[Federal Register Volume 63, Number 74 (Friday, April 17, 1998)] [Notices] [Pages 19240-19244] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 98-10137] ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE National Oceanic and Atmospheric Administration [Docket No. 980401083-8083-01 ; I.D. 021398C] RIN 0648-ZA36 Financial Assistance for Research and Development Projects in the Northeastern Coastal States; Marine Fisheries Initiative (MARFIN) AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: NMFS announces that funding will be available to assist persons in carrying out research and development projects that optimize the use of fisheries in the Northeastern Coastal States, focusing on the New England region. Priority funding consideration in 1998 is given to projects involving the assimilation and analysis of economic, social, and cultural information to assist in the formulation of marine fishery management decisions. NMFS issues this notice describing the conditions under which applications will be accepted and selected for funding. DATES: Applications for funding under this program will be accepted between April 17, 1998 and 5 p.m. eastern daylight time on May 18, 1998. Applications received after that time will not be considered for funding. ADDRESSES: Send applications to: Harold C. Mears, Director, State, Federal & Constituent Programs Office, Northeast Regional Office, NMFS, One Blackburn Drive, Gloucester, MA 01930. Copies of Stock Assessment Workshop (SAW) Reports are available from: Helen Mustafa, Northeast Fisheries Science Center, NMFS, 166 Water Street, Woods Hole, MA 02543- 1026. No facsimile application will be accepted. FOR FURTHER INFORMATION CONTACT: Harold C. Mears, 978-281-9243. SUPPLEMENTARY INFORMATION: I. Authority The Secretary of Commerce (Secretary) is authorized under 15 U.S.C. 713c-3 to conduct any biological, technological, or other research pertaining to American fisheries and, under 16 U.S.C. 742f, to take such steps as may be required for the development, advancement, management, conservation, and protection of the fisheries resources. II. Catalog of Federal Domestic Assistance This program is described in the ``Catalog of Federal Domestic Assistance'' (CFDA), under program number 11.433, Marine Fisheries Initiative. III. Program Description MARFIN financial assistance began in FY 1986 in the NMFS Southeast Region and is being expanded to New England for the first time in FY 1998. MARFIN is a competitive Federal assistance program that promotes and endorses programs which seek to optimize benefits from U.S. marine fishery resources through cooperative research and development efforts. Projects to be funded under the Northeastern MARFIN Program are envisioned as multi-sector partnerships to complement the goals and objectives of the NOAA Fisheries Strategic Plan, a copy of which is available from the Northeast Regional Office (see ADDRESSES). The Plan's elements include shared stewardship responsibilities relating to sustainable fisheries, recovered protected species, and healthy living marine resource habitat. Applications from multiple cooperating applicants that address conservation and management needs over the broad scope of a fishery or fisheries are encouraged. Overall MARFIN emphasis will be placed upon funding projects that have the greatest probability of recovering, maintaining, improving, or developing fisheries; improving the understanding of factors affecting recruitment success; and/or generating increased values and opportunities for commercial and recreational marine fishery industries. During this first year of the Northeastern MARFIN Program, priority funding consideration will be given to projects involving the assimilation and analysis of social and cultural information to assist in the formulation of marine fishery management decisions. Projects will be evaluated as to the likelihood of achieving these benefits through both short-term and long-term research efforts, with consideration of the magnitude of the eventual economic or social benefits that may be realized. However, short-term projects which emphasize immediate benefits will receive priority consideration. IV. Funding Availability This solicitation announces that funding of approximately $500,000 will be available in FY 1998. There is no guarantee that sufficient funds will be available to make awards for all approved projects. Publication of this [[Page 19241]] notice does not obligate NMFS to award any specific project or to obligate all or any parts of the available funds. V. Matching Requirements Cost-sharing is not required for the MARFIN program. If an applicant chooses to share costs, and if that application is selected for funding, the applicant will be bound by the percentage of the cost share reflected in the award document signed by the Grants Officer. VI. Type of Funding Instrument The cooperative agreement has been determined to be the preferred appropriate funding instrument, dependent upon the nature and scope of the submitted project(s). NMFS is substantially involved in developing program research priorities, conducting cooperative activities with recipients, and evaluating the performance of recipients for effectiveness in meeting national and regional goals for fishery research in the northeastern United States. VII. Eligibility Criteria A. Applications for MARFIN projects may be made, in accordance with the procedures set forth in this notice, 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. 4. States or local governments, universities, corporations, partnerships, or other entity, non-profit or otherwise, if such an 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). B. Federal agencies, Federal instrumentalities, Federal employees, including NOAA employees (full-time, part-time, and intermittent personnel or their immediate families), and NOAA offices or centers are not eligible to submit an application under this solicitation, or aid in the preparation of an application during the 30-day solicitation period, except to provide information about the MARFIN program and the priorities and procedures included in this solicitation. However, NOAA employees are permitted to provide information about ongoing and planned NOAA programs and activities that may have implication for an application. Potential applicants are encouraged to contact Harold C. Mears at the NMFS Northeast Regional Office (see ADDRESSES) for information on NOAA grant programs. VIII. Award Period Generally, the awards will be for a period of 1 year, but no more than 18 months at a time. If an application 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 to extend the period of performance is at the total discretion of the Department of Commerce (DOC). IX. Indirect Costs The budget may 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 indirect cost rates above 25 percent 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, if applicable, must be included with the application. X. Application Forms and Kit Before submitting an application under this program, applicants should contact the NMFS Northeast Regional Office for a copy of this solicitation's MARFIN Application Package (see ADDRESSES). Applications for project funding under this program must be complete and in accordance with instructions in the MARFIN Application Package. Each application must include all specified sections as listed in the Application Package, including, but not limited to the following: Cover sheet (SF 424), Project Summary, Project Budget, and Narrative Project Description (Goals & Objectives; Impacts; Evaluation; Need for Governmental Assistance; Participation by Persons Other Than the Applicant; Federal, State and Local Government Activities and Permits; Project Statement of Work; and Project Management). Project applications must identify the principal participants and include copies of any agreements describing the specific tasks to be performed by all participants. Applications should give a clear presentation of the proposed work, the methods for carrying out the project, its relevance to managing and enhancing the use of fishery resources in the New England Coastal States, and cost estimates as they relate to specific aspects of the project. Budgets must include a detailed breakdown by category of expenditures with appropriate justification for both the Federal and non-Federal shares. Applicants should not assume prior knowledge on the part of NMFS as to the relative merits of the project described in the application. Applications are not to be bound in any manner and must be printed on one side, only. All incomplete applications will be returned to the applicant. Ten copies (one signed original and nine signed copies) of each application are required and must be submitted to the NMFS Northeast Regional Office, State, Federal & Constituent Programs Office (see ADDRESSES). OMB has approved 10 copies, under Approval #0648- 0175. XI. Project Funding Priorities Proposals should exhibit familiarity with related work that is completed or ongoing. Where appropriate, proposals should be multi- disciplinary. Coordinated efforts involving multiple institutions or persons are encouraged. The areas of emphasis for FY 1998 are as follows: The highest priority is the development of social, economic, and cultural information to assist in fisheries management, focusing on the New England region. To the extent that funding may be available, the secondary priority is research which addresses species and information needs (discussed here) identified during recent Stock Assessment Workshops hosted by the NMFS Northeast Fisheries Science Center. In addition to referencing specific area(s) of special interest, proposals should state whether the research will apply to the New England coastal states only or to other areas as well. Successful applicants may be required to collect and manage the following data in accordance with standardized procedures and formats approved by NMFS and to participate with NMFS in specific cooperative activities which will be determined by consultations [[Page 19242]] between NMFS and successful applicants before project grants are awarded: A. Social, Economic, and Cultural Information. The following priorities concern the assimilation and analysis of socio-economic and cultural data to assist in inter-jurisdictional marine fishery management decisions. 1. Development of Input-Output Models for Marine Fishery-Related Sectors. Input-Output modeling efforts using IMPLAN software as a development platform which employs common data and analytical protocols for each geographical jurisdiction (e.g., state) are strongly encouraged. At the commercial harvest level, cost and employment data by major gear types are required. Similar product flow and employment data would be desirable for shore-side businesses, including dealers, processors, wholesalers and retailers. For recreational related service and retail industries, data are required on the number of establishments, value of sales, trade flows and employees. Appropriate commercial and recreational fishery harvest and expenditure data available from the NMFS Northeast Fisheries Science Center can be requested during the course of the investigation. A demonstrated cooperative relationship by the applicant with appropriate state marine resource agencies will strengthen the proposal. 2. Development of Fishing Community Profiles. Develop studies to identify and characterize fishing communities, with emphasis on the coastal New England states, particularly communities involved in critical fisheries, i.e., those where stocks are overfished and/or highly restrictive management measures are being proposed or implemented. A fishing community is defined in the Magnuson-Stevens Fishery Conservation and Management 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.'' In profiling these communities, it is important to include a description of current and historical participation in each fishery, the number of fishermen, vessels, dealers, wholesalers, processors, and fishery-dependent industries; basic demographic data on harvesting and processing sector households; and an ethnographic description of relevant social, cultural, and economic institutions. Cooperation among applicants, academic researchers, state fishery management agencies, and fishing industry (harvesting, processing and marketing) associations will enhance proposals addressing this priority. B. Studies in Support of Stock Assessments for Northeast Fishery Resources. The following needs for research and management information are based upon data priorities discussed during recent SAW hosted by the NMFS Northeast Fisheries Science Center (NEFSC). Copies of SAW reports are available from the NEFSC (see ADDRESSES). 1. Organize and conduct a workshop on closed areas, their size and location, and opening/closing rotation strategies as a tool in fishery management, with special reference to the management of sea scallops. 2. Conduct augmented sampling of fishing areas which are presently closed to fishing and, in particular, develop monitoring sites for benthos. The purpose of this work is to develop data sufficient to assess long-term effects of bottom-tending fishing gear. 3. Develop a module for catch/survey methods for incorporation into the Woods Hole Assessment ``Toolbox.'' In particular, this work should produce enhancements to the Collie/Sissenwine stock assessment modeling software. 4. Conduct basic biological sampling of Atlantic halibut landings to record and analyze basic population biology. 5. Conduct mark-recapture studies, shell biochemical studies, clapper/live animal ratios, and longevity of clappers to improve the estimation of natural mortality rate of surf clams, based on historical ageing information and field and laboratory studies. XII. Evaluation Criteria Cooperatively developed applications that propose activities of two or more qualified applicants to address important fishery conservation and management issues or problems identified in the Project Funding Priorities for this solicitation may be evaluated as a group by NMFS. If selected for funding, individual cooperative awards may be made to each individual applicant. Application procedures for this type of proposal are also included in the FY 1998 MARFIN Application Package. A. Unless otherwise specified by statute, in reviewing applications for cooperative agreements, including those that include consultants and contracts, NOAA will make a determination regarding the following: 1. Is the involvement of the applicant necessary to the conduct of the project and the accomplishment of its goals and objectives? 2. Is the proposed allocation of the applicant's time reasonable and commensurate with the applicant's involvement in the project? 3. Are the proposed costs for the applicant's involvement in the project reasonable and commensurate with the benefits to be derived from the applicant's participation? B. Applications meeting the above requirements will be forwarded for technical evaluation. Applicants submitting applications not meeting the above requirements will be notified. Evaluations may involve experts from NOAA organizations as well as from non-NOAA entities (such as universities, state fishery agencies, and members of the fishing industry). All reviewers will be required to sign non- disclosure and conflict of interest statements concerning the application they are reviewing. The reviewers will assign scores to applications based on the following evaluation criteria: 1. Does the proposal have a clearly stated goal(s) with associated objectives that meet the needs outlined in the Project Narrative? (30 points) 2. Does the proposal clearly identify and describe, in the Project Outline and Statement of Work, scientifically valid methodologies and analytical procedures that will adequately address project goals and objectives? (30 points) 3. Do the principal investigators provide a scientifically realistic timetable to enable full accomplishment of all aspects of the Statements of Work? (20 points) 4. Do the principal investigators define how they will maintain stewardship of the project performance, finances, cooperative relationships, and reporting requirements for the proposal? (10 points) 5. Are the proposed costs appropriate for the scope of work proposed? (10 points) XIII. Selection Procedures All applications, along with their technical evaluation comments and scores, will be considered by a NMFS Science Group and ranked into two categories: ``Recommended,'' and ``Not Recommended.'' Proposals ranked as ``Not Recommended'' will not be given further consideration for selection and funding. Proposals ranked as ``Recommended'' will be presented to a Constituent Panel of non-NOAA fishery experts who will individually consider the significance of the problem addressed in each project proposal, the technical scores and evaluations, and the need for funding. These panel [[Page 19243]] members will provide individual recommendations to NMFS on each proposal classified as ``Recommended.'' No consensus advice will be given by the panel. The non-NOAA panel members' individual comments, recommendations and evaluations, the recommendations of the NMFS Science Group, and the NMFS Program Officer (serving in an advisory capacity) will be considered, in accordance with project funding priorities, by the Regional Administrator, Northeast Region. The Regional Administrator, in consultation with the Assistant Administrator for Fisheries, will (a) determine which projects do not substantially duplicate other projects which are currently being funded by NOAA or are approved for funding by other Federal offices, (b) select the projects to be funded, (c) determine the amount of funds available for each project, and (d) determine which components of the selected projects shall be funded. The exact amount of funds awarded, the final scope of activities, the project duration, and specific NMFS cooperative involvement with the activities of each project will be determined in pre-award negotiations among the applicant, the NOAA Grants Office, and the NMFS Program Staff. Projects must not be initiated by recipients until a signed financial assistance award is received from the NOAA Grants Office. Successful applicants will be generally recommended within 210 days from the date of publication of this notice. The earliest start date of awards will be approximately 90 days after each project is selected and after all NMFS/applicant negotiations of cooperative activities have been completed (the earliest start date of awards will be approximately 300 days after the date of publication of this notice). Applicants should consider this selection and processing time in developing requested start dates for their applications. XIV. Other Requirements A. Federal policies and procedures. Recipients and subrecipients are subject to all Federal laws and Federal and DOC policies, regulations, and procedures applicable to Federal financial assistance awards. Women and minority individuals and groups are encouraged to submit applications under this program. B. Past performance. Any first- time applicant for Federal grant funds under this announcement is subject to a pre-award accounting survey prior to execution of the award. Unsatisfactory performance under prior Federal awards may result in an application not being considered for funding. C. Pre-award activities. If applicants incur any costs prior to an award being made, they do so solely at their own risk of not being reimbursed by the Government. Notwithstanding any verbal or written assurance that they may have received, there is no obligation on the part of DOC to cover pre-award costs. D. No obligation of future funding. If an application is selected for funding, DOC has no obligation to provide any additional future funding in connection with the award. Renewal of an award to increase funding or extend the period of performance is at the total discretion of DOC. E. Delinquent Federal debts. No award of Federal funds shall be made to an applicant or to its subrecipients who have any outstanding delinquent Federal debt or fine until either: 1. The delinquent account is paid in full; 2. A negotiated repayment schedule is established and at least one payment is received; or 3. Other arrangements satisfactory to DOC are made. F. Name check review. All non-profit and for-profit applicants are subject to a name check review process. Name checks are intended to reveal if any key individuals associated with the applicant have been convicted of, or are presently facing, such criminal charges as fraud, theft, perjury, or other matters that significantly reflect on the applicant's management, honesty, or financial integrity. Potential non- profit and for-profit recipients may also be subject to reviews of Dun and Bradstreet data or other similar credit checks. G. Primary applicant certifications. All primary applicants must submit a completed Form CD 511, ``Certifications Regarding Debarment, Suspension and Other Responsibility Matters; Drug-Free Workplace Requirements and Lobbying,'' and the following explanations are hereby provided: 1. Nonprocurement debarment and suspension. Prospective participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 26, ``Nonprocurement Debarment and Suspension,'' and the related section of the certification form prescribed above applies; 2. Drug-free workplace. Grantees (as defined at 15 CFR 26.605) are subject to 15 CFR part 26, subpart F, ``Government-wide Requirements for Drug-Free Workplace (Grants),'' and the related section of the certification form prescribed above applies; also please enter the Principal Place of Performance, i.e. where the work will be done, on the form. 3. Anti-lobbying. Persons (as defined at 15 CFR 28.105) are subject to the lobbying provisions of 31 U.S.C. 1352, ``Limitation on use of appropriated funds to influence certain Federal contracting and financial transactions,'' and the lobbying section of the certification form prescribed above applies to applications/bids for grants, cooperative agreements, contracts for more than $100,000, loans and loan guarantees for more than $150,000, or the single family maximum mortgage limit for affected programs, whichever is greater; and 4. Anti-lobbying disclosures. Any applicant who has paid or will pay for lobbying using any funds must submit a Form SF-LLL, ``Disclosure Form to Report Lobbying,'' as required under 15 CFR part 28, appendix B. H. Lower tier certifications. Recipients shall require applicants/ bidders for subgrants, contracts, subcontracts, or other lower tier covered transactions at any tier under the award to submit, if applicable, a completed Form CD 512, ``Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' and disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form CD 512 is intended for the use of recipients and should not be transmitted to DOC. A form SF-LLL submitted by any tier recipient or subrecipient should be submitted to DOC in accordance with the instructions contained in the award document. I. False statements. A false statement on the application is grounds for denial or termination of funds and grounds for possible punishment by a fine or imprisonment as provided in 18 U.S.C. 1001. J. Intergovernmental review. Applications under this program are subject to the provisions of E.O. 12372, ``Intergovernmental Review of Federal Programs.'' K. Requirement to buy American-made equipment and products. Applicants are hereby notified that they are encouraged, to the extent feasible, to purchase American-made equipment and products with funding provided under this program. Classification Prior notice and an opportunity for public comments are not required by the Administrative Procedure Act or by 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. [[Page 19244]] This action has been determined to be not significant for purposes of E.O. 12866. Cooperative agreements awarded pursuant to pertinent statutes shall be in accordance with the Fisheries Research Plan (comprehensive program of fisheries research) in effect on the date of the award. Federal participation under the MARFIN Program may include the assignment of DOC scientific personnel and equipment. Reasonable, negotiated financial compensation will be provided under awards for the work of eligible grantee workers. Information-collection requirements contained in this notice have been approved by the Office of Management and Budget (OMB control number 0648-0175, 0348-0043 and 0348-0046) under the provisions of the Paperwork Reduction Act. 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. Public reporting burden for agency-specific collection-of- information elements, exclusive of requirements specified under applicable OMB circulars, is estimated to average 4 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 reporting burden estimate or any other aspect of this collection of information, including suggestions for reducing the burden, to NMFS (see ADDRESSES). Dated: April 10, 1998. Rolland A. Schmitten, Assistant Administrator for Fisheries, National Marine Fisheries Services. [FR Doc. 98-10137 Filed 4-16-98; 8:45 am] BILLING CODE 3510-22-F