[Federal Register Volume 65, Number 56 (Wednesday, March 22, 2000)]
[Notices]
[Pages 15307-15312]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-7075]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 000301055-0055-01; I.D. 012400A]
RIN: 0648-ZA81


Financial Assistance for Chesapeake Bay Stock Assessments to 
Encourage Research Projects for Improvement in the Stock Conditions of 
the Chesapeake Bay Fisheries

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

ACTION: Notice of availability of funds.

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SUMMARY: A total of up to $540,000 in Fiscal Year (FY) 2000 funds is 
available through the NOAA/NMFS Chesapeake Bay Office to assist 
interested state fishery agencies, academic institutions, and other 
nonprofit organizations relating to cooperative research units, in 
carrying out research projects to provide information for Chesapeake 
Bay Stock Assessments through cooperative agreements. About $285,000 of 
the base amount are available to initiate new projects in FY 2000, as 
described in this announcement. In addition, it is anticipated that 
supplemental FY 2000 funds, up to $500,000, will be provided to 
investigate multispecies management and research in Chesapeake Bay. 
NMFS issues this notice describing the conditions under which eligible 
applications will be accepted and how NMFS will determine which 
applications will be selected for funding.

DATES: Applications for funding under this program must be received by 
5 p.m. eastern standard time on April 21, 2000. Applications received 
after that time will not be considered for funding. No applications 
will be accepted by facsimile machine submission.
    Successful applicants generally will be selected approximately 90 
days after the date of publication in the Federal Register of this 
notice. The earliest date for awards will be approximately 180 days 
after the date of publication in the Federal Register of this notice.

ADDRESSES: Send applications to: Derek Orner, National Marine Fisheries 
Service, NOAA Chesapeake Bay Office, 410 Severn Avenue, Suite 107A, 
Annapolis, MD 21403.

FOR FURTHER INFORMATION CONTACT: Derek Orner, 410/267-5660; or
    e-mail: [email protected].

SUPPLEMENTARY INFORMATION:

I. Introduction

    A. Authority. The Fish and Wildlife Act of 1956, as amended, at 16 
U.S.C. 753 (a), authorizes the Secretary of Commerce (Secretary), for 
the purpose of developing adequate, coordinated, cooperative research 
and training programs for fish and wildlife resources, to continue to 
enter into cooperative agreements with colleges and universities, with 
game and fish departments of the several states, and with non-profit 
organizations relating to cooperative research units. The Departments 
of Commerce (DOC), Justice, State, the Judiciary, and Related Agencies 
Appropriations Act of 2000 makes funds available to the Secretary.
    B. Catalog of Federal Assistance. The research to be funded is in 
support of the Chesapeake Bay Studies (CFDA 11.457), under the 
Chesapeake Bay Stock Assessment Committee (CBSAC).
    C. Program Description. CBSAC was established in 1985 to plan and 
review Bay-wide resource assessments, coordinate relevant actions of 
state and Federal agencies, report on fisheries status and trends, and 
determine, fund and review research projects. The program implements a 
Bay-wide plan for the assessment of commercially, recreationally, and 
selected ecologically important species in the Chesapeake Bay. In 1988, 
CBSAC developed a Bay-wide Stock Assessment Plan, in response to 
provisions in the Chesapeake Bay Agreement of 1987. The Plan identified 
that key obstacles to assessing Bay stocks was the lack of consistent, 
Bay-wide, fishery-dependent and fishery-independent data. Research 
projects funded since 1988 have focused on developing and improving 
fishery-independent surveys and catch statistics for key Bay species, 
such as striped bass, oysters, blue crabs and alosids. Stock assessment 
research is essential, given the recent declines in harvest and 
apparent stock condition for many of the important species of the 
Chesapeake Bay.
    D. Funding Availability. (1) This solicitation announces that 
funding of up to $285,000 will be available for new initiatives in FY00 
for research projects providing regional information required for stock 
assessments. (2) This solicitation also announces that funding of up to 
$500,000 is anticipated to be available for projects providing 
information on multispecies management or research in Chesapeake Bay.

II. Areas of Special Emphasis

    A. Proposals should exhibit familiarity with related work that is 
completed or ongoing. Where appropriate, proposals should be multi-
disciplinary. Coordinated efforts involving multiple eligible 
applicants or persons are encouraged. Eligible women and minority owned 
and operated non-profit organizations are encouraged to apply. (See 
Section III.A.)
    (1) Stock Assessment Research - Consideration for funding will be 
given to applications that address the following stock assessment 
research and management priorities for the Chesapeake Bay. These 
priorities are not listed in any implied order:
    (a) Conduct assessments of the abundance, productivity, and 
distribution of important Chesapeake Bay finfish and shellfish 
resources together with the patterns of their exploitation. Successful 
proposals may include research on life history characteristics, stock-
recruitment relationships, and schedules of vital rates. Descriptions 
of stock structure, demographics and spatial distribution would also be 
appropriate. It is hoped that proposals would combine analyses of 
existing fishery-dependent and fishery-independent data. Proposals 
focusing on hard clams are particularly encouraged.
    (b) Design of a method/survey to estimate the Baywide abundance of 
oysters in Chesapeake Bay. The purpose of this survey will be to track 
progress towards achieving the Chesapeake Bay Program goal of 
increasing the oyster population in Chesapeake Bay ten-fold by the year 
2010. The investigators should take into consideration existing state 
surveys that already fill various data needs.
    (c) Blue Crab Recreational Survey--A substantial blue crab 
recreational fishery exists in the Chesapeake Bay which has never been 
fully assessed. Recent work includes the development of methods for 
conducting a Baywide recreational

[[Page 15308]]

survey for the blue crab. Projects should:
    (i) Review the work previously conducted and begin implementation 
on a Baywide scale based on earlier work;
    (ii) Provide reliable estimates of recreational catch, fishing 
effort, catch rates, size composition, and sex ratios for all 
components of the blue crab recreational fisheries.
    (d) Improvement or implementation of the collection of fishery-
dependent data within Chesapeake Bay. Projects can involve either the 
commercial and/or recreational components of the fishery. Projects 
should focus on collecting biological data (size, sex, age, diet), and 
catch and effort data from Bay-wide harvests of significant finfish and 
shellfish fisheries to provide accurate, statistically representative 
information on the spatial and temporal characteristics of the harvest. 
Proposals may involve designs for port-sampling of landings, or on-
board anaysis of the catch, analysis of intercepts and telephone 
surveys. Proposals that document information on by-catch would be 
relevant.
    The proposals should recognize current efforts to collect 
biological data from Bay fisheries and attempt to define the optimal, 
regional (Maryland, Potomac River Fisheries Commission, and Virginia 
jurisdictions) sampling program. Proposals focusing on the blue crab 
commercial fishery are particularly encouraged.
    (2) Multispecies Management or Research - The Chesapeake Bay is a 
complex and dynamic ecosystem that supports many fisheries that are 
economically important both regionally and nationally. To date, these 
resources have been managed on a single species basis. This single 
species approach has served us well; however, the existence of both 
biological and technical (by-catch) interactions in most of Chesapeake 
Bay fisheries point to the need to move toward a wider, multispecies 
perspective. This viewpoint was wholeheartedly endorsed at a workshop 
of regional, national and international scientists held to address the 
potential utility of multispecies approaches to fisheries management in 
the Chesapeake Bay (STAC Publication 98-002, www.chesapeake.org). The 
ultimate objective of this research and monitoring is to lead to the 
development of an ecosystem plan for Chesapeake Bay fisheries, within 
which the rational exploitation of individual species can be 
determined.
    Consideration for funding will be given to applications that 
address the following multispecies management and research priorities 
for the Chesapeake Bay. It should be realized that certain priorities 
may require a larger funding commitment, although the priorities are 
not listed in any implied order:
    (a) Fishery-independent Surveys. CBSAC seeks proposals to plan, 
develop and initiate coordinated Baywide surveys to regularly estimate 
species abundances, trends and biological characteristics (e.g., age/
size structure, recruitments, growth and mortality rates, food 
habitats) for economically and ecologically important key species. 
Proposals within this task may:
    (i) Review and assess existing fishery independent sampling 
programs conducted by regional agencies to evaluate their potential 
applicability to the Chesapeake Bay. This may include evaluation of the 
use of fixed and random sampling protocols, with or without 
stratification, and the sampling characteristics of different gear 
types.
    (ii) Develop and initiate a Baywide, coordinated, fishery-
independent survey that may include multiple gear, such as benthic and 
midwater trawling, and hydroacoustics to characterize the status and 
trends in the abundance, distribution and characteristics of key 
Chesapeake Bay finfish and shellfish.
    (b) Retrospective Analyzes. CBSAC seeks proposals to document and 
quantify multispecies interactions among economically and ecologically 
important finfish and shellfish within the Chesapeake Bay. The proposed 
work should lead to the identification of the strong' 
interactions within the Chesapeake Bay fisheries system. Work may 
involve analysis of commercial and recreational catch and effort data, 
the analysis of the patterns of diets and energy flows within the 
fisheries system, or multivariate analyzes of abundance relationships 
within the fisheries system and their relationship to environmental and 
habitat characteristics.
    (c) Multispecies Assessment. CBSAC seeks proposals to apply and 
assess alternative multispecies fisheries models to the Chesapeake Bay 
fisheries systems. Examples of possible approaches include multispecies 
biomass dynamic, multispecies yield per recruit, multispecies 
bioenergetics, and multispecies simulation models. Model approaches 
should seek to predict constraints and patterns in the fisheries 
production of the Chesapeake Bay system.
    (d) Technical Interactions (By-catch). CBSAC seeks proposals to 
quantify and assess the importance of technical interactions, e.g., by-
catch within the Chesapeake Bay fishery. Proposals should quantify the 
species involved, the distribution and magnitude of by-catch by 
species, gear, location and season.
    (e) Design and develop an integrated, Baywide blue crab mark and 
recapture study that will provide information on growth, natural 
mortality, fishing mortality, size selectivity, catchability, reporting 
rates and the distribution of harvest among the fisheries. Results 
should also be informative with respect to the reproductive frequency 
of female crabs, and longevity. Recognizing the scope of this project, 
subcomponents that will help in contributing to the development of a 
Baywide framework for this project will be accepted.
    (f) Improvement or implementation of the collection of fishery-
dependent data within Chesapeake Bay. Projects can involve either the 
commercial and/or recreational components of the fishery. Baywide 
Projects should focus on collecting biological data (size, sex, age, 
diet), and catch and effort data from harvests of significant finfish 
and shellfish fisheries to provide accurate, statistically 
representative information on the spatial and temporal characteristics 
of the harvest. Proposals may involve designs for port-sampling of 
landings, or on-board anaysis of the catch, analysis of intercepts and 
telephone surveys. Proposals that document information on by-catch 
would be relevant.
    The proposals should recognize current efforts to collect 
biological data from Bay fisheries and attempt to define the optimal, 
regional (Maryland, Potomac River Fisheries Commission, and Virginia 
jurisdictions) sampling program. Proposals focusing on the blue crab 
commercial fishery and its effect on the Chesapeake Bay ecosystem are 
encouraged.
    B. Applications addressing the priorities should build upon, or 
take into account, any related past or current work.

III. How to Apply

    A. Eligible applicants. Applications for cooperative agreements 
under the Chesapeake Bay Studies Program may be submitted, in 
accordance with the procedures set forth in this notice, by any state 
game and fish department, college or university, or other nonprofit 
organizations relating to cooperative research units. Other Federal 
agencies or institutions are not eligible to receive Federal assistance 
under this notice.
    DOC/NOAA/NMFS employees, including full-time, part-time and 
intermittent personnel are not eligible to submit an application under 
this solicitation or aid in the preparation of an application, except 
to provide information on program goals, funding

[[Page 15309]]

priorities, application procedures, and completion of application 
forms. Since this is a competitive program, assistance will not be 
provided in conceptualizing, developing, or structuring proposals.
    Eligible applicants outside the Chesapeake Bay region may submit 
proposals, as long as their objectives support the technical and 
management priorities of the Chesapeake Bay, as defined in section 
II.A. All solicited proposals received by the closing date will be 
considered by NMFS.
    Pursuant to Executive Orders 12876, 12900, and 13021, the 
Department of Commerce National Oceanic and Atmospheric Administration 
(DOC/NOAA) is strongly committed to broadening the participation of 
Historically Black Colleges and Universities, Hispanic Serving 
Institutions, and Tribal Colleges and Universities in its educational 
and research programs. The DOC/NOAA vision, mission, and goals are to 
achieve full participation by Minority Serving Institutions (MSI) in 
order to advance the development of human potential, to strengthen the 
nation's capacity to provide high-quality education, and to increase 
opportunities for MSIs to participate in and benefit from Federal 
financial assistance programs. DOC/NOAA encourages all applicants to 
include meaningful participation of MSIs.
    B. Duration and terms of funding. Under this solicitation, NMFS 
will fund Chesapeake Bay Stock Assessment Research Projects for 1-year 
cooperative agreements. The cooperative agreement has been determined 
as the appropriate funding instrument because of the substantial 
involvement of NMFS in:
    1. Developing program research priorities;
    2. Evaluating the performance of the program for effectiveness in 
meeting regional goals for Chesapeake Bay stock assessments;
    3. Monitoring the progress of each funded project;
    4. Holding periodic workshops with investigators; and
    5. Working with recipients in preparation of annual reports 
summarizing current accomplishments of the Chesapeake Bay Stock 
Assessment Committee. Project dates should be scheduled to begin no 
later than 1 October 2000. Cooperative agreements are approved on an 
annual basis but may be considered eligible for continuation beyond the 
first project and budget period subject to the approved scope of work, 
satisfactory progress, and availability of funds at the total 
discretion of NMFS. However, there are no assurances for such 
continuation. Publication of this notice does not obligate NMFS to 
award any specific cooperative agreement or to obligate any part of the 
entire amount of funds available.
    C. Cost-Sharing requirements. Applications must reflect the total 
budget necessary to accomplish the project, including contributions 
and/or donations. Cost sharing is not required under the Chesapeake Bay 
Stock Assessment Research Program. However, cost sharing is encouraged 
to enhance the value of a project, and in case of a tie in considering 
proposals for funding, cost-sharing may affect the final decision. The 
appropriateness of all cost-sharing will be determined on the basis of 
guidance provided in applicable Federal cost principles. If an 
applicant chooses to share cost, and if that application is selected 
for funding, the applicants will be bound by the percentage of cost 
sharing reflected in the award documents.
    The non-Federal share may include funds received from private 
sources or from state or local governments or the value of in-kind 
contributions. Federal funds may not be used to meet the non-Federal 
share of matching funds, except as provided by Federal statute. In-kind 
contributions may be in the form of, but are not limited to, personal 
services rendered in carrying out functions related to the project, and 
permission to use real or personal property owned by others (for which 
consideration is not required) in carrying out the project. To support 
the budget, the applicant must describe briefly the basis for 
estimating the value of the non-Federal funds derived from in-kind 
contributions.
    The total cost of a project begins on the effective date of a 
cooperative agreement between the applicant and an authorized 
representative of the U.S. Government and ends on the date specified in 
the award. Accordingly, the time expended and costs incurred in either 
the development of a project or the financial assistance application, 
or in any subsequent discussions or negotiations prior to the award, 
are neither reimbursable nor recognizable as part of the recipient's 
cost share.
    D. Format. 1. Applications for project funding must be complete. 
Applicants must identify the specific research priority or priorities 
to which they are responding. For applications containing more than one 
project, each project component must be identified individually using 
the format specified in this section. If an application is not in 
response to a priority, it should be so stated. 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 should be one-sided. All incomplete 
applications will be returned to the applicant. Applicants must submit 
one signed original and two copies of the complete application.
    2. Applications must be submitted in the following format:
    (a) Cover sheet: An applicant must use OMB Standard Form 424 
(revised 4/92) as the cover sheet for each project. Applicants may 
obtain copies of these forms from the NOAA Grants Management Division, 
the NOAA Chesapeake Bay Office (see ADDRESSES) or from the NOAA Grants 
website, http://www.rdc.noaa.gov/grants/.
    (b) Project summary: Each proposal must contain a summary of not 
more than one page that provides the following:
    (1) Project title.
    (2) Project status (new).
    (3) Project duration (beginning and ending dates).
    (4) Name, address, and telephone number of applicant.
    (5) Principal Investigator(s).
    (6) Project objectives.
    (7) Summary of work to be performed.
    (8) Total Federal funds requested.
    (9) Cost-sharing to be provided from non-Federal sources, if any. 
Specify whether contributions are project-related cash or in-kind.
    (10) Total project cost.
    (c) Project description: Each project must be completely and 
accurately described. Each project description may be up to 15 pages in 
length. If an application is awarded, NMFS will make all portions of 
the project description available to the public for review; therefore, 
NMFS cannot guarantee the confidentiality of any information submitted 
as part of any project, nor will NMFS accept for consideration any 
project requesting confidentiality of any part of the project.
    Each project must be described as follows:
    (1) Identification of problem(s): Describe the specific problem to 
be addressed (see section II).
    (2) Project objectives: This is one of the most important parts of 
the Project Proposal. Use the following guidelines for stating the 
objective of the project.
    (a) Keep it simple and easily understandable.
    (b) Be as specific and quantitative as possible.
    (c) Specify the ``what and when;'' avoid the ``how and why.''
    (d) Keep it attainable within the time, money, and human resources 
available.
    (e) Use action verbs that are accomplishment oriented.

[[Page 15310]]

    (3) Need for Government financial assistance: Demonstrate the need 
for assistance. Any appropriate database to substantiate or reinforce 
the need for the project should be included. Explain why other funding 
sources cannot fund all the proposed work. List all other sources of 
funding that are or have been sought for the project.
    (4) Benefits or results expected: Identify and document the results 
or benefits to be derived from the proposed activities.
    (5) Project statement of work: The Statement of Work is the 
scientific or technical action plan of activities that are to be 
accomplished during each budget period of the project. This description 
must include the specific methodologies, by project job activity, 
proposed for accomplishing the proposal's objective(s). If the work 
described in this section does not contain sufficient detail to allow 
for proper technical evaluation, NMFS will not consider the application 
for funding and will return it to the applicant.
    Investigators submitting proposals in response to this announcement 
are strongly encouraged to develop inter-institutional, inter-
disciplinary research teams in the form of single, integrated proposals 
or as individual proposals that are clearly linked together. Such 
collaborative efforts will be factored into the final funding decision.
    Each Statement of Work must include the following information:
    (a) The applicant's name.
    (b) The inclusive dates of the budget period covered under the 
Statement of Work.
    (c) The title of the proposal.
    (d) The scientific or technical objectives and procedures that are 
to be accomplished during the budget period. Devise a detailed set of 
objectives and procedures to answer who, what,
    how, when, and where. The procedures must be of sufficient detail 
to enable competent workers to be able to follow them and to complete 
scheduled activities.
    (e) Location of the work.
    (f) A list of all project personnel and their responsibilities.
    (g) A milestone table that summarizes the procedures (from item 
III.D.2.c(5)(d)) that are to be attained in each project month covered 
by the Statement of Work. Table format should follow sequential month 
rather than calendar month (i.e., Project period Month 1, Month 2, 
versus October, November).
    (6) Federal, state and local government activities: List any 
programs (Federal, state, or local government or activities, including 
Sea Grant, state Coastal Zone Management Programs, NOAA Oyster Disease 
Research Program, the state/Federal Chesapeake Bay Program, etc.) this 
project would affect and describe the relationship between the project 
and those plans or activities.
    (7) Project management: Describe how the project will be organized 
and managed. Include resumes of principal investigators. List all 
persons directly employed by the
    applicant who will be involved with the project. If a consultant 
and/or subcontractor is selected prior to application submission, 
include the name and qualifications of the consultant and/or 
subcontractor and the process used for selection.
    (8) Monitoring of project performance: Identify who will 
participate in monitoring the project.
    (9) Project impacts: Describe how these products or services will 
be made available to the fisheries and management communities.
    (10) Evaluation of project: The applicant is required to provide an 
evaluation of project accomplishments at the end of each budget period 
and in the final report. The application must describe the methodology 
or procedures to be followed to determine technical feasibility, or to 
quantify the results of the project in promoting increased production, 
product quality and safety, management effectiveness, or other 
measurable factors.
    (11) Total project costs: Total project costs is the amount of 
funds required to accomplish what is proposed in the Statement of Work, 
and includes contributions and donations. All costs must be shown in a 
detailed budget. A standard budget form (SF-424A) is available from the 
offices listed and on the internet (see ADDRESSES). NMFS will not 
consider fees or profits as allowable costs for grantees. Additional 
cost detail may be required prior to a final analysis of overall cost 
allowability, allocability, and reasonableness. The date, period 
covered, and findings for the most recent financial audit performed, as 
well as the name of the audit firm, the contact person, and phone 
number and address, must be also provided.
    (d) Supporting documentation: Provide any required documents and 
any additional information necessary or useful to the description of 
the project. The amount of information given in this section will 
depend on the type of project proposed, but should be no more than 20 
pages. The applicant should present any information that would 
emphasize the value of the project in terms of the significance of the 
problems addressed. Without such information, the merits of the project 
may not be fully understood, or the value of the project may be 
underestimated. The absence of adequate supporting documentation may 
cause reviewers to question assertions made in describing the project 
and may result in lower ranking of the project. Information presented 
in this section should be clearly referenced in the project 
description.

IV. Review Process and Criteria

    A. Initial Evaluation of Applications. Applications will be 
reviewed by NOAA to assure that they meet all requirements of this 
announcement, including eligibility and relevance to the Chesapeake Bay 
Stock Assessment Research Program.
    B. Consultation with Experts in the Field of Stock Assessment 
Research. For applications meeting the requirements of this 
solicitation, NMFS will conduct a technical evaluation of each project 
prior to any other review. This review normally will involve experts 
from both non-NOAA and NOAA organizations. All comments submitted to 
NMFS will be taken into consideration in the technical evaluation of 
projects. Reviewers will be asked to comment on the following 
evaluation criteria:
    1. Problem description and conceptual approach for resolution, 
especially the applicant's comprehension of the problem(s), familiarity 
with related work that is completed or ongoing, and the overall concept 
proposed to resolve the problem(s) (30 points).
    2. Soundness of project design/technical approach, especially 
whether the applicant provided sufficient information to technically 
evaluate the project and, if so, the strengths and weaknesses of the 
technical design proposed for problem resolution (35 points).
    3. Project management and experience and qualifications of
    personnel, including organization and management of the project, 
and the personnel experience and qualifications (15 points).
    4. Justification and allocation of the budget in terms of
    the work to be performed (20 points).
    C. Review Panel. NMFS will convene a review panel consisting of at 
least three regionally recognized experts in the scientific and 
management aspects of stock assessment research who will conduct 
reviews as follows:
    1. Evaluate technical reviews.
    2. Provide independent review based on the same criteria as the 
technical review.
    3. Discuss all review comments as a panel.

[[Page 15311]]

    4. Provide individual panelist scores and suggestions for 
modifications (i.e., budget, personnel, technical approach, etc.).
    D. Funding Decision. 1. Applications will be ranked by NMFS into 
two groups: (a) Recommended, and (b) not recommended.
    2. After projects have been evaluated and ranked for funding, the 
Chief of the NOAA/NMFS Chesapeake Bay Office, in consultation with the 
Assistant Administrator (AA) for Fisheries, NOAA, will determine the 
projects to be recommended for funding based upon the technical 
evaluations, panel review and the evaluation factors, and determine the 
amount of funds available for the program. Numeric ranking will be the 
major consideration for deciding which of the ``recommended'' proposals 
will be selected for funding. In making the final selections, NOAA/NMFS 
may consider costs, geographical distribution and duplication with 
other federally funded projects. The Chief of the NOAA/NMFS Chesapeake 
Bay Office will prepare a written justification for any recommendations 
for funding that fall outside the ranking order, or for any cost 
adjustments. Awards are not necessarily made to the highest ranked 
applications. The exact amount of funds awarded to each project will be 
determined in preaward negotiations between the applicant, the Grants 
Office, and the NOAA/NMFS Chesapeake Bay Office staff.

V. Administrative Requirements

    A. Obligations of the Applicant. 1. Deliverables--In addition to 
periodic status and budget reports, recipients must submit up to an 
eight page summary of project work and results that will be compiled in 
an annual report of Chesapeake Bay Stock Assessment Research Program 
results.
    2. Periodic Workshops--Investigators will be expected to attend one 
or two workshops with other Stock Assessment Research Program 
researchers to encourage interdisciplinary dialogue and forge synthesis 
of results.
    3. 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:
    (a) Nonprocurement debarment and suspension--Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR 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 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 prescribed above applies to applications/bids for grants, 
cooperative agreements, and contracts for more than $100,000, and loans 
and loan guarantees for more than $150,000, or the single family 
maximum mortgage limit for affected programs, whichever is greater; and
    (d) Anti-lobbying disclosure--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. 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. An SF-LLL 
submitted by any tier recipient or subrecipient should be submitted to 
DOC in accordance with the instructions contained in the award 
document. B. Other requirements. 1. 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.
    2. Indirect Cost rates--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 the 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.
    3. Past Performance--Unsatisfactory performance under prior Federal 
awards may result in an application not being considered for funding. 
In addition, any recipient and/or researcher who is past due for 
submitting acceptable progress reports on any previous project funded 
under this program may be ineligible to be considered for new awards 
until the delinquent reports are received, reviewed and deemed 
acceptable by NMFS.
    4. Financial Management Certifications/preaward accounting survey--
Successful applicants, at the discretion of the NOAA Grants Officer, 
may be required to have their financial management systems certified by 
an independent public accountant as being in compliance with Federal 
standards specified in the applicable OMB Circulars prior to execution 
of the award. Any first-time applicant for Federal grant funds may be 
subject to a preaward accounting survey by the DOC specified in the 
applicable OMB Circulars/Code of Federal Regulations prior to execution 
of the award.
    5. Delinquent Federal debts--No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
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 DOC are made.
    6. Name checks--Potential recipients may be required to submit an 
``Identification-Application for Funding Assistance''
    (Form CD-346), which is used to ascertain background information on 
key individuals associated with the potential recipient. 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 that 
significantly reflect on the applicant's management honesty or 
financial integrity. Applicants will also be subject to credit check 
reviews.
    7. False statements--A false statement on the application is 
grounds for denial

[[Page 15312]]

or termination of funds and grounds for possible punishment by a fine 
or imprisonment as provided in 18 U.S.C. 1001.
    8. 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.
    9. Purchase of American-made equipment and products--Applicants are 
hereby notified that they will be encouraged, to the greatest extent 
practible, to purchase American-made equipment and products with 
funding provided under this program in accordance with Congressional 
intent as set forth in the resolution contained in Pub.L 103-317, 
sections 607(a) and (b).
    10. Other--If an application is selected for funding, DOC has no 
obligation to provide any additional 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.
    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.

Classification

    This action has been determined to be ``not significant'' for 
purposes of Executive Order 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    Prior notice and an opportunity for public comment 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 notice contains collections of information subject to the 
Paperwork Reduction Act, which have been approved by OMB under OMB 
control number 0648-0044.

    Dated: March 15, 2000.
Penelope D. Dalton,
Assistant Administrator for Fisheries, National Marine Fisheries 
Services.
[FR Doc. 00-7075 Filed 3-21-00; 8:45 am]
BILLING CODE 3510-22-F