[Federal Register Volume 62, Number 82 (Tuesday, April 29, 1997)]
[Notices]
[Pages 23222-23228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-10997]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 960223046-7083-02; I.D. 031897A]
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 solicitation for applications.

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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. Some 
of the conditions and procedures have changed significantly from the 
last S-K Program solicitation notice of March 19, 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 June 30, 
1997. in one of the offices listed in ADDRESSES. Applicants must submit 
one signed original and nine signed copies of the completed application 
(including supporting information). No facsimile applications will be 
accepted.

ADDRESSES: Application packages can be obtained from, and completed 
applications sent to any office listed below:
    Regional Administrator, NMFS, One Blackburn Drive, Gloucester, MA 
01930; telephone: (508) 281-9267.
    Regional Administrator, NMFS, Koger Bldg., 9721 Executive Center 
Drive, North, St. Petersburg, FL 33702; telephone: (813) 570-5324.
    Regional Administrator, NMFS, 501 West Ocean Boulevard, Suite 4200, 
Long Beach, CA 90802-4213; telephone: (310) 980-4033.
    Regional Administrator, NMFS, BIN C15700, 7600 Sand Point Way, NE., 
Seattle, WA 98115; telephone: (206) 526-6117.
    Regional Administrator, NMFS, P.0. Box 21668, Juneau, AK 99802, or 
Federal Building, 709 W. 9th Street, 4th Floor, Juneau, AK 99801; 
telephone: (907) 586-7224.
    This solicitation notice may also be retrieved from the NMFS Home 
Page.

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 by the Secretary of Commerce to 
provide grants for fisheries research and development projects 
addressed to any aspect of United States fisheries, including, but not 
limited to, harvesting, processing, marketing, and associated 
infrastructures. U.S. fisheries1 include

[[Page 23223]]

any fishery that is or may be engaged in by citizens or nationals of 
the United States, or citizens of the Northern Mariana Islands, the 
Republic of the Marshall Islands, Republic of Palau, and the Federated 
States of Micronesia.
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    \1\ For 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, New England whiting, and 
eastern oysters.
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    The funding priorities of the S-K Grant Program have evolved over 
the years since the program began in 1980. The original focus of the 
program was on development of underutilized fisheries within the U.S. 
Exclusive Economic Zone (EEZ). The Magnuson-Stevens Fishery 
Conservation and Management Act (Magnuson-Stevens Act), originally 
passed in 1976, directed NMFS to provide the domestic fishing industry 
priority access to the fishery resources in the EEZ. In an attempt to 
accelerate development of domestic fisheries, the American Fisheries 
Promotion Act of 1980 amended the S-K Act to stimulate commercial and 
recreational fishing efforts in underutilized fisheries.
    In the ensuing years, the efforts to Americanize the fisheries were 
successful to the point that most nontraditional species were fully 
developed and traditional fisheries became overfished. Therefore, the 
S-K Program priorities evolved to include a wide range of resource 
conservation and management issues and aquaculture.
    In 1993, NOAA developed a long-range Strategic Plan that included a 
focus on rebuilding fisheries for sustainable use. The NOAA Strategic 
Plan strengthened the basis for the continued shift in the priorities 
of the S-K Program toward such issues as overfishing and bycatch.
    Passage in 1996 of the Sustainable Fisheries Act (Public Law 104-
297), which amended the Magnuson-Stevens Act, supports further 
adjustment to the S-K Program to address the current condition of 
fisheries.
    The Magnuson-Stevens Act recognizes that U.S. fisheries face many 
problems. It also recognizes the adverse effects of fishing in terms of 
bycatch of nontarget species, and habitat impacts. The Act requires 
that overfishing be stopped and that the problems of U.S. fisheries be 
corrected. Specifically, the Magnuson-Stevens Act requires NMFS to 
undertake efforts to prevent overfishing, rebuild overfished fisheries, 
insure conservation, protect essential fish habitats, and realize the 
full potential of U.S. fishery resources. However, the Act also 
acknowledges the potential adverse impacts on people in making such 
corrections. Therefore, it requires that conservation and management 
measures, consistent with conservation requirements of the Act, take 
into account the importance of fishery resources to fishing communities 
in order to provide for the sustained participation of such communities 
and, to the extent practicable, minimize adverse economic impacts on 
such communities. A ``fishing community'' is defined in the Magnuson-
Stevens Act as ``a community which is substantially dependent on or 
substantially engaged in the harvest or processing of fishery resources 
to meet social and economic needs, and includes fishing vessel owners, 
operators, and crew and United States fish processors that are based in 
such community.'' (16 U.S.C. 1802.)
    The 1998 S-K Grant Program announced under this notice will address 
the needs of fishing communities in optimizing economic benefits within 
the context of rebuilding and maintaining sustainable fisheries and in 
dealing with the impacts of conservation and management measures. The 
funding priorities listed under section II of this notice identify 
areas of research and development that relate to these needs.
    While the S-K Program continues to be open to applicants from a 
variety of sectors, including industry, academia, and state and local 
governments, successful applicants will be those whose projects 
demonstrate significant direct benefits to fishing communities.

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.
    This notice is published subject to, and funding of projects is 
contingent upon, the appropriation of funds by Congress for this 
program in Fiscal Year (FY) 1998, which begins on October 1, 1997. The 
Administration's request for the S-K Grant Program for FY 1998 is $4 
million, which will be used to support projects solicited under this 
document.
    Funding under the program will be provided for research, 
development, and technology transfer activities that address the 
funding priorities listed in section II. Funding will not be provided 
for projects that primarily involve infrastructure construction, port 
and harbor development, and start-up or operational costs for private 
business ventures. Furthermore, 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, in order to be considered.

C. Catalogue of Federal Domestic Assistance

    The S-K Grant Program is listed in the ``Catalogue of Federal 
Domestic Assistance'' under number 11.427, Fisheries Development and 
Utilization Research and Development Grants and Cooperative Agreements 
Program.

II. Funding Priorities

    Applicants should ensure that their proposals address one or more 
of the following priorities, which are listed in no particular order:

A. Minimize Interactions Between Fisheries and Protected or Non-
Targeted Species

    Develop methods to eliminate or reduce adverse interactions between 
fishing operations and nontargeted, protected, or prohibited species 
(e.g., juvenile or sublegal-sized fish and shellfish, females of 
certain crabs, marine turtles, seabirds, or marine mammals), including 
the inadvertent take, capture, or destruction of such species.
    Conduct research on behavioral responses of both target and 
nontarget marine organisms to fishing gear and practices, in order to 
facilitate the design of gear and practices to actively avoid nontarget 
organisms.
    Develop methods to improve the survivability of fish discarded and 
protected species released in fishing operations, including 
modifications in gear, fishing practices, and handling practices to 
reduce the detrimental effects of capture, and develop methods to 
assess both the immediate and delayed mortality associated with 
capture.
    Develop reliable methods to assess or record the extent and 
composition of fisheries bycatch, especially onboard vessels, to reduce 
the need for labor-intensive and expensive onboard observer programs.

B. Rebuild Overfished Fisheries

    Develop scientific information, plans, procedures, and methods that 
contribute to the rebuilding of overfished fisheries, including 
information on status of overfished stocks, prototype capacity 
reduction programs, and projects that facilitate the development of 
rebuilding plans for fisheries.
    Develop innovative approaches to address the transition of fishing 
communities affected by declines in traditional fisheries toward 
alternate

[[Page 23224]]

employment or new business opportunities. NMFS is not soliciting 
proposals solely involving start-up or operational costs for 
individuals or individual businesses.

C. Maintain Healthy Fish Stocks

    Conduct biological, economic, social, and other studies to support 
the development of sound management practices for important 
recreational and commercial species.
    Develop innovative approaches to improve fisheries management, 
including but not limited to, assessment of alternative management 
systems and resolution of user conflicts.

D. Obtain Maximum Social and Economic Benefits from Harvestable Marine 
Resources

    Contribute to the development of commercial and recreational 
fisheries for underutilized or non-utilized species of potential 
economic importance, while maintaining long-term sustainability.
    Optimize the utilization of harvestable resources available to the 
fishing industry through innovations in how such resources are 
harvested, processed, or marketed.
    Develop marketable products from economic discards, either whole 
fish discarded because they are an undesirable species, size, or sex, 
or parts of fish discarded as not commercially useful.
    Develop improved approaches to control environmental hazards which 
affect fishery resource health and the safety of harvested fish and 
their products for human consumption.

E. Promote Aquaculture Development

    Develop or demonstrate cost-effective approaches for advancing 
environmentally sound public and private aquaculture for food, 
enhancement, industrial, and other purposes.
    Develop and evaluate strategies for culturing systems, disease 
control, and reducing the potential for negative interactions between 
cultured and wild stocks.
    Develop models for aquaculture regulation that address the 
impediments to development caused by current regulatory processes.

F. Conserve and Enhance Essential Fish Habitat

    Develop information needed by fisheries managers on the 
identification and status of essential fish habitat.
    Develop scientific approaches to assess and reduce human induced 
impacts on habitat.
    If proposals received do not adequately respond to the above 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.

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;
    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 individual who is a citizen of the Republic of the Marshall 
Islands, Republic of Palau, or the Federated States of Micronesia; 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 NMI, within the meaning of section 2 of the Shipping 
Act, 1916, as amended (46 U.S.C. app. 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 
from individuals, government entities, and businesses in U.S. insular 
areas are also encouraged. Furthermore, NMFS encourages applications 
from members of the fishing community, and applications that involve 
fishing community cooperation and participation. The extent of fishing 
community involvement will be considered by the Constituent Panel(s) 
evaluating the potential benefit of funding a proposal.
    DOC/NOAA/NMFS employees, including full-time, part-time, and 
intermittent personnel 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 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 in subsequent years. Any subsequent proposal to 
continue work on an existing project must be submitted to the 
competitive process for consideration and will not receive preferential 
treatment. Renewal of an award to increase funding or extend the period 
of performance is at the total discretion of Commerce.
    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

    For this solicitation, NMFS is requiring cost-sharing in order to 
leverage limited funds and to encourage partnerships among government, 
industry, and academia to address the needs of fishing communities. A 
minimum of 10 percent up to a maximum of 50 percent cost-share is 
required. (NMFS must contribute at least 50 percent of total project 
costs, as provided by statute.) Applications that do not provide for at 
least the minimum cost- share will be returned to the applicant and 
will not receive further consideration.
    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 
non-cash 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

[[Page 23225]]

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.
    The degree to which cost-sharing exceeds the minimum level may be 
taken into account by the NOAA Assistant Administrator in the final 
selection of projects to be funded. Applicants whose proposals are 
selected for funding will be obligated to account for the amount of 
cost-share reflected in the award documents.

D. Format

    Project applications must be clearly and completely submitted in 
the following format:
    1. Cover sheet: An applicant must use OMB Standard Form 424 and 
424B (4-92) as the cover sheet for each project. (In completing item 16 
of Standard Form 424, 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. The specific priority(ies) 
contained in section II of this document to which the application 
responds must be listed on the Project Summary.
    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 must be indicated as Federal 
and non-Federal shares, divided into cash and in-kind contributions. To 
support the budget, the applicant must describe briefly the basis for 
estimating the value of the cost-sharing 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 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. The Federal share of the indirect costs may not exceed 25 percent 
of the total proposed direct costs. Applicants with approved indirect 
cost rates above 25 percent of the total proposed direct costs may use 
the amount above the 25 percent level up to the 100 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 in the application.
    NMFS will not consider fees or profits as allowable costs for 
applicants.
    The total costs of a project consist of all allowable 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 nor recognizable 
as part of the cost-share.
    4. Narrative Project Description: The narrative project description 
may be up to 15 pages in length. The narrative should demonstrate 
knowledge of relevant research and development activity, and 
demonstrate how the proposal builds upon any past and current work in 
the subject area, as well as relevant work in related fields. Each 
project must be described as follows:
     a. Project goals and objectives: Identify the problem/opportunity 
to be addressed by the proposed project and what the project is 
expected to accomplish. Identify the specific priority(ies) to which 
the project responds. Indicate the size and economic value of the 
fisheries involved and the fishing community affected. If the 
application is for the continuation of a project previously funded 
under the S-K Program, describe in detail the progress to date and 
explain why additional 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 fishing communities, 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?
    (2) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting.)
    (3) What are the major products?
    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 by 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. Identify the principal participants in the project and 
include copies of any agreements between the participants and the 
applicant describing the specific tasks to be performed. Provide a 
statement of the qualifications and experience (e.g., resume or 
curriculum vitae) of the principal investigator(s) and any consultants 
and/or subcontractors, 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

[[Page 23226]]

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, indicate the process used for selection.
     g. Project impacts: Describe the anticipated impacts of the 
project on fishing communities in terms of reduced bycatch, increased 
product yield, 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 that 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 fishing community need(s) to be addressed by 
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. The principal 
investigator must be identified in order for the application to be 
accepted. (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 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(s): After the technical evaluation, individual 
comments will be solicited from a panel or panels of three or more 
representatives selected by the NOAA Assistant Administrator for 
Fisheries (AA), from the fishing industry, state government, and 
others, as appropriate, to evaluate and rank the projects. Considered 
in the rankings, along with the technical evaluation, will be the 
significance of the problem or opportunity addressed in the project and 
the degree of involvement by fishing community members. Each panelist 
will rank the projects 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, including one signed 
original and nine signed copies of the application.
    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

[[Page 23227]]

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. An 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 424 (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.''
    7. Complete the Financial Audit Information form.

B. Obligations of Successful Applicants (Recipients)

    A recipient of a grant award for a project must:
    1. Manage the day-to-day operations of the project, be responsible 
for the performance of all activities for which funds are granted, and 
be responsible for the satisfaction of all administrative and 
managerial conditions imposed by the award.
    2. Keep records sufficient to document any costs incurred under the 
award, and allow access to records for audit and examination by the 
Secretary, the Comptroller General of the United States, or their 
authorized representatives.
    3. Submit semiannual project status reports on the use of funds and 
progress of the project to NMFS within 30 days after the end of each 6-
month period. These reports will be submitted to the individual 
specified as the NMFS Program Officer in the funding agreement.
    4. Submit a final report within 90 days after completion of each 
project to the NMFS Program Officer. The final report must describe the 
project and include an evaluation of the work performed and the results 
and benefits in sufficient detail to enable NMFS to assess the success 
of the completed project.
    NMFS is committed to using available technology to achieve the 
timely and wide distribution of final reports to those who would 
benefit from this information. Therefore, recipients are required to 
submit final reports in electronic format, in accordance with the award 
terms and conditions, for publication on the NMFS Home Page. Costs 
associated with preparing and transmitting final reports to NMFS in 
electronic format are appropriately funded from the grant award. 
Requests for exemption from this requirement may be considered by NMFS 
on a case-by-case basis.
    Formats for the semiannual and final reports, which have been 
approved by OMB, will be provided to successful applicants.
    5. In order for NMFS to assist the grantee in disseminating 
information, the grantee is requested to submit all publications 
printed with grant funds (in addition to the final report in V.B.4. 
above) to the NMFS Program Officer. Either three hard copies or an 
electronic version of any such publications should be submitted.

C. 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 the Department of Commerce 
(Commerce) are made.
    6. Buy American. Applicants are hereby notified that they are 
encouraged to the extent feasible to purchase American-made equipment 
and products with the funding provided 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 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

    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.
    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 under control

[[Page 23228]]

number 0648-0135. Notwithstanding any other provision of law, no person 
is required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the Paperwork Reduction Act unless that collection of 
information displays a currently valid OMB Control Number.
    A solicitation for applications will also appear in the ``Commerce 
Business Daily.''
    Dated: April 23, 1997.
Gary C. Matlock,
Acting Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 97-10997 Filed 4-28-97; 8:45 am]
BILLING CODE 3510-22-F