[Federal Register Volume 64, Number 43 (Friday, March 5, 1999)]
[Notices]
[Pages 10623-10628]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5114]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 990125028-9028-01]
RIN 0648-ZA54


Aquatic Nuisance Species Research and Outreach and Improved 
Methods for Ballast Water Treatment and Management: Request for 
Proposals for FY 1999

AGENCY: National Sea Grant College Program, National Oceanic and 
Atmospheric Administration, Department of Commerce.

ACTION: Notice of request for proposals.

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SUMMARY: The purpose of this notice is to advise the public that the 
National Sea Grant College Program (Sea Grant) is entertaining 
preliminary proposals and subsequently full proposals for innovative 
research, outreach, and demonstration projects that address the 
problems of Aquatic Nuisance Species in U.S. coastal waters. In FY 1999 
and 2000, Sea Grant expects to make available about $2,300,000 per year 
to support projects to prevent and/or control nonindigenous species 
invasions in all U.S. marine waters, the Great Lakes, and Lake 
Champlain; matching funds equivalent to a minimum of 50% of the Federal 
request must be provided. In FY 1999 only, Sea Grant also expects to 
make available about $1,000,000 to support demonstration projects to 
improve ballast water treatment and management in Chesapeake Bay and 
the Great Lakes, matching funds may also be included for these 
projects, but are not required. Successful projects will be selected 
through national competitions.

DATES: Preliminary proposals must be submitted before 5 pm (local time) 
on April 5, 1999 to the nearest state Sea Grant College Program or the 
National Sea Grant Office (NSGO). After evaluation at the NSGO, some 
proposers will be encouraged to prepare full proposals, which must be 
submitted before 5 pm (local time) on May 27, 1999 to the nearest state 
Sea Grant College Program or NSGO.

ADDRESSES: Investigators located in states with Sea Grant Programs must 
submit their preliminary proposals and full proposals through those 
programs. The addresses of the Sea Grant College Program directors may 
be found on Sea Grant's home page (http://www.mdsg.umd.edu/NSGO/
index.html) or may also be obtained by contacting the Program Manager 
at the National Sea Grant Office (see below). Investigators from non-
Sea Grant states applying for the ``Ballast Water Treatment and 
Management Program,'' only, may submit their preliminary proposals and 
proposals directly to the National Sea Grant Office at: National Sea 
Grant College Program, R/SG, Attn: Aquatic Nuisance Species 
Competition, Room 11841, NOAA, 1315 East-West Highway, Silver Spring, 
MD 20910.

FOR FURTHER INFORMATION CONTACT: Leon M. Cammen, Aquatic Nuisance 
Species Coordinator, National Sea Grant College Program, R/SG, NOAA, 
1315 East-West Highway, Silver Spring, MD 20910, or Mary Robinson, 
Secretary, National Sea Grant Office, 301-713-2435; facsimile 301-713-
0799.

SUPPLEMENTARY INFORMATION: 

I. Program Authority

    Authority: 33 U.S.C. 1121-1131.

    Catalog of Federal Assistance Number: 11.417, Sea Grant Support.

II. Program Description

Background

    Nonindigenous species introductions are increasing in frequency and 
causing substantial damage to the Nation's environment and economy. 
Although the most prominent of these has been the zebra mussel, many 
other nonindigenous species have been introduced and have truly become 
a nationwide problem that threatens many aquatic ecosystems. While some 
intentional introductions may have had beneficial effects, there are 
many other nonindigenous species already present in U.S. waters, or 
with the potential to invade, that may cause significant damage to 
coastal resources and the economies that depend upon them. In response, 
the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 
(16 U.S.C. 4701 et seq.) established a framework for the Nation to 
address the problems of aquatic nuisance species invasions of coastal 
and Great Lakes ecosystems.
    Although problems such as the zebra mussel and the sea lamprey 
within the Great Lakes have received the most attention, invasions of 
nonindigenous species in coastal marine environments are an increasing 
and serious threat. The National Invasive Species Act of 1996 (16 
U.S.C. 4711-4714) recognized this by calling for Federal funding to 
support aquatic nuisance species prevention and control along the 
Nation's marine coast.
    In addition, the Act recognized the serious threat posed by ballast 
water discharge in causing new invasions and called for ballast water 
management demonstration programs. A 1996 National Research Council 
study of the ballast water problem, ``Stemming the Tide,'' concluded 
that with the growth of global shipping, and the changes in modern 
shipping practices, introductions of nonindegenous species through 
ballast water discharge were likely to remain a serious problem. The 
study called for the development of improved technology for the 
management of ballast water to eliminate this threat to the Nation's 
ecosystems. A demonstration project testing filtration of ballast water 
as a method of reducing introductions is currently underway in the 
Great Lakes, but it is acknowledged that there is unlikely to be a 
single solution that is acceptable for all modes of shipping operations 
and classes of vessels.

Funding Availability and Priorities

    The National Sea Grant College Program encourages proposals that 
address one of the following two program areas:
(1) Research and Outreach to Prevent and Control Aquatic Nuisance 
Species Invasions
    An interagency Ad Hoc Committee on Exotic Species in the Great 
Lakes has prepared a report entitled, ``Coordinated Program of Research 
for Exotic Species in the Great Lakes.'' Although targeted for the 
Great Lakes, the report provides a useful framework for research and 
outreach on any nonindigenous species problems and is therefore being 
used to structure this more general request for proposals covering U.S. 
marine waters, the Great Lakes, and Lake Champlain. Research and 
outreach proposals are requested that address one or more of the 
following program areas:
    (a) Biology and Life History: Basic biological research into 
population dynamics, genetics, physiology, behavior, and parasites and 
diseases of nonindigenous species with the potential to lead to the 
development of ecologically safe, effective, and inexpensive control. 
Research on the ecological and environmental tolerances of 
nonindigenous species with the potential for prediction of eventual 
geographic and ecological impacts.
    (b) Effects on Ecosystems: Research on the impacts of nonindigenous 
species at

[[Page 10624]]

each stage of their life history with the potential for helping natural 
resource managers determine how to minimize the impacts on established 
biota and their habitats.
    (c) Socio-Economic Analysis: Costs and Benefits: Research on the 
potential impacts of nonindigenous species on human health in terms of 
spread of disease, concentration of pollutants, and contamination or 
purification of drinking water sources. Economic impact on sport, 
commercial and tribal fisheries, the recreation and tourism industry, 
and tribal fisheries, the recreation and tourism industry, the shipping 
and navigation industry, and municipal and industrial water users. Use 
of research results to provide a scientific basis for developing sound 
policy and environmental law, and for public education and technology 
transfer.
    (d) Control and Mitigation: Research into various types of 
control--engineering (redesigning water intakes, etc.), physical 
(scraping, filtering, etc.), chemical (biocides, antifoulants, etc.), 
biological (parasites, predators, etc.), and physicochemical (heat, 
salinity, pH, etc.)--to develop selective, effective controls that 
minimize adverse ecological/environmental impacts. Outreach activities 
that will transfer these technologies to the appropriate users.
    (e) Preventing New Introductions: Research and outreach into 
identifying vectors of introduction, developing cost-effective, 
realistic methods of prevention, and transferring the information to 
appropriate users. In particular, research to develop workable and 
effective methods to eliminate ballast water discharge as a source of 
nonindigenous species introductions without imposing undue hardships on 
the shipping industry.
    (f) Reducing the Spread of Established Populations: Research and 
outreach to identify mechanisms for further dispersal of individual 
established species that will lead to the development of safeguards and 
protocols to prevent and/or slow the spread of nonindigenous species to 
uninfested areas, and transfer of that information to appropriate 
users.
    (g) Ballast Water Pathogens and Public Health: Research to assess 
the public health risks posed by pathogens released in ballast waters 
discharges in U.S. ports.
    About $2,300,000 is available from the National Sea Grant College 
Program to support these projects in FY 1999; an additional $2,300,000 
may be available in FY 2000 depending on the overall funding 
appropriation for the National Sea Grant College Program. Of this 
amount, 70% of the funds will be made available to support research 
projects and 30% for outreach activities. Project activities should 
include identified milestones for each project year, and the second 
year of funding is contingent upon availability of funds and submission 
of an annual report showing satisfactory progress. Proposals may 
request up to $150,000 per year and each proposal must include 
additional matching funds equivalent to at least 50% of the Federal 
funds requested; for example, a proposal requesting a total of $200,000 
in Federal support for two years would have to include at least an 
additional $100,000 in matching funds. Regardless of any approved 
indirect cost rate applicable to the award, the maximum dollar amount 
of allocable indirect costs for which the Department of Commerce will 
reimburse the Recipient shall be the lesser of: (a) the Federal share 
of the total allocable indirect costs of the award based on the 
negotiated rate with the cognizant Federal agency as established by 
audit or negotiation; or (b) The line item amount for the Federal share 
of indirect costs contained in the approved budget of the award.
(2) Ballast Water Treatment and Management
    Research to develop workable and effective methods to eliminate 
ballast water discharge as a source of nonindigenous species 
introductions without imposing undue hardships on the shipping 
industry. Possible approaches include (but are not limited to) 
development and/or demonstration of technologies for treatment or 
management of ballast water on-board ship or for on-shore management. 
Projects that include on-vessel or on-shore demonstrations of 
feasibility will be given priority. Projects must be clearly targeted 
toward addressing ballast water management in either Chesapeake Bay or 
the Great Lakes, but investigators located outside those regions may 
participate if all demonstrations are carried out in the targeted 
regions.
    About $1,000,000 is available for this activity in FY 1999, of 
which as least $240,000 will be used to support Chesapeake Bay 
activities. Proposals are limited to one year of funding, but 
activities may extend for up to two years; an annual report showing 
satisfactory progress must be submitted at the end of the first year. 
Project activities should include identified milestones for each 
project year. Proposals may request up to $500,000 in Federal support; 
matching funds may also be included, but are not required. Regardless 
of any approved indirect cost rate applicable to the award, the maximum 
dollar amount of allocable indirect costs for which the Department of 
Commerce will reimburse the Recipient shall be the lesser of: (a) The 
Federal share of the total allocable indirect costs of the award based 
on the negotiated rate with the cognizant Federal agency as established 
by audit or negotiation; or (b) the line item amount for the Federal 
share of indirect costs contained in the approved budget of the award.

III. Eligibility

    Applications may be submitted by individuals; public or private 
corporations, partnerships, or other associations or entities 
(including institutions of higher education, institutes, or non-Federal 
laboratories), or any State, political subdivision of a State, or 
agency or officer thereof.

IV. Evaluation Criteria

    The evaluation criteria for proposals submitted for support under 
the ``Research and Outreach to Prevent and Control Aquatic Nuisance 
Species Invasions'' program area are:
    (1) Impact of proposed project (50%): Significance of the aquatic 
nuisance species problem that will be addressed; the effect this 
activity will have on reducing the impact of nonindigenous species on 
the environment and/or the economy, or the need for this activity as a 
necessary step toward such a reduction in impact.
    (2) Scientific or Professional Merit (20%): Degree to which the 
activity will advance the state of the science or discipline through 
use and extension of state-of-the-art methods.
    (3) User Relationships (15%): Degree to which potential users of 
the results of the proposed activity have been involved in planning the 
activity and/or will be involved in the execution of the activity.
    (4) Innovativeness (10%): Degree to which new approaches to solving 
problems and exploiting opportunities in resource management or 
development, or in public outreach on such issues will be employed; 
alternatively, the degree to which the activity will focus on new types 
of important or potentially important resources and issues.
    (5) Qualifications and Past Record of Investigators (5%): Degree to 
which investigators are qualified by education, training, and/or 
experience to execute the proposed activity; record of achievement with 
previous funding.

[[Page 10625]]

    The evaluation criteria for proposals submitted for support under 
the ``Ballast Water Treatment and Management'' program area are:
    (1) Impact of proposed project (40%): Potential effectiveness of 
ballast water treatment technologies or practices in reducing 
introductions of nonindigenous species.
    (2) Field-Scale Demonstration (10%): Inclusion of a field-scale 
demonstration of the proposed ballast water treatment technology or 
practices.
    (3) Scientific or Professional Merit (20%): Degree to which the 
activity will advance the state of the science or discipline through 
use and extension of state-of-the-art methods.
    (4) User Relationships (15%): Degree to which potential users of 
the results of the proposed activity have been involved in planning the 
activity, will be involved in the execution of the activity, and/or are 
providing matching funds.
    (5) Innovativeness (10%): Degree to which new approaches to solving 
problems and exploiting opportunities in resource management or 
development, or in public outreach on such issues will be employed; 
alternatively, the degree to which the activity will focus on new types 
of important or potentially important resources and issues.
    (6) Qualifications and Past Record of Investigators (5%): Degree to 
which investigators are qualified by education, training, and/or 
experience to execute the proposed activity; record of achievement with 
previous funding.

V. Selection Procedures

    Preliminary proposals will be reviewed at the NSGO by a panel 
composed of government, academic, and industry experts. The panel will 
be asked to assess each proposal according to the evaluation criteria 
listed above. The panel will make individual recommendations to the 
Director of the NSGO regarding which preliminary proposals may be 
suitable for further consideration. On the basis of the panel's 
recommendations, the Director of the NSGO will advise proposers whether 
or not the submission of full proposals is encouraged. Invitation to 
submit a full proposal does not constitute an indication that the 
proposal will be funded. Interested parties who are not invited to 
submit full proposals will not be precluded from submitting full 
proposals if they have submitted a preliminary proposal in accordance 
with the procedures described below.
    Full proposals will be received at the individual state SEa Grant 
Programs or at the National Sea Grant Office, if from a non-Sea Grant 
state, and sent to peer reviewers for written reviews. The National Sea 
Grant Office will obtain the written reviews for proposals from non-Sea 
Grant states. Complete full proposals and their written reviews will be 
sent by the state Sea Grant programs to the National Sea Grant Office 
to be ranked in accordance with the assigned weights of the above 
evaluation criteria by one of two independent peer review panels 
consisting of government, academic, and industry experts; one panel 
will review the ``Research and Outreach to Prevent and Control Aquatic 
Nuisance Species Invasions'' proposals and a second panel will review 
the ``Ballast Water Treatment and Management'' proposals. These panel 
members will provide individual evaluations on each proposal, but there 
will be no consensus advice. Their recommendations and evaluations will 
be considered by the National Sea Grant Office in the final selection. 
Only those proposals rated by the panel as either Excellent, Very Good 
or Good will be eligible for funding. For those proposals, the National 
Sea Grant Office will: (a) ascertain which proposals best meet the 
program priorities, and do not substantially duplicate other projects 
that are currently funded or are approved for funding by NOAA and other 
federal agencies, hence, awards may not necessarily be made to the 
highest-scored proposals; (b) select the proposals to be funded; (c) 
determine which components of the selected projects will be funded; (d) 
determine the total duration of funding for each proposal; and (e) 
determine the amount of funds available for each proposal. 
Investigators may be asked to modify objectives, work plans, or budgets 
prior to final approval of the award. Subsequent grant administration 
procedures will be in accordance with current NOAA grants procedures. A 
summary statement of the scientific review by the peer panel will be 
provided to each applicant.

VI. Instructions for Application

Timetable

    April 5, 1999, 5 pm (local time)--Preliminary proposals due at 
state Sea Grant Program.
    April 8, 1999, 5 pm EST--Preliminary proposals due at NSGO.
    May 27, 1999, 5 pm (local time)--Full proposals due at state Sea 
Grant Program.
    July 7, 1999, 5 pm EST--Full proposals due at NSGO.
    October 1, 1999 (approximate)--Funds awarded to selected 
recipients; projects begin.

General Guidelines

    The ideal proposal attacks a well-defined problem that will be or 
is a significant societal issue. The organization or people whose task 
it will be to make related decisions, or who will be able to make 
specific use of the projects results, will have been identified and 
contacted by the Principal Investigator(s). The project will show an 
understanding of what constitutes necessary and sufficient information 
for responsible decision-making or for applied use, and will show how 
that information will be provided by the proposed activity, or in 
concert with other planned activities.
    Research projects are expected to have: a rigorous, hypothesis-
based scientific work plan, or a well-defined, logical approach to 
address an engineering problem; a strong rationale for the proposed 
research; and a clear and established relationship with the ultimate 
users of the information. Research undertaken jointly with industry, 
business, or other agencies with interest in the problem will be seen 
as being meritorious. Their contribution to the research may be in the 
form of collaboration, in-kind services, or dollars support. Projects 
that are solely monitoring efforts are not appropriate for funding.

What to Submit

Preliminary Proposal Guidelines
    To prevent the expenditure of effort that may not be successful, 
proposers must first submit preliminary proposals. Preliminary 
proposals must be single- or double-spaced, typewritten in at least a 
10-point font, and printed on metric A4 (210 mm  x  297 mm) or 8\1/2\'' 
 x  11'' paper. The following information should be included:
    (1) Signed Title Page: The title page should be signed by the 
Principal Investigator and should clearly identify the program area 
being addressed by starting the project title with either ``Research 
and Outreach to Prevent and Control Aquatic Nuisance Species 
Invasions'' or ``Ballast Water Treatment and Management.'' Principal 
Investigators and collaborators should be identified by affiliation and 
contact information. The total amount of Federal funds and matching 
funds being requested should be listed for each budget period, as well 
as the source of the matching funds. Preliminary proposals for 
``Research and Outreach to Prevent and Control Aquatic Nuisance

[[Page 10626]]

Species Invasions'' must include matching funds equivalent to at least 
50% of the Federal funds requested; matching funds are encouraged, but 
not required, for ``Ballast Water Treatment and Management'' proposals.
    (2) A concise (2-page limit) description of the project, its 
expected output or products, the anticipated users of the information, 
and its anticipated impact. Proposers may wish to use the Evaluation 
Criteria for additional guidance in preparing the preliminary 
proposals.
    (3) Resumes (1-page limit) of the Principal Investigators.
    (4) Proposers are encouraged (but not required) to include a 
separate page suggesting reviewers that the proposers believe are 
especially well qualified to review the proposal. Proposers may also 
designate persons they would prefer not review the proposal, indicating 
why. These suggestions will be considered during the review process.
    Three copies of the preliminary proposals must be submitted to the 
state Sea Grant Program Director or, for investigators in non-Sea Grant 
states, directly to the National Sea Grant Office (NSGO) before 5 pm 
(local time) on April 5, 1999. Preliminary proposals submitted to state 
Sea Grant Programs will be forwarded, along with a cover letter, to Dr. 
Leon Cammen, Aquatic Nuisance Species Coordinator, at the address below 
so as to reach the National Sea Grant Office (NSGO) on or before 5 pm 
on April 8, 1999. No institutional signatures or federal government 
forms are needed while submitting preliminary proposals.
Full Proposal Guidelines
    Each full proposal should include the items listed below. All pages 
should be single- or double-spaced, typewritten in at least a 10-point 
font, and printed on metric A4 (210 mm  x  297 mm) or 8\1/2\''  x  11'' 
paper. Brevity will assist reviewers and program staff in dealing 
effectively with proposals. Therefore, the Project Description may not 
exceed 15 pages. Tables and visual materials, including charts, graphs, 
maps, photographs and other pictorial presentations are included in the 
15-page limitation; literature citations are not included in 15-page 
limitation. Conformance to the 15-page limitation will be strictly 
enforced. All information needed for review of the proposal should be 
included in the main text; no appendices are permitted.
    (1) Signed Title Page: The title page should be signed by the 
Principal Investigator and the institutional representative and should 
clearly identify the program area being addressed by starting the 
project title with either ``Aquatic Nuisance Species Research and 
Outreach'', or ``Ballast Water Treatment and Management'' as 
appropriate. The Principal Investigator and institutional 
representative should be identified by full name, title, organization, 
telephone number and address. The total amount of Federal funds being 
requested should be listed for each budget period.
    (2) Project Summary: This information is very important. Prior to 
attending the peer review panel meetings, some of the panelists may 
read only the project summary. Therefore, it is critical that the 
project summary accurately describe the research being proposed and 
convey all essential elements of the research. The project summary 
should include: 1. Title: Use the exact title as it appears in the rest 
of the application. 2. Investigators: List the names and affiliations 
of each investigator who will significantly contribute to the project. 
Start with the Principal Investigator. 3. Funding request for each year 
of the project, including matching funds if appropriate. 4. Project 
Period: Start and completion dates. Proposals should request a start 
date of October 1, 1999, or later. 5. Project Summary: This should 
include the rationale for the project, the scientific or technical 
objectives and/or hypotheses to be tested, and a brief summary of work 
to be completed.
    (3) project Description (15-page limit):
    (a) Introduction/Background/Justification: Subjects that the 
investigator(s) may wish to include in this section are: (i) current 
state of knowledge; (ii) contributions that the study will make to the 
particular discipline or subject area; and (iii) contributions the 
study will make toward addressing the problem of nonindigenous species.
    (b) Research or Technical Plan: (i) Objectives to be achieved, 
hypotheses to be tested; (ii) Plan of work--discuss how stated project 
objectives will be achieved; and (iii) Role of project personnel.
    (c) Output: Describe the project outputs that will enhance the 
Nation's ability to manage and control nonindigenous species impacts.
    (d) Coordination with other Program Elements: Describe any 
coordination with other agency programs or ongoing research efforts. 
Describe any other proposals that are essential to the success of this 
proposal.
    (e) Literature Cited: Should be included here, but does not count 
against the 15-page limit.
    (4) Budget and Budget Justification: There should be a separate 
budget for each year of the project as well as a cumulative annual 
budget for the entire project. Applicants are encouraged to use the Sea 
Grant Budget Form 90-4, but may use their own form as long as it 
provides the same information as the Sea Grant form. Subcontracts 
should have a separate budget page. Matching funds must be indicated if 
required; failure to provide adequate matching funds will result in the 
proposal being rejected without review. Applicants should provide 
justification for all budget items in sufficient detail to enable the 
reviewers to evaluate the appropriateness of the funding requested. For 
all applications, regardless of any approved indirect cost rate 
applicable to the award, the maximum dollar amount of allocable 
indirect costs for which the Department of Commerce will reimburse the 
Recipient shall be the lesser of: (a) The Federal share of the total 
allocable indirect costs of the award based on the negotiated rate with 
the cognizant Federal agency as established by audit or negotiation; or 
(b) The line item amount for the Federal share of indirect costs 
contained in the approved budget of the award.
    (5) Current and Pending Support: Applicants must provide 
information on all current and pending support for ongoing projects and 
proposals, including subsequent funding in the case of continuing 
grants. All current project support from whatever source (e.g., 
Federal, State or local government agencies, private foundations, 
industrial or other commercial organizations) must be listed. The 
proposed project and all other projects or activities requiring a 
portion of time of the principal investigator and other senior 
personnel should be included, even if they receive no Federal salary 
support from the project(s). The number of person-months per year to be 
devoted to the projects must be stated, regardless of source of 
support. Similar information must be provided for all proposals already 
submitted or submitted concurrently to other possible sponsors, 
including those within NOAA.
    (6) Vitae (2 pages maximum per investigator).
    (7) Research Protocol (if appropriate): Research activities funded 
under this program must not accelerate the spread of nonindigenous 
species to non-invested watersheds. Therefore, investigators whose 
laboratories or research study sites are in currently uninfested areas 
must adopt procedures for handling the particular nonindigenous species 
that will prevent

[[Page 10627]]

its release into the environment. Such proposals must contain a 
research protocol for review by interagency committee created under the 
Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 (16 
U.S.C. 4701 et seq.) before the grant can be awarded. Guidelines for 
developing suitable protocols are available through the World Wide Web 
(www.mdsg.umd.edu/
NSGO/research/nonindigenous/RFP99.html) or from Dr. Leon Cammen at the 
National Seat Grant Office (phone: 301-713-2435 x136 or e-mail: 
leon.cammen
@noaa.gov). Proposals lacking a suitable protocol will not be eligible 
for funding.
    (8) Declaration of Vessel Selection (if appropriate): Applications 
proposing on-board demonstrations of ballast water management should 
address the requirements and priorities listed in the National Invasive 
Species Act of 1996 (16 U.S.C. 4711-4714) for selecting vessels for 
demonstration projects. These requirements are available through the 
World Wide Web (www.
mdsg.umd.edu/NSGO/research/nonindigenous/RFP99.html) or from Dr. Leon 
Cammen at the National Sea Grant Office (phone: 301-713-2435 x136 or e-
mail: [email protected]).
    (9) Standard Application Forms: Applicants may obtain all required 
application forms through the World Wide Web at http://www.mdsg.umd.
edu/NSGO/research/rfp/index.html, from the state Sea Grant Programs or 
from Dr. Leon Cammen at the National Sea Grant Office (phone: 301-713-
2435 x136 or e-mail: leon.
[email protected]). The following forms must be included:
    (a) Standard Forms 424, Application for Federal Assistance, 424A, 
Budget Information--Non-Construction Programs; and 424B, Assurances--
Non-Construction Programs, (Rev 4-88). Applications should clearly 
identify the program area being addressed by starting the project title 
with either ``Aquatic Nuisance Species Research and Outreach'' or 
``Ballast Water Management'' as appropriate. Please note that both the 
Principal Investigator and an administrative contact should be 
identified in Section 5 of the SF424. For Section 10, applicants should 
enter ``11.417'' for the CFDA Number and ``Sea Grant Support'' for the 
title. The form must contain the original signature of an authorized 
representative of the applying institution.
    (b) 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:
    (i) 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;
    (ii) 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;
    (iii) 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
    (iv) Anti-Lobbying Disclosure. Any applicant that has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR Part 28, Appendix B.
    (c) Lower Tier Certifications. Recipients shall required 
applicants/bidders for subgrants, contracts, subcontracts, or other 
lower tier covered transactions at any tier under the award to submit, 
if applicable, a completed Form CD-512, ``Certifications Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying'' and disclosure form, SF-LLL, 
``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the 
use of recipients and should not be transmitted to the Department of 
Commerce (DOC). SF-LLL submitted by any tier recipient or subrecipient 
should be submitted to DOC in accordance with the instructions 
contained in the award document.

VII. How to Submit

    Preliminary proposals and proposals must be submitted to the state 
Sea Grant Programs or, for investigators in non-Sea Grant states, 
directly to the National Sea Grant Office (NSGO), according to the 
schedule outlined above. Although investigators are not required to 
submit more than 3 copies of either preproposals or full proposals, the 
normal review process requires 10 copies. Investigators are encouraged 
to submit sufficient copies for the full review process if they wish 
all reviewers to receive color, unusually sized (not 8.5 x 11''), or 
otherwise unusual materials submitted as part of the proposal. Only 
three copies of the Federally required forms are needed. The addresses 
of the Sea Grant College Program directors may be found on Sea Grant's 
World Wide Web home page (http://www.mdsg.umd.edu/NSGO/index.html) or 
may also be obtained by contracting the Program Manager, Dr. Leon M. 
Cammen, at the National Sea Grant Office (phone: 301-713-2435 x136 or 
e-mail: [email protected]). Preproposals and proposals sent to the 
National Sea Grant Office should be addressed to: National Sea Grant 
Office R/SG, Attn: Aquatic Nuisance Species Coordinator, NOAA, Room 
11841, 1315 East-West Highway, Silver Spring, MD 20910 (phone 301-713-
2535 for express mail applications).
    Applications received after the deadline and applications that 
deviate from the format described above will be returned to the sender 
without review. Facsimile transmissions and electronic mail submission 
of full proposals will not be accepted. If you have any questions or 
require further information, contact one of the agency coordinators 
listed above.

VIII. Other Requirements

    (A) Federal Policies and Procedures--Recipients and subrecipients 
are subject to all Federal laws and Federal and Department of Commerce 
(DOC) policies, regulations, and procedures applicable to Federal 
financial assistance awards.
    (B) Past Performance--Unsatisfactory performance under prior 
Federal awards may result in an application not being considered for 
funding.
    (C) Preaward Activities--If applicants incur any costs prior to an 
award being made, they do so solely at their own risk of not being 
reimbursed by the Government. Notwithstanding any verbal or written 
assurance that may have been received, there is no obligation on the 
part of DOC to cover preaward costs.
    (D) No Obligation for Future Funding--If an application is selected 
for funding, DOC has no obligation to provide any additional future 
funding in connection with that award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of DOC.

[[Page 10628]]

    (E) Delinquent Federal Debts--No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
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 criminal charges such as fraud, 
theft, perjury, or other matters which significantly reflect on the 
applicant's management honesty or financial integrity.
    (G) False Statements--A false statement on an 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.
    (H) Intergovernmental Review--Applications for support from the 
National Sea Grant College Program are not subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.
    (I) Purchase of American-Made Equipment and Products--Applicants 
are hereby notified that they will be encouraged to the greatest extend 
practicable, 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 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.
    This notice contains collection of information requirements subject 
to the Paperwork Reduction Act. The Sea Grant Budget Form and Standard 
Forms 424, 424a and 424b have been approved under control numbers 0648-
0362, 0348-0043, 0348-0044, and 0348-0040 with average responses 
estimated to take 15, 45, 180, and 15 minutes, respectively. These 
estimates include 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 
on these estimates or any other aspect of these collections to National 
Sea Grant College Program, R/SG, NOAA, 1315 East-West Highway, Silver 
Spring, MD 20910 (Attention: Francis S. Schuler) and to the Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
Washington, DC 20503 (Attention: NOAA Desk Officer). Notwithstanding 
any other provision of the 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.

    Dated: February 25, 1999.
Louisa Koch,
Deputy Assistant Administrator, Office of Oceanic and Atmospheric 
Research, National Oceanic and Atmospheric Administration.
[FR Doc. 99-5114 Filed 3-4-99; 8:45 am]
BILLING CODE 3510-KA-M