[Federal Register Volume 64, Number 79 (Monday, April 26, 1999)]
[Notices]
[Pages 20262-20265]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-10407]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 990309066-9066-01; I.D. 030299A]
RIN 0648-ZA62


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 of Availability of Funds.

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SUMMARY: NMFS announces that funding will be available to assist 
persons in carrying out research and development projects that optimize 
the management of fisheries in the Northeastern Coastal States, 
focusing on the New England region. Priority funding consideration in 
1999 is given to research on stock identification and applied research 
to facilitate analyses of resource management strategies for finfish 
and shellfish being managed by fishery management plans in the 
Northeast Region. 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 26, 1999 and 5 p.m. eastern standard time on May 26, 
1999. Applications received after that time will not be considered for 
funding. No facsimile applications will be accepted.

ADDRESSES: Send applications to: Harold C. Mears, Director, State, 
Federal & Constituent Programs Office, Northeast Regional Office, NMFS, 
One Blackburn Drive, Gloucester, MA 01930.

FOR FURTHER INFORMATION CONTACT: Kenneth L. Beal, 978-281-9267.

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,'' under program number 11.433, Marine Fisheries Initiative.

III. Program Description

    MARFIN financial assistance began in FY 1986 in the NMFS Southeast 
Region and was 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.
    The overall MARFIN program emphasizes 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 second year of the Northeastern MARFIN Program, 
priority funding consideration will be given to projects involving new 
methods and/or technology to improve stock identification and the 
associated knowledge base upon which to develop management strategies 
for selected species of fish and shellfish currently under fishery 
management plans in the Northeast Region. 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 1999. There is no guarantee that sufficient 
funds will be available to make awards for all approved projects. 
Publication of this 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 
and most 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 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, 
being an individual who qualifies as such under Section 8 of the 
Schedule on Transitional Matters attached to their constitution.
    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 entities, non-profit or otherwise, if such an 
entity is a citizen

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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 implications 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. However, 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 as part of the non-Federal share. 
Information must be included with the application of the current, 
approved, negotiated Indirect Cost Agreement with the Federal 
Government by indicating a web site address or by providing a current 
copy, if no web site is available.

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), Budget (SF 424A), 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. Three copies 
(one signed original and two signed copies) of each application are 
required and must be submitted to the NMFS Northeast Regional Office, 
State, Federal & Constituent Programs Office (see ADDRESSES). You may 
opt to submit additional copies (ten are needed for reviewing 
purposes). This is especially helpful if your proposal contains color 
or hard-to-duplicate material.

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 area of emphasis for FY 1999 is new methods 
and/or techniques to improve the ability of scientists to identify the 
stock structure of selected species of fish and shellfish to improve 
fisheries management. 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 
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 between NMFS and successful 
applicants before project grants are awarded. Research methods may 
involve some of the following techniques, although new approaches to 
improve stock identification methodology will be welcomed.
    A. Genetic techniques:
    1. Allozyme analyses
    2. Mitochondrial DNA (mtDNA) analyses
    a. Mitochondrial DNA restriction fragment length polymorphism 
(mtDNA RFLP)
    b. mtDNA d-loop
    c. Amplified fragment length polymorphism (AFLP)
    d. Microsatellite DNA markers
    e. Cytogenetics
    B. Microconstituent analysis (MCA)
    1. Laser ablation
    2. Reference material (RM)
    3. Isotope dilution
    4. Preconcentration techniques
    C. Fatty acid profiles
    D. Neural nets as a classification tool
    E. Image processing tools
    The following species have been identified for stock identification 
purposes, and a synopsis of the most important research issue is listed 
for each species:
    Silver hake, Merluccius bilinearis: How much mixing occurs on and 
around Georges Bank? Are there distinct spawning stocks? Where does 
reproduction take place?
    Atlantic herring, Clupea harengus: Are there separate spawning 
stocks in the Gulf of Maine and Georges Bank? Are larval distribution 
and larval growth patterns different?
    Yellowtail flounder, Limanda ferruginea: How discrete are the mid-
Atlantic and southern New England stocks? How much mixing exists among 
stocks, for both larvae and adults?
    Cod, Gadus morhua: How much migration and mixing occurs between 
Georges Bank, Gulf of Maine, Browns Bank and Scotian Shelf stocks? Are 
there resident fish which do not migrate in the Gulf of Maine?

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    Haddock, Melanogrammus aeglefinus: Are there separate stocks on 
Georges Bank (east vs. west)?
    Striped bass, Morone saxatilis: How much do individual stocks (e.g. 
Roanoke) contribute to coastal fisheries? What are emigration patterns 
from spawning/nursery areas? Do large females return to their natal 
rivers to spawn annually?
    Sea scallop, Placopecten magellanicus: Are Mid-Atlantic and Georges 
Bank stocks separate? Are closed areas a source of larvae to other 
areas?
    Goosefish (monkfish), Lophius americanus: Is the population 
composed of one or two stocks?
    Northern shortfin squid, Illex illecebrosus: Where is the spawning 
migration route from the north to Florida? Is this species hybridizing 
with congeners south of New Jersey?
    Ocean quahog, Arctica islandica: Is the population off the coast of 
Maine genetically distinct from populations to the south? Is the Maine 
population a source of larvae to southern areas? Is the Georges Bank 
population a source of larvae to the Mid-Atlantic?
    Atlantic surfclam, Spisula solidissima: What is the southern 
boundary of this species in relation to the northern boundary of 
Spisula solidissima similis and Spisula raveneli?
    American lobster, Homarus americanus: Where are migrations to/from 
with respect to management areas, and are these areas defined properly? 
What are the inshore/offshore linkages between larvae and adults?
    American shad, Alosa sapidissima: Stocks have been transported and 
introduced to different rivers. What is the present population 
structure across the Northeast Region?
    Blueback herring, Alosa aestivalis: How much gene flow exists 
between rivers, with respect to distance? How much genetic variation 
exists in reestablished populations?
    Alewife, Alosa pseudoharengus: How much gene flow exists between 
rivers, with respect to distance? How much genetic variation exists in 
reestablished populations?

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 1999 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 Narrative Project 
Description? (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. How and to what degree would attainment of the project 
objectives contribute to enhancement of the knowledge base for fishery 
management? (20 points)
    4. Are the proposed costs appropriate for the scope of work 
proposed? (10 points)
    5. Do the principal investigators provide a scientifically 
realistic timetable to enable full accomplishment of all aspects of the 
Statements of Work? (10 points)

XIII. Selection Procedures

    All applications will be considered by a NMFS Science Group 
composed of 3 or more NMFS employees, and ranked into two categories: 
``Recommended,'' and ``Not Recommended.'' This group will consider the 
proposals based on technical review comments, technical review scores, 
and the project funding priorities (Section XI), using each member's 
expertise in the problem areas. This group will rank proposals on a 
consensus basis. Proposals ranked as ``Not Recommended'' will not be 
given further consideration for selection and funding, and will be 
returned to the respective applicants. Proposals ranked as 
``Recommended'' will be presented to a Constituent Panel of non-NOAA 
fishery experts who will individually consider the problem addressed in 
each project proposal, the technical evaluation, the need for funding, 
funds available, and the priority areas for research listed in Section 
XI.(Project Funding Priorities). These Constituent Panel members will 
provide individual recommendations to NMFS on each proposal classified 
as ``Recommended.'' No consensus advice will be given by the panel. The 
individual comments, recommendations and evaluations of the non-NOAA 
Constituent Panel members, and recommendations of the NMFS Science 
Group, will be presented to the Northeast Region, NMFS' Regional 
Administrator. 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 document. 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 document). Applicants should 
consider this selection and processing time in developing requested 
start dates for their applications.

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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 earlier 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 earlier 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. 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.
    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.
    This notice contains information-collection requirements which are 
subject to the Paperwork Reduction Act and which have been approved by 
the Office of Management and Budget under OMB control numbers -0043 and 
-0046. 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.

    Dated: April 20, 1999.
Penelope D. Dalton,
Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 99-10407 Filed 4-23-99; 8:45 am]
BILLING CODE 3510-22-F