[Federal Register Volume 64, Number 118 (Monday, June 21, 1999)]
[Notices]
[Pages 33050-33056]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-15723]


-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 960223046-9151-04; I.D. 050799B]
RIN 0648-ZA09


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

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), Commerce.

ACTION: Notice of solicitation for applications.

-----------------------------------------------------------------------

SUMMARY: NMFS (hereinafter referred to as ``we'' or ``us'') issues this 
document to describe how you, the applicant, can apply for funding 
under the Saltonstall-Kennedy (S-K) Grant Program and how we will 
determine whether to fund your proposal.
    Under the S-K Program, we provide financial assistance for research 
and development projects that address various aspects of U.S. fisheries 
(commercial or recreational), including, but not limited to, 
harvesting, processing, marketing, and associated infrastructures.

DATES: We must receive your application by close of business August 20, 
1999, in one of the offices listed in section I.E. Applications 
Addresses of this document. You must submit one signed original and 
nine signed copies of the completed application (including supporting 
information). We will not accept facsimile applications.

ADDRESSES: You can obtain an application package from, and send your 
completed application(s) to, the NMFS Regional Administrator located at 
any of the offices listed in section I.E. Applications Addresses of 
this document.

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

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Background

    The Saltonstall-Kennedy Act (S-K Act), as amended (15 U.S.C. 713c-
3), established a fund (known as the S-K fund) that the Secretary of 
Commerce uses to provide grants or cooperative agreements for fisheries 
research and development projects addressed to any aspect of U.S. 
fisheries, including, but not limited to, harvesting, processing, 
marketing, and associated infrastructures. U.S. fisheries1 
include any fishery,
---------------------------------------------------------------------------

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

commercial or recreational, that is or may be engaged in by citizens or 
nationals of the United States, or citizens of the Northern Mariana 
Islands, the Republic of the Marshall Islands, Republic of Palau, and 
the Federated States of Micronesia.
    The objectives of the S-K Grant Program, and therefore the funding 
priorities, have changed over the years since the program began in 
1980. The original focus of the program was to develop underutilized 
fisheries within the U.S. Exclusive Economic Zone (EEZ).
     The Magnuson-Stevens Fishery Conservation and Management
    Act (Magnuson-Stevens Act), originally passed in 1976, directed us 
to give the domestic fishing industry priority access to the fishery 
resources in the EEZ.
    To accelerate development of domestic fisheries, the American 
Fisheries Promotion Act of 1980 amended the S-K Act to
    stimulate commercial and recreational fishing efforts in 
underutilized fisheries.
    In the following years, the efforts to Americanize the fisheries 
were successful to the point that most nontraditional species were 
fully developed and some traditional fisheries became overfished. 
Therefore, we changed the emphasis of the S-K Program to resource 
conservation and management. Funding priorities included a range of 
conservation and management issues and aquaculture.
    In 1996, the Sustainable Fisheries Act (SFA) (Pub. L. 104-297), was 
enacted. The SFA amended the Magnuson-Stevens Act and supported further 
adjustment to the S-K Program to address the current condition of 
fisheries.
    The Magnuson-Stevens Act, as amended by the SFA, requires us to 
undertake efforts to prevent overfishing, rebuild overfished fisheries, 
insure conservation, protect essential fish habitats, and realize the 
full potential of U.S. fishery resources. It further requires that we 
take into account the importance of fishery resources to fishing 
communities; provide for the sustained participation of such 
communities; and, to the extent possible, minimize the adverse economic 
impacts of conservation and management measures on such communities. 
The Magnuson-Stevens Act defines a ``fishing community'' as ``a 
community which is substantially dependent on or substantially engaged 
in the harvest or processing of fishery resources to meet social and 
economic needs, and includes fishing vessel owners, operators, and crew 
and United States fish processors that are based in such community.'' 
(16 U.S.C. 1802 (16)).
    The NOAA Strategic Plan, updated in 1998, has three goals under its 
Environmental Stewardship Mission: Build Sustainable Fisheries (BSF), 
Recover Protected Species, and Sustain Healthy Coasts. The S-K Program 
supports fisheries research and development activities that directly 
relate to the BSF goal.
    The revised objectives for BSF, consistent with the Magnuson-
Stevens Act, are:
    1. Eliminate and prevent overfishing and overcapitalization.
    2. Attain economic sustainability in fishing communities.

[[Page 33051]]

    3. Develop environmentally and economically sound marine 
aquaculture.
    Our goal for the FY 2000 S-K Grant Program announced in this 
document is to address the needs of fishing communities in terms of the 
preceding BSF objectives. This goal is reflected in the funding 
priorities listed in section II of this document. Successful 
applications will be those aimed at helping fishing communities to 
resolve issues that affect their ability to fish; make full use of 
those species that are currently under Federal or state fishery 
management plans (FMPs) and cultured species; and address the 
socioeconomic impacts of overfishing and overcapitalization.
    The S-K Program is open to applicants from a variety of sectors, 
including industry, academia, and state and local governments. However, 
the scope of this program is limited to marine species and Great Lakes 
species.

B. Changes from the Last Solicitation Notice

    We have changed some of the conditions and procedures in this 
document from the last S-K Grant Program solicitation notice published 
on March 2, 1998 (63 FR 10191). Therefore, we encourage you to read the 
entire document before preparing your application.

C. Funding

    We are soliciting applications for Federal assistance, pursuant to 
15 U.S.C. 713c-3(c). This document describes how you can apply for 
funding under the S-K Grant Program, and how we will determine which 
applications we will fund.
    Funding for projects depends on an allocation of funds by Congress 
for the S-K Grant Program in Fiscal Year (FY) 2000, which begins on 
October 1, 1999. We expect about $1.5 million to be available for FY 
2000. We cannot guarantee that sufficient funds will be available to 
make awards for all approved applications submitted under this program.
    In order to be funded under the S-K Grant Program, applications 
must propose activities that: address the funding priorities listed in 
section II of this document; are expected to produce a direct benefit 
(e.g., tool, information, service, or technology) to the fishing 
community (as defined in section I.A. of this document); and can be 
accomplished within 18 months. Acceptable research and development 
activities include applied research, demonstration projects, pilot or 
field testing, or business plan development. However, we will not fund 
projects that primarily involve infrastructure construction, port and 
harbor development, or start-up or operational costs for private 
business ventures. Furthermore, if your proposed project primarily 
involves data collection, it must be directed to a specific problem or 
need and be of a fixed duration, not of a continuing nature, in order 
to be considered.

D. Catalog of Federal Domestic Assistance

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

E. Applications Addresses

    Northeast Region, NMFS, One Blackburn Drive, Gloucester, MA 01930; 
(978) 281-9267.
    Southeast Region, NMFS, 9721 Executive Center Drive, North,
    St. Petersburg, FL 33702-2432, (727) 570-5324.
    Southwest Region, NMFS, 501 West Ocean Boulevard, Suite 4200, Long 
Beach, CA 90802-4213, (562) 980-4033.
    Northwest Region, NMFS, 7600 Sand Point Way, NE., BIN C15700, 
Building 1, Seattle, WA 98115, (206) 526-6115.
    Alaska Region, NMFS, P.0. Box 21668, Juneau, AK 99802 or
    Federal Building, 709 West 9th Street, 4th Floor, 
Juneau, AK 99801-1668, (907) 586-7224.

F. Electronic Access Addresses

    This solicitation and the application package are available on the 
NMFS S-K Home Page at: www.nmfs.gov/sfweb/skhome.html.
    The 1998 updated Executive Summary of the NOAA Strategic Plan is 
available at: www.strategic.noaa.gov/ and the Magnuson-Stevens Act is 
available at: www.nmfs.gov/sfa/magact/.
    The list of species that are currently under Federal FMPs
    is in the publication, Status of Fisheries of the United States, 
available at: www.nmfs.gov/sfa/reports.html.

II. Funding Priorities

    Your proposal must address one of the priorities listed below as 
they pertain to marine or Great Lakes species. If you select more than 
one priority, you should list first on your application the priority 
that most closely reflects the objectives of your proposal.
    If we do not receive proposals that adequately respond to the 
priorities listed, we may use S-K funds to carry out a national program 
of research and development addressed to aspects of U.S. fisheries 
pursuant to section 713c-3(d) of the
    S-K Act, as amended.
    The priorities are not listed in any particular order and each is 
of equal importance.

A. Conservation Engineering

    Reduce or eliminate adverse interactions (that affect fishing 
activity) between fishing operations and nontargeted, protected, or 
prohibited species (e.g., juvenile or sublegal-sized fish and 
shellfish, females of certain crabs, Endangered Species Act (ESA)-
listed fish, marine turtles, seabirds, or marine mammals), including 
the inadvertent take, capture, or destruction of such species.
    Improve the survivability of fish discarded or intentionally 
released and of protected species released in fishing operations.
    Reduce or eliminate impacts of fishing activity on essential fish 
habitat that adversely affect the sustainability of the fishery.

B. Optimum Utilization of Fishery Resources Currently under Federal or 
State Management, and Cultured Species

    Reduce or eliminate technical barriers to trade.
    Minimize harvest losses.
    Develop usable products from economic discards (whole fish 
discarded because they are an undesirable species, size, or sex, or 
parts of fish discarded as not commercially useful) and byproducts of 
processing.

C. Fishing Community Transition

    Help fishing communities to address the socioeconomic effects of 
overfishing and overcapitalized fisheries through such activities as 
planning and demonstration projects. Specific areas for these 
activities could include retraining of fishermen for alternative 
employment, alternative uses for existing fishing industry 
infrastructure, and planning for fishing capacity reduction. Activities 
may complement, but should not duplicate, programs available from other 
Federal, state, or local agencies.

D. Marine Aquaculture in the Off-Shore Environment

    Advance the implementation of marine aquaculture in the off-shore 
environment (i.e., the EEZ) by addressing technical aspects such as 
systems engineering, environmental compatibility, and culture 
technology. Applications should demonstrate that

[[Page 33052]]

the goal is to support off-shore industry development.
    Reduce or eliminate legal and social barriers to off-shore 
aquaculture development, e.g., legal constraints, use conflicts, 
exclusionary mapping, appropriate institutional roles.

III. How to Apply

A. Eligibility

    To apply for grants or cooperative agreements, you must follow the 
instructions in this document. You are eligible to apply if:
    1.  You are a citizen or national of the United States;
    2. You are 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. You are a citizen of the Republic of the Marshall Islands, 
Republic of Palau, or the Federated States of Micronesia; or
    4. You represent an entity that is a corporation, partnership, 
association, or other non-Federal entity, non-profit or otherwise 
(including Indian tribes), if such entity is a citizen of the United 
States or NMI, within the meaning of section 2 of the Shipping Act, 
1916, as amended (46 U.S.C. app. 802).
    We support cultural and gender diversity in our programs and 
encourage women and minority individuals and groups to submit 
applications. Furthermore, we recognize the interest of the Secretaries 
of Commerce and Interior in defining appropriate fisheries policies and 
programs that meet the needs of the U.S. insular areas, so we also 
encourage applications from individuals, government entities, and 
businesses in U.S. insular areas. 
    We encourage applications from members of the fishing community, 
and applications that involve fishing community cooperation and 
participation. We will consider the extent of fishing community 
involvement when evaluating the potential benefit of funding a 
proposal.
    You are not eligible to submit an application under this program if 
you are an employee of any Federal agency; a Regional Fishery 
Management Council (Council); or an employee of a Council. However, 
Council members who are not Federal employees can submit an application 
to the S-K Program.
    Our employees, including full-time, part-time, and intermittent 
personnel, are not allowed to help you prepare your application, except 
to provide you with information on program goals, funding priorities, 
application procedures, and completion of application forms. Since this 
is a competitive program, we will not provide assistance in 
conceptualizing, developing, or structuring proposals, or write letters 
of support for a proposal.

B. Duration and Terms of Funding

    We will award grants or cooperative agreements for a maximum period 
of 18 months.
    We do not fund multi-year projects under the S-K Program. If we 
select your application for funding and you wish to continue work on 
the project beyond the funding period, you must submit another proposal 
to the competitive process for consideration, and you will not receive 
preferential treatment.
    If we select your application for funding, we have 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 totally at our discretion.
    Even though we are publishing this announcement we are not required 
to award any specific grant or cooperative agreement, nor are we 
required to obligate any part or the entire amount of funds available.

C. Cost Sharing

    We are requiring cost sharing in order to leverage the limited 
funds available for this program and to encourage partnerships among 
government, industry, and academia to address the needs of fishing 
communities. You must provide a minimum cost share of 10 percent of 
total project costs, but your cost share must not exceed 50 percent of 
total costs. (For example, if the proposed total budget for your 
project is $100,000, you must contribute at least $10,000, but no more 
than $50,000, toward the total costs. Accordingly, the Federal share 
you apply for would range from $50,000 to $90,000.) If your application 
does not comply with these cost share requirements, we will return it 
to you and will not consider it for funding. The funds you provide as 
cost sharing may include funds from private sources or from state or 
local governments, or the value of in-kind contributions. You may not 
use Federal funds to meet the cost sharing requirement except as 
provided by Federal statute. In-kind contributions are non-cash 
contributions provided by you as the applicant or by non-Federal third 
parties. In-kind contributions may include but are not limited to, 
personal services volunteered to perform tasks in the project, and 
permission to use, at no cost, real or personal property owned by 
others.
    We will determine the appropriateness of all cost sharing 
proposals, including the valuation of in-kind contributions, on the 
basis of guidance provided in 15 CFR parts 14 and 24. In general, the 
value of in-kind services or property you use to fulfill your cost 
share will be the fair market value of the services or property. Thus, 
the value is equivalent to the cost for you to obtain such services or 
property if they had not been donated. You must document the in-kind 
services or property you will use to fulfill your cost share.
    If we decide to fund your application, we will require you to 
account for the total amount of cost share included in the award 
document.

D. Format

    Your application must be complete and must follow the format 
described here. Your application should not be bound in any manner and 
must be printed on one side only. You must submit one signed original 
and nine signed copies of your application.
    1. Cover Sheet
    You must use Office of Management and Budget (OMB) Standard Form 
424 and 424B (4-92) as the cover sheet for each project. (In order to 
complete item 16 of Standard Form 424, see section V.A.5. of this 
document.)
    2. Project Summary
    You must complete NOAA Form 88-204 (10-98), Project Summary, for 
each project. You must list on the Project Summary the specific 
priority to which the application responds (see section II. of this 
document).
    3. Project Budget
    You must submit a budget for each project, using NOAA Form 88-205 
(10-98), Project Budget and associated instructions. You must provide 
detailed cost estimates showing total project costs. Indicate the 
breakdown of costs between Federal and non-Federal shares, divided into 
cash and in-kind contributions. To support the budget, describe briefly 
the basis for estimating the value of the cost sharing derived from in-
kind contributions. Specify estimates of the direct costs in the 
categories listed on the Project Budget form.
    You may also include in the budget an amount for indirect costs if 
you have an established indirect cost rate with the Federal government. 
For this solicitation, the total dollar amount of the indirect costs 
you propose in your application 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

[[Page 33053]]

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. If you have an approved indirect cost rate above 
25 percent of the total proposed direct cost, you may use the amount 
above the 25-percent level up to the 100-percent level as part of the 
non-Federal share. You must include a copy of the current, approved, 
negotiated indirect cost agreement with the Federal government with 
your application.
    We will not consider fees or profits as allowable costs in your 
application.
    The total costs of a project consist of all allowable costs you 
incur, including the value of in-kind contributions, in accomplishing 
project objectives during the life of the project. A project begins on 
the effective date of an award agreement between you and an authorized 
representative of the U.S. Government and ends on the date specified in 
the award. Accordingly, we cannot reimburse you for time that you 
expend or costs that you incur in developing a project or preparing the 
application, or in any discussions or negotiations you may have with us 
prior to the award. We will not accept such expenditures as part of 
your cost share.
    4. Narrative Project Description
    You must provide a narrative description of your project that may 
be up to 15 pages long. The narrative should demonstrate your knowledge 
of the need for the project, and show how your proposal builds upon any 
past and current work in the subject area, as well as relevant work in 
related fields. You should not assume that we already know the relative 
merits of the project you describe. You must describe your project as 
follows:
    a. Project goals and objectives. Identify the specific priority 
listed earlier in the solicitation to which the proposed project 
responds. Identify the problem/opportunity you intend to address and 
describe its significance to the fishing community. State what you 
expect the project to accomplish.
    If you are applying to continue a project we previously funded 
under the S-K Program, describe in detail your progress to date and 
explain why you need additional funding. We will consider this 
information in evaluating your current application.
    b. Project impacts. Describe the anticipated impacts of the project 
on the fishing community in terms of reduced bycatch, increased product 
yield, or other measurable benefits. Describe how you will make the 
results of the project available to the public.
    c. Evaluation of project. Specify the criteria and procedures that 
you will use to evaluate the relative success or failure of a project 
in achieving its objectives.
     d. Need for government financial assistance. Explain why you need 
government financial assistance for the proposed work. List all other 
sources of funding you have or are seeking for the project.
     e. Federal, state, and local government activities and permits. 
List any existing Federal, state, or local government programs or 
activities that this project would affect, including activities 
requiring: certification under state Coastal Zone Management Plans; 
section 404 or section 10 permits issued by the Corps of Engineers; 
experimental fishing or other permits under FMPs; environmental impact 
statements to meet the requirements of the National Environmental 
Policy Act; or scientific permits under ESA and/or the Marine Mammal 
Protection Act. Describe the relationship between the project and these 
FMPs or activities, and list names and addresses of persons providing 
this information. If we select your project for funding, you are 
responsible for complying with all applicable requirements.
     f. Project statement of work. The statement of work is an action 
plan of activities you will conduct during the period of the project. 
You must prepare a detailed narrative, fully describing the work you 
will perform to achieve the project goals and objectives. The narrative 
should respond to the following questions:
    (1) What is the project design? What specific work, activities, 
procedures, statistical design, or analytical methods will you 
undertake?
    (2) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting.)
    (3) What are the major products?
    You must include milestones, describing the specific activities and 
associated time lines to conduct the scope of work. Describe the time 
lines in increments (e.g., month 1, month 2), rather than by specific 
dates. You must identify the individual(s) responsible for the various 
specific activities.
    This information is critical for us to conduct a thorough review of 
your application, so we encourage you to provide sufficient detail.
     g. Participation by persons or groups other than the applicant. 
Describe how government and non-government entities, particularly 
members of fishing communities, will participate in the project, and 
the nature of their participation. We will consider the degree of 
participation by members of the fishing community in determining which 
applications to fund.
     h. Project management. Describe how the project will be organized 
and managed. Identify the principal participants in the project. If you 
do not identify the principal investigator, we will return your 
application without further consideration. Include copies of any 
agreements between you and the participants describing the specific 
tasks to be performed. Provide a statement of the qualifications and 
experience (e.g., resume or curriculum vitae) of the principal 
investigator(s) and any consultants and/or subcontractors, and indicate 
their level of involvement in the project. If any portion of the 
project will be conducted through consultants and/or subcontracts, you 
must follow procurement guidance in 15 CFR part 24, ``Grants and 
Cooperative Agreements to State and Local Governments,'' and 15 CFR 
part 14, ``Uniform Administrative Requirements for Grants and 
Agreements with Institutions of Higher Education, Hospitals, Other Non-
Profit, and Commercial Organizations.'' If you select a consultant and/
or a subcontractor prior to submitting an application, indicate the 
process that you used for selection.
    5. Supporting Documentation
    You should include any relevant documents and additional 
information (i.e. maps, background documents) that will help us to 
understand the project and the problem/opportunity you seek to address.

IV. Screening, Evaluation, and Selection Procedures

A. Initial Screening of Applications

    When we receive applications at any of the NMFS Regional Offices, 
we will first screen them to ensure that they were received by the 
deadline date (see DATES); include OMB form 424 signed and dated by an 
authorized representative (see section III.D. of this document); were 
submitted by an eligible applicant (see section III.A. of this 
document); provide for at least a 10-percent cost share but not more 
than 50 percent (see section III.C. of this document); involve an 
eligible activity (see section I.C. of this document); address one of 
the funding priorities in this document for marine and Great Lakes 
species (see section II.A.-D. of this document); and include a budget, 
statement of work, and milestones, and identify the principal 
investigator (see sections III.D.3. and III.D.4. of this document). If 
your application does not

[[Page 33054]]

conform to these requirements and the deadline for submission has 
passed, we will return it to you without further consideration.
    We do not have to screen applications before the submission 
deadline, nor do we have to give you an opportunity to correct any 
deficiencies that cause your application to be rejected.

B. Evaluation of Proposed Projects

    1. Technical Evaluation
    After the initial screening, we will solicit individual evaluations 
of each project application from three or more appropriate private and 
public sector experts to determine the technical merit. These reviewers 
will be required to certify that they do not have a conflict of 
interest concerning the application(s) they are reviewing. They will 
assign scores ranging from a minimum of 60 (poor) to a maximum of 100 
(excellent) to applications based on the following criteria, with 
weights shown in parentheses:
    a. Soundness of project design/conceptual approach. Applications 
will be evaluated on the conceptual approach; the likelihood of project 
results in the time frame specified in the application; whether there 
is sufficient information to evaluate the project technically; and, if 
so, the strengths and/or weaknesses of the technical design relative to 
securing productive results. (50 percent)  b. Project management and 
experience and qualifications of personnel. The organization and 
management of the project will be evaluated. The project's principal 
investigator and other personnel, including consultants and contractors 
participating in the project, will be evaluated in terms of related 
experience and qualifications. Applications that include consultants 
and contractors will be reviewed to determine if your involvement, as 
the primary applicant, is necessary to the conduct of the project and 
the accomplishment of its objectives. (25 percent)
    c. Project evaluation. The effectiveness of your proposed methods 
to monitor and evaluate the success or failure of the project in terms 
of meeting its original objectives will be examined. (10 percent)
    d. Project costs. The justification and allocation of the budget in 
terms of the work to be performed will be evaluated. Unreasonably high 
or low project costs will be taken into account. (15 percent)
    Following the technical review, we will determine the weighted 
score for each individual review and average the individual technical 
review scores to determine the final technical score for each 
application. Then, we will rank applications in descending order by 
their final technical scores and determine a ``cutoff'' score that is 
based on the amount of funds available for grants. We will eliminate 
from further consideration those applications that scored below the 
cutoff.
    2. Constituent Panel(s)
    For those applications at or above the cutoff technical evaluation 
score, we will solicit individual comments and evaluations from a panel 
or panels of three or more representatives selected by the Assistant 
Administrator for Fisheries (AA). Panel members will be chosen from the 
fishing industry, state government, non-government organizations, and 
others, as appropriate. We will provide panelists with a summary of the 
technical evaluations, and, for applications to continue a previously 
funded project, information on progress on the funded work to date.
    Each panelist will evaluate the applications in terms of the 
significance of the problem or opportunity being addressed, the degree 
of fishing community involvement in conducting the project, and the 
merits of funding each project. Each panelist will provide a rating 
from 0-4 (poor to excellent) for each project, and provide comments if 
they wish. Panel members will be required to certify that they do not 
have a conflict of interest and that they will maintain confidentiality 
of the panel deliberations.
    Following the Constituent Panel meeting, we will average the 
individual ratings for each project. We will then develop a ranking of 
projects based on the individual ranks within each of the priority 
areas.

C. Selection Procedures and Project Funding

    After projects have been evaluated and ranked, we will use this 
information, along with input from the NMFS Regional Administrators 
(RAs) and Office Directors (ODs), to develop recommendations for 
project funding. RAs/ODs will prepare a written justification for any 
recommendations for funding that fall outside the ranking order, or for 
any cost adjustments.
    The AA will review the funding recommendations and comments of the 
RAs/ODs and determine the projects to be funded. In making the final 
selections, the AA may consider costs, geographical distribution, and 
duplication with other federally funded projects. Awards are not 
necessarily made to the highest ranked applications.
    We will notify you in writing whether your application is selected 
or not. If your application is unsuccessful, we will return it to you. 
Successful applications will be incorporated into the award document.
    The exact amount of funds, the scope of work, and terms and 
conditions of a successful award will be determined in preaward 
negotiations between you and NOAA/NMFS representatives. The funding 
instrument (grant or cooperative agreement) will be determined by NOAA 
Grants. You should not initiate your project in expectation of Federal 
funding until you receive a grant award document signed by an 
authorized NOAA official.

V. Administrative Requirements

A. Your Obligations as an Applicant

    You must:
    1. Meet all application requirements and provide all information 
necessary for the evaluation of the proposal, including one signed 
original and nine signed copies of the application.
    2. Be available to respond to questions during the review and 
evaluation of the proposal(s).
    3. Submit a completed Form CD-511, ``Certification Regarding 
Debarment, Suspension and Other Responsibility Matters; Drug-Free 
Workplace Requirements and Lobbying.'' The following explanations are 
provided:
     a. Nonprocurement debarment and suspension. Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 
26, ``Nonprocurement Debarment and Suspension'' and the related section 
of the certification form prescribed above applies;
     b. Drug-free workplace. Grantees (as defined at 15 CFR 26.605) are 
subject to 15 CFR part 26, subpart F, ``Governmentwide Requirements for 
Drug-Free Workplace (Grants),'' and the related section of the 
certification form prescribed above applies;
     c. Anti-lobbying. Persons (as defined at 15 CFR 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 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; and
     d. Anti-lobbying disclosures. Any applicant who has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
    4. If applicable, require applicants/bidders for subgrants, 
contracts,

[[Page 33055]]

subcontracts, or other lower tier covered transactions at any tier 
under the award to submit a completed Form CD-512, ``Certifications 
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-
Lower Tier Covered Transactions and Lobbying'' and disclosure form SF-
LLL, ``Disclosure of Lobbying Activities.'' Form CD-512 is intended for 
your use and should not be sent to the Department of Commerce 
(Commerce). You should send an SF-LLL submitted by any tier recipient 
or subrecipient to Commerce only if your application is recommended for 
funding. Instructions will be contained in the award document. We will 
provide you with all required forms.
    5. Complete Item 16 on Standard Form 424 (4-92) regarding clearance 
by the State Point Of Contact (SPOC) established as a result of E.O. 
12372. You can get the list of SPOCs from any of the NMFS offices 
listed in this document or from the S-K Home Page (see section I.F. 
Electronic Access Addresses of this document). It is also included in 
the ``Catalog of Federal Domestic Assistance.'' You must contact the 
SPOC, if your state has one, to see if applications to the S-K Program 
are subject to review. If SPOC clearance is required, you are 
responsible for getting that clearance in time to submit your 
application to the S-K Program by the deadline.
    6. Complete Standard Form 424B (4-92), ``Assurances--Non-
construction Programs.''

B. Your Obligations as a Successful Applicant (Recipient)

    If you are selected to receive a grant award for a project, you 
must:
    1. Manage the day-to-day operations of the project, be responsible 
for the performance of all activities for which funds are granted, and 
be responsible for the satisfaction of all administrative and 
managerial conditions imposed by the award.
    2. Keep records sufficient to document any costs incurred under the 
award, and allow access to these records for audit and examination by 
the Secretary of Commerce, the Comptroller General of the United 
States, or their authorized representatives; and, submit financial 
status reports (SF 269) to GMD in accordance with the award conditions.
    3. Submit semiannual project status reports on the use of funds and 
progress of the project to us within 30 days after the end of each 6-
month period. You will submit these reports to the individual 
identified as the NMFS Program Officer in the funding agreement.
    4. Submit a final report within 90 days after completion of each 
project to the NMFS Program Officer. The final report must describe the 
project and include an evaluation of the work you performed and the 
results and benefits in sufficient detail to enable us to assess the 
success of the completed project.
    We are committed to using available technology to achieve the 
timely and wide distribution of final reports to those who would 
benefit from this information. Therefore, you are required to submit 
final reports in electronic format, in accordance with the award terms 
and conditions, for publication on the NMFS S-K Home Page. You may 
charge the costs associated with preparing and transmitting your final 
reports in electronic format to the grant award. We will consider 
requests for exemption from the electronic submission requirement on a 
case-by-case basis.
    We will provide you with OMB-approved formats for the semiannual 
and final reports.
    5. In addition to the final report in section V.B.4. of this 
document, we request that you submit any publications printed with 
grant funds (such as manuals, surveys, etc.) to the NMFS Program 
Officer for dissemination to the public. Submit either three hard 
copies or an electronic version of any such publications.

C. Other Requirements of Recipients

    1. Federal Policies and Procedures
    If you receive Federal funding, you are subject to all Federal laws 
and Federal and Commerce policies, regulations, and procedures 
applicable to financial assistance awards. You must comply with general 
provisions that apply to all recipients under Commerce grant and 
cooperative agreement programs.
    2. Name Check Review
    You may be subject to a name check review process. We use name 
checks to determine if you or any key individuals named in your 
application have been convicted of, or are presently facing, criminal 
charges such as fraud, theft, perjury, or other matters that 
significantly reflect on your management, honesty, or financial 
integrity.
    3. Financial Management Certification/Preaward Accounting Survey
    You may, at the discretion of the NOAA Grants Officer, be required 
to have your financial management systems certified by an independent 
public accountant as being in compliance with Federal standards 
specified in the applicable OMB Circulars prior to execution of the 
award. If you are a first-time applicant for Federal grant funds, you 
may be subject to a preaward accounting survey by Commerce prior to 
execution of the award.
    4. Past Performance
    Unsatisfactory performance under prior Federal awards may result in 
an application not being considered for funding.
    5. Delinquent Federal Debts
    We will not award any Federal funds to you or any subrecipients who 
have an outstanding delinquent Federal debt or fine until either:
    a. The delinquent account is paid in full,
    b. A negotiated repayment schedule is established and at least one 
payment is received, or
    c. Other arrangements satisfactory to Commerce are made.
    6. Buy American
    You are encouraged to the extent feasible to purchase American-made 
equipment and products with the funding provided under this program.
    7. Preaward activities
    If you incur any costs prior to receiving an award agreement signed 
by an authorized NOAA official, you do so solely at your own risk of 
not being reimbursed by the Government. Notwithstanding any verbal or 
written assurance that you may have received, there is no obligation on 
the part of Commerce to cover preaward costs.
    8. False statements
    A false statement on the application is grounds for denial or 
termination of funds and grounds for possible punishment by a fine or 
imprisonment (18 U.S.C. 1001).

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts.
    Furthermore, a regulatory flexibility analysis is not required for 
purposes of the Regulatory Flexibility Act.
    This action has been determined to be not significant for purposes 
of E.O. 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    This document contains collection-of-information requirements 
subject to the Paperwork Reduction Act (PRA). The collection of this 
information has been approved by OMB under control numbers 0348-0040, 
0348-0043, 0348-0046, and 0648-0135. Notwithstanding any other 
provision of law, no person is

[[Page 33056]]

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 PRA unless that collection of information 
displays a currently valid OMB control number.
    A solicitation for applications will also appear in the ``Commerce 
Business Daily.''

    Dated: June 15, 1999.
Penelope D. Dalton,
Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 99-15723 Filed 6-18-99; 8:45 am]
BILLING CODE 3510-22-F