
agreements to assist persons in carrying out research and development 
projects that address aspects of U.S. commercial and recreational 
fisheries. U.S. fisheries1 include any fishery that is or may be 
engaged in by citizens or nationals of the United States, or citizens 
of the Northern Mariana Islands.

    \1\ 1For purposes of this document, a fishery is defined as 
one or more stocks of fish, including tuna, and shellfish that are 
identified as a unit based on geographic, scientific, technical, 
recreational and economic characteristics, and any and all phases of 
fishing for such stocks. Examples of a fishery are Alaskan 
groundfish, Pacific whiting, and New England whiting.
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B. Funding

    NMFS issues this document to solicit applications for Federal 
assistance, pursuant to 15 U.S.C. 713c-3(c), describing the conditions 
under which applications will be accepted under the S-K Grant program 
and how NMFS will select the applications it will fund.
    The Fiscal Year 1996 base funding for this program is approximately 
$7.0 million which will be used to support projects solicited under 
this document. The funding cycle will be contingent upon the 
appropriation of funds by the Congress of the United States.
C. Catalogue of Federal Domestic Assistance
    The S-K Grant Program is listed in the ``Catalog of Federal 
Domestic Assistance'' under number 11.427, Fisheries Development and 
Utilization Research and Development Grants and Cooperative Agreements 
Program.

II. Funding Priorities

    The following priorities, which are in no particular order, were 
developed with input from the public and in consideration of the NOAA 
Strategic Plan, which includes a focus on rebuilding U.S. fisheries for 
sustainable use.
    Funding will not be provided for projects primarily involving 
infrastructure construction, port and harbor development, and start-up 
or operational costs for private business ventures.
    Proposals submitted in response to this notice should build upon or 
take into account any past and current work in the area, as well as 
relevant research in related fields.
    Projects primarily involving data collection should be directed to 
a specific problem or need, and be of a fixed duration, not of a 
continuing nature.
    If proposals received do not adequately respond to the listed 
priorities, NMFS may carry out, in addition to the program announced by 
this document, a national program of research and development addressed 
to aspects of U.S. fisheries pursuant to section 713c-3(d) of the S-K 
Act, as amended.

A. Bycatch

    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, females 
of certain crabs, marine turtles, marine mammals) in fishing operations 
through the technical development, demonstration, or evaluation of 
fishing gear or harvesting strategies.

B. Fisheries Utilization

    Optimize the utilization of harvestable resources available to the 
fishing industry through innovations in how such resources are 
harvested, processed, or marketed.

C. Fisheries Management

    Develop innovative approaches to improve fisheries management, 
including but not limited to, assessment of alternative management 
systems and resolution of user conflicts.

D. Aquaculture

    Develop or demonstrate cost-effective approaches for advancing 
environmentally sound private aquaculture development, including those 
associated with culturing systems, disease control, and meeting 
regulatory requirements.

E. Product Quality and Safety

    Develop improved approaches to control seafood processing and 
environmentally induced hazards associated with fish and shellfish and 
their products.

III. How to Apply

A. Eligible Applicants

    Applications for grants or cooperative agreements for fisheries 
research and development projects may be made, in accordance with the 
procedures set forth in this document, by:
    1. Any individual who is a citizen or national of the United 
States;

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    2. Any individual who is a citizen of the Northern Mariana Islands 
(NMI), being an individual who qualifies as such under section 8 of the 
Schedule on Transitional Matters attached to the constitution of the 
NMI;
    3. Any fisheries development foundation or other private non-profit 
corporation located in Alaska; or
    4. Any corporation, partnership, association, or other non-federal 
entity, non-profit or otherwise, if such entity is a citizen of the 
United States or Northern Mariana Islands, within the meaning of 
section 2 of the Shipping Act, 1916, as amended (46 App. U.S.C. 802).
    DOC/NOAA/NMFS are committed to cultural and gender diversity in 
their programs and encourage women and minority individuals and groups 
to submit applications. Recognizing the interest of the Secretaries of 
Commerce and Interior in defining appropriate fisheries policies and 
programs that meet the needs of the U.S. insular areas, applications 
that meet such needs are also encouraged.
    DOC/NOAA/NMFS 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 or aid in the preparation of an 
application, except to provide information on program goals, funding 
priorities, application procedures, and completion of application 
forms. Since this is a competitive program, NMFS employees will not 
provide assistance in conceptualizing, developing, or structuring 
proposals, or write letters of support for a proposal.
    Employees of Federal agencies, and Regional Fishery Management 
Councils and their members and employees, are not eligible to submit an 
application under this solicitation.

B. Duration and Terms of Funding

    Generally, grants or cooperative agreements 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, NMFS 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 agency.
    Publication of this announcement does not obligate NMFS to award 
any specific grant or cooperative agreement or to obligate any part or 
the entire amount of funds available.

C. Cost-Sharing

    Although the S-K Act, as amended, does not require that applicants 
share in the total costs of a project, such sharing is encouraged. 
Cost-sharing will not be a factor in the technical evaluation of an 
application. However, the degree of cost-sharing may be taken into 
account in the final selection of projects to be funded. If applicants 
choose to cost-share, and if their applications are selected for 
funding, those applicants will be obligated to account for the amount 
of cost-share reflected in the award documents.
    If project costs are shared, NMFS must provide at least 50 percent 
of total project costs, as provided by statute. The percentage of the 
total project costs provided from non-Federal sources may be up to 50 
percent of the costs of the project. The non-Federal share may include 
funds received from private sources or from state or local governments 
or the value of in-kind contributions. Federal funds may not be used to 
meet the non-Federal share except as provided by Federal statute. In-
kind contributions are noncash contributions provided by the applicant 
or non-Federal third parties. 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 permission to use real or 
personal property owned by others (for which consideration is not 
required) in carrying out the project.
    The appropriateness of all cost-sharing proposals, including the 
valuation of in-kind contributions, will be determined on the basis of 
guidance provided in the relevant Office of Management and Budget (OMB) 
Circulars. In general, the value of in-kind services or property used 
to fulfill the applicant's cost-share will be the fair market value of 
the services or property. Thus, the value is equivalent to the costs of 
obtaining such services or property if they had not been donated. 
Appropriate documentation must exist to support in-kind services or 
property used to fulfill the applicant's cost-share.

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 identify the 
specific priority(ies) contained in section II of this document to 
which the application responds. If an application does not respond to a 
priority, it should be so stated. Project applications must be clearly 
and completely submitted in the format that follows.
    1. Cover sheet: An applicant must use OMB Standard Form 424A and B 
(4-92) as the cover sheet for each project. (In completing item 16 of 
Standard Form 424A, see section V.A.5. of this document.)
    2. Project Summary: An applicant must complete NOAA Form 88-204 
(10-95), Project Summary, for each project.
    3. Project Budget: A budget must be submitted for each project, 
using NOAA Form 88-205 (10-95), Project Budget and associated 
instructions. The applicants must submit detailed cost estimates 
showing total project costs. Cost-sharing 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. 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 the applicant's cognizant Federal 
agency prior to the proposed effective date of the award, or 25 percent 
of the Federal share of the total proposed direct costs dollar amount 
in the application, whichever is less. Applicants with indirect cost 
rates above 25 percent of the Federal share of total direct costs may 
use the amount above the 25-percent level as part of the non-Federal 
share. A copy of the current, approved, negotiated indirect cost 
agreement with the Federal Government must be included.
    NMFS will not consider fees or profits as allowable costs for 
applicants.
    The total costs of a project consist of all costs incurred, 
including the value of in-kind contributions, in accomplishing project 
objectives during the life of the project. A project begins on the 
effective date of an award agreement 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 neither reimbursable

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nor recognizable as part of the cost-share.
    4. Narrative Project Description: The narrative project description 
may be up to 15 pages in length. Each project must be described as 
follows:
    a. Project goals and objectives: State the need for the proposed 
project and what it is expected to accomplish. Identify the specific 
priority(ies) to which the project responds. As appropriate, include 
the fisheries involved and the sectors of the fishing industry 
affected. If the application is for the continuation of an existing S-K 
funded project, describe in detail the progress to date and explain why 
continued funding is necessary.
    b. Need for government financial assistance: Explain why government 
financial assistance is needed for the proposed work. List all other 
sources of funding that are being or have been sought for the project.
    c. Participation by persons or groups other than the applicant: 
Describe the participation by government and non-government entities, 
particularly members of the fishing industry, in the project, and the 
nature of such participation.
    d. Federal, state, and local government activities and permits: 
List any existing Federal, state, or local government programs or 
activities that this project would affect, including activities 
requiring certification under state Coastal Zone Management Plans, 
those requiring section 404 or section 10 permits issued by the Corps 
of Engineers, those requiring experimental fishing or other permits 
under fishery management plans, and those requiring scientific permits 
under the Endangered Species Act and/or 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.
    e. 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. The narrative should 
respond to the following questions:
    (1) What is the project design? What specific work, activities, 
procedures, statistical design, or analytical methods will be 
undertaken, and what are the major products?
    (2) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting.)
    A milestone chart must be included which graphically illustrates 
the specific activities and associated time lines to conduct the scope 
of work. Time lines should be described in increments, e.g., month 1, 
month 2, rather than specific dates. The individual(s) responsible for 
the various specific activities shall be identified.
    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.
    f. 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. Provide a statement of their 
qualifications and experience (e.g., resume or curriculum vitae), and 
indicate their level of involvement in the project. If any portion of 
the project will be conducted through consultants and/or subcontracts, 
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 who 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.
    g. Project impacts: Describe the anticipated impacts of the project 
in terms of reduced bycatch, increased product yield, improvement in 
product quality or safety, or other measurable factors. Describe how 
the results of the project will be made available to the public.
    h. Evaluation of project: Describe the procedures for evaluating 
the relative success or failure of a project in achieving its 
objectives.
    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. Initial screening of applications: Upon receipt NMFS will screen 
applications for conformance with requirements set forth in this 
document. Applications which do not conform to the requirements may not 
be considered for further evaluation. In addition, proposals from 
ineligible applicants or those seeking funds primarily for 
infrastructure development and business costs will not be considered, 
and will be returned to the applicant.
    2. Consultation with interested parties: As appropriate, NMFS will 
consult with NMFS Offices, the NOAA Grants Management Division, 
Department and other Federal and state agencies, the Regional Fishery 
Management Councils, and other interested parties who may be affected 
by or have knowledge of a specific proposal or its subject matter.
    3. Technical evaluation: NMFS will solicit individual technical 
evaluations of each project application from three or more appropriate 
private and public sector experts. These reviewers will assign scores 
ranging from a minimum of 60 (poor) to a maximum of 100 (excellent) to 
applications based on the following evaluation criteria, with weights 
shown in parentheses:
    a. Soundness of project design/conceptual approach. Applications 
will be evaluated on the statement of need for the project; the 
conceptual approach; whether the applicant provided sufficient 
information to evaluate the project technically; and, if so, the 
strengths and/or weaknesses of the technical design relative to 
securing productive results. (50 percent)
    b. Project management and experience and qualifications of 
personnel. The organization and management of the project, and the 
project's principal investigator and other 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. (25 percent)
    c. Project evaluation. The effectiveness of the applicant's 
proposed methods to monitor and evaluate the success or failure of the 
project in terms of meeting its original objectives will be examined. 
(10 percent)
    d. Project costs. The justification and allocation of the budget in 
terms of the work to be performed will be evaluated. Unreasonably high 
or low project costs will be taken into account. (15 percent)
    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

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the project and the accomplishment of its 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?
    4. Constituent Panel: After the technical evaluation, individual 
comments will be solicited from a panel of three or more 
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 
or opportunities 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 and the 
merits of funding each project.

B. Selection Procedures and Project Funding

    After projects have been evaluated and ranked, the reviewing NMFS 
offices will develop recommendations for project funding. These 
recommendations will be submitted to the AA who will determine the 
projects to be funded, ensuring that there is no duplication with other 
projects funded by NOAA or other Federal organizations, and that the 
projects selected for funding are those that best meet the objectives 
of the S-K Grant Program.
    The exact amount of funds awarded to a project will be determined 
in preaward negotiations between the applicant and NOAA/NMFS program 
and grants management representatives. The funding instrument (grant or 
cooperative agreement) 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 proposal.
    2. Be available, upon request, to respond to questions during the 
review and evaluation of the proposal(s).
    3. Complete Form CD-511, ``Certification Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying.'' The following explanations are 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, whichever 
is greater; and
    d. Anti-lobbying disclosures. 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. If applicable, require applicants/bidders for subgrants, 
contracts, subcontracts, or other lower tier covered transactions at 
any tier under the award to submit 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 Commerce. SF-LLL submitted by any tier recipient or subrecipient 
should be submitted to Commerce in accordance with the instructions 
contained in the award document. This requirement applies only to 
applicants whose applications are recommended for funding. All required 
forms will be provided to successful applicants.
    5. Complete item 16 on Standard Form 424A (4-92) regarding 
clearance by the State Point Of Contact (SPOC) established as a result 
of E.O. 12372. A list of SPOCs may be obtained from any of the NMFS 
offices listed in this document (see ADDRESSES), and is also included 
in the ``Catalog of Federal Domestic Assistance.''
    6. Complete Standard Form 424B (4-92), ``Assurances--Non-
construction Programs.''

B. Other Requirements

    1. Federal policies and procedures. Recipients and subrecipients 
are subject to all Federal laws and Federal and Commerce policies, 
regulations, and procedures applicable to Federal financial assistance 
awards.
    2. Name check review. All recipients 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.
    3. Financial management certification/preaward accounting survey. 
Successful applicants for S-K funding, 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 preaward accounting survey by 
Commerce 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 Commerce 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.
    7. 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

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obligation on the part of Commerce to cover preaward costs.
    8. False statements. 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).

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 document 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.
    A notice of availability of financial assistance for fisheries 
research and development projects will also appear in the ``Commerce 
Business Daily.''

    Dated: April 12, 1996.
Gary Matlock,
Program Management Officer, National Marine Fisheries Service.
[FR Doc. 96-6490 Filed 3-18-96; 8:45 am]
BILLING CODE 3510-22-F