[Federal Register Volume 65, Number 59 (Monday, March 27, 2000)]
[Notices]
[Pages 16181-16185]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-7512]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 00309067-0067-01]
RIN 0648-ZA82]


National Marine Aquaculture Initiative: Request for Proposals for 
FY-2000

AGENCY: Office of Oceanic and Atmospheric Research (OAR) and National 
Marine Fisheries Service, National Oceanic and Atmospheric 
Administration, Department of Commerce.

ACTION: Notice of request for proposals.

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SUMMARY: The purpose of this notice is to advise the public OAR is 
expanding the existing aquaculture initiative that was begun in FY-99 
in order to meet the objectives of the new Department of Commerce (DOC) 
aquaculture policy and the NOAA Strategic Plan to Build Sustainable 
Fisheries. Because of the limited funds available and the specific 
objectives that are put forward in the policy and the plan, OAR can 
only entertain a limited number of proposals in every specific areas 
which lead to:

    1. Improvements to the regulatory framework for marine 
aquaculture;
    2. Definition of elements to be included in a code of conduct 
for responsible marine aquaculture and stakeholder acceptance of the 
code;
    3. Demonstration of the use of Geographic Information System 
based Use-mapping of Federal and/or state waters useful to the 
potential siting of marine aquaculture projects;
    4. Environmentally sound technologies and evaluation of impacts 
associated with grow-out and enhancement activities; and
    5. Regional planning and coordination efforts which further 
regional or national marine aquaculture goals.

    The topics are in rank order and some topics will require the 
participation of government agencies responsible for developing 
guidelines, rules and regulations for growing aquaculture industry. 
More specific guidelines for the proposal topics are provided later in 
this document.
    OAR will make available $600,000 in FY2000 for research, 
developmental and programmatic activities. While matching funds are not 
required, applicants are encouraged to submit collaborative projects 
between Federal and state agencies, academic and research interests, 
private industry, and other partners as necessary to accomplish the 
tasks of the proposals. Either Grants or Cooperative Agreements will be 
considered for this competition. If a Cooperative Agreement, OAR will 
work through the NOAA/DOC Aquaculture Steering Committee to finalize 
the work plan. OAR recognizes that proposals that interface with 
ongoing offshore aquaculture or stock enhancement projects may offer 
opportunities for cost savings, and will be given priority when such 
cost savings can be realized.

DATES: Full proposals are due to the OAR, by 4 p.m. May 15, 2000. 
Proposal selection will occur by June 15, 2000, and grant start dates 
will be September 1, 2000.

ADDRESSES: Applications should be sent to the Office of Oceanic and 
Atmospheric Research, Attn: National Marine Aquaculture Initiative, 
Room 11838, NOAA, 1315 East-West Highway, Silver Spring, MD 20910.

FOR FURTHER INFORMATION CONTACT: James P. McVey, Program Director for 
Aquaculture, 301-713-2451, facsimile 301-713-0799, or Edwin Rhodes, 
National Marine Fisheries Service, 301-713-2334.

SUPPLEMENTARY INFORMATION:   

I. Program Authority

Catalog of Federal Assistance Numbers: 11.417. Sea Grant Support.

    Authority: 33 U.S.C. 1123(c)(4)(F).

II. Program Description

Background

    Worldwide fisheries production will be inadequate to meet the needs 
of the world's population without

[[Page 16182]]

supplementation through aquaculture and marine fish enhancement. The 
development of a robust aquaculture industry can help meet the Nation's 
needs for seafood and other non-edible aquaculture products, reduce 
imports of fishery products and benefit the nation's balance of trade. 
In the US marine aquaculture has been very slow to develop for a 
variety of reasons including the lack of appropriate technologies, 
difficulty in obtaining financing, concerns over environmental impacts, 
multi-use conflicts in the coastal zone, and difficult and expensive 
permit and licensing processes. However, none of these problems are 
insurmountable and the need for creating a marine aquaculture sector 
has never been greater.
    NOAA includes aquaculture in its Strategic Plan under the Build 
Sustainable Fisheries topic as part of a three part program that 
integrates aquaculture, capture fisheries and coastal community 
development in order to maximize value from coastal and ocean 
resources. This plan calls for NOAA and DOC to undertake research, 
demonstration, education/outreach, regulatory and financial support 
activities in support of marine aquaculture. NOAA recognizes the role 
of other Federal agencies and state management partners in aquaculture 
and coordinates its aquaculture programs through NOAA/DOC 
representatives at the regional level and at the national level through 
the Joint Sub-Committee on Aquaculture. The NOAA/DOC program is aligned 
with the National Aquaculture Development Plan.

III. Funding Availability and Priorities

    The Office of Oceanic and Atmospheric Research encourages proposals 
that address the following research, development, policy and management 
priorities that have been developed through the NOAA/DOC budget 
process. Approximately $600,000 will be available for this competition 
in FY 2000. We are not placing a maximum on the amount that can be 
requested for each project but we will be looking for appropriate 
budget levels relative to the scale of the project being contemplated. 
Projects below $100,000 are encouraged. Maximum time frame for the 
proposals is 18 months. Priority will be given to national issues 
areas, identified here, that combine and leverage the financial, 
manpower and infrastructure resources of federal, state, academic, non-
governmental organizations, and private industry partners to expand US 
aquaculture. We anticipate this initiative to be long term and we will 
hold several planning meetings during this year to set the agenda for 
the following years.
    Competitive proposals should be multi-disciplinary, multi-
institutional, innovative, and blend the resources of Federal, State, 
academic and private industry resources when appropriate.
    The NOAA/DOC Aquaculture Steering Committee has interpreted the 
results of a national workshop on aquaculture that was held August 11-
13, 1999 at the NOAA facilities in Silver Spring, Maryland, to 
determine research and program priorities for this aquaculture 
initiative. As a result of this analysis and in keeping with the NOAA 
Strategic Plan, OAR would like to ask for proposals in the following 
topic areas that are listed in rank order:

Regulatory Framework

    Proposals to improve understanding of measures which would lead to 
a more efficient and transparent license and permit procedure for 
aquaculture facilities and related uses in marine waters including the 
Exclus Economic Zone (EEZ). Proposals should identify the problem or 
problems to be addressed and the methodology to be used to identify 
measures and recommendations for improvements. This program area may 
require joint efforts by the industry, state and federal regulatory 
agencies in order to clarify and improve the present regulatory 
framework. Proposals may address state, regional or national permitting 
or federal consistency issues.

Code of Conduct for Responsible Aquaculture

    NOAA will develop a code of conduct for responsible aquaculture in 
Federal marine waters (the exclusive economic zone, or EEZ) to guide 
potential applicants for Federal permits to operate aquaculture 
facilities in the EEZ, and will be used by Federal agencies to evaluate 
applications. OAR is seeking proposals that address the content of this 
code (e.g., aquatic health management, genetic management, etc.), and 
proposals that would improve stakeholder participation and acceptance 
of such a code. Additionally, OAR is seeking proposals from aquaculture 
industry sector groups to develop codes of conduct or best management 
plans for their industries.

Use Suitability-Mapping of EEZ and State Waters To Assist in 
Aquaculture Siting

    OAR is seeking proposals that evaluate use/suitability mapping as a 
tool to assist in the siting of aquaculture facilities. Proposals 
should consider all sociological, environmental, technological, 
physical and other relative parameters that should be included in use/
suitability mapping to identify potential lease sites which would avoid 
conflicts with other major uses and yet satisfy marine aquaculture 
industry requirements. This would include the need to consider state 
coastal management interests, fisheries and other maritime interests. 
Proposals that include testing or demonstration of use/suitability 
mapping for aquaculture siting will receive additional consideration.

Environmentally Sound Technologies and Impacts (Specifically for Grow-
Out and Enhancement)

    The NOAA goal to promote the development of environmentally sound 
aquaculture requires information on the impacts of aquaculture under 
present operating conditions and predictions of impacts with increased 
aquaculture activity. Part of this goal includes the development of 
production technologies to improve the environmental performance of 
aquaculture production systems and locations.
    OAR is seeking proposals that evaluate environmental impacts of 
aquaculture production systems, particularly those that will provide 
information on impacts from aquaculture facilities in the EEZ. 
Proposals that address the environmental aspects of stock enhancement 
will also be considered.

Regional Planning and Coordination

    OAR recognizes the need for integrated regional planning and 
prioritization in order to focus Federal and assistance efforts. OAR is 
seeking proposals to establish mechanisms for broad regional planning 
that would address the NOAA goals to promote environmentally sound 
marine aquaculture. Specifically, OAR seeks proposals from the 
northeast, southeast, Gulf, Pacific and Great Lakes regions. Some 
regional planning groups have formed based on the regional focus 
sessions at the August 1999 workshop, and these groups will be given 
priority.
    We are particularly interested in working on the above issues in 
order to create a regulatory and management environment conducive to 
sound industry development. This will require partnerships between 
State and Federal agencies, non-government organizations, the industry 
and the academic and regulatory authorities necessary to achieve this 
goal.

[[Page 16183]]

IV. What To Submit

Full Proposal Guidelines

    Each full proposal should include the first six items listed below: 
the standard forms included as Item 7 will only be required for 
proposals for selected funding. All pages should be single- or double-
spaced, typewritten in at least a 10-point font, and printed on metric 
A4 (210 mm  x  297 mm) or 8 2"  x  11" paper. Brevity will assist 
reviewers and program staff in dealing effectively with proposals. 
Therefore, the Project Description may not exceed 15 pages. Tables and 
visual materials, including figures, charts, graphs, maps, photographs 
and other pictorial presentations are included in the 15-page 
limitation; literature citations and letters of support, if any, are 
not included in the 15-page limitation. Conformance to the 15-page 
limitation will be strictly enforced. All information needed for review 
of the proposal should be included in the main text; no appendices, 
other than support letters, if any, are permitted. Failure to adhere to 
the above limitations will result in the proposal being rejected 
without review.

(2) Signed Title Page

    The title page should be signed by the Principal Investigator and 
the institutional representative and should clearly identify the 
program area being addressed by starting the project title ``National 
Marine Aquaculture Initiative.'' The Principal Investigator and 
institutional representative should be identified by full name, title, 
organization, telephone number, and address. The total amount of 
Federal funds being requested should be listed for each budget period; 
the total should include all subrecipient's budgets on projects 
involving multiple institutions.

(2) Project Summary

    This information is very important. Prior to attending the peer 
review panel meetings, some of the panelists may read only the project 
summary. Therefore, it is critical that the project summary accurately 
describes the research being proposed and conveys all essential 
elements of the research. Applicants are encouraged to use to Sea Grant 
Project Summary Form 90-2, but may use their own form as long as it 
provides the same information as the Sea Grant form. The project 
summary should include: 1. Title: Use the exact title as it appears in 
the rest of the application. 2. Investigators: List the names and 
affiliations of each investigator who will significantly con-tribute to 
the project. Start with the Principal Investigator. 3. Funding request 
for each year of the project, including matching funds if appropriate. 
4. Project Period: Start and completion dates. Proposals should request 
a start date of July 1, 2000, or later. 5. Project Summary: This should 
include the rationale for the project, the scientific or technical 
objectives and/or hypotheses to be tested, and a brief summary of work 
to be completed.

(3) Project Description (15-page limit)

    (a) Introduction/Background/Justification: Subjects that the 
investigator(s) may wish to include in this section are: (i) Current 
state of knowledge; (ii) Contributions that the study will make to the 
particular discipline or subject area; (iii) Contributions and impacts 
the study will make toward advancement of marine aquaculture technology 
and policy; and iv) As appropriate, contributions of investigator's 
previously funded research results to current proposal.
    (b) Research or Technical Plan: (i) Objectives to be achieved, 
hypotheses to be tested; (ii) Plan of work--discuss how stated project 
objectives will be achieved; and (iii) Role of project personnel.
    (c) Output: Describe the project outputs and impacts that will 
enhance the Nation's ability to develop marine aquaculture in an 
environmentally responsible way.
    (d) Coordination with other Program Elements: Describe any 
coordination with other agency programs or ongoing research efforts. 
Describe any other proposals that are essential to the success of this 
proposal.
    (e) Literature Cited: Should be included here, but does not count 
against the 15-page limit.

(4) Budget and Budget Justification

     There should be a separate budget for each year of the project as 
well as a cumulative annual budget for the entire project. Applicants 
are encouraged to use the Sea Grant Budget Form 90-4, but may use their 
own form as long as it provides the same information as the Sea Grant 
form. Successful applicants whose awards would be made through a state 
Sea Grant Program must consult with that state Sea Grant Program budget 
office to ensure that all necessary overhead costs are included. 
Subcontracts should have a separate budget page. Matching funds must be 
indicated if required; failure to provide adequate matching funds will 
result in the proposal being rejected without review. Applicants should 
provide justification for all budget items in sufficient detail to 
enable the reviewers to evaluate the appropriateness of the funding 
requested. For all applications, regardless of any approved indirect 
cost rate applicable to the award, the maximum dollar amount of 
allocable indirect costs for which the Department of Commerce will 
reimburse the Recipient shall be the lesser of: (a) The Federal share 
of the total allocable indirect costs of the award based on the 
negotiated rate with the cognizant Federal agency as established by 
audit or negotiation; or (b) The line item amount for the Federal share 
of indirect costs contained in the approved budget of the award.

(5) Current and Pending Support

     Applicants must provide information on all current and pending 
support for ongoing projects and proposals, including subsequent 
funding in the case of continuing grants. All current project support 
from whatever source (e.g., Federal, State, or local government 
agencies, private foundations, industrial or other commercial 
organizations) must be listed. The proposed project and all other 
projects or activities requiring a portion of time of the principal 
investigator and other senior personnel should be included, even if 
they receive no Federal salary support from the project(s). The number 
of person-months per year to be devoted to the projects must be stated, 
regardless of source of support. Similar information must be provided 
for all proposals already submitted or submitted concurrently to other 
possible sponsors, including those within NOAA.

(6) Vitae

     (2 pages maximum per investigator).

(7) Standard Application Forms

     Applicants may obtain all required application forms at the 
following Internet website: (http://www.nsgo.seagrant.org/research/rfp/index.html#3), from the state Sea Grant Programs, or from Dr. James 
McVey at the NSGO (phone: 301-713-2451 x160 or e-mail: 
[email protected]). For proposals selected for funding, the following 
forms must also be submitted:
    (a) Standard Form 424, Application for Federal Assistance, and 424B 
Assurances--Non-Construction Programs, (Rev 4-88). Applications should 
clearly identify the program area being addressed by starting the 
project title with ``Marine Aquaculture Initiative.'' Please note that 
both the Principal Investigator and an administrative contact should be 
identified in Section 5 of the SF424. For Section 10, applicants should 
enter ``11.417'' for the CFDA Number and Sea

[[Page 16184]]

Grant Support for the title. The form must contain the original 
signature of an authorized representative of the applying institution.
    (b) Primary Applicant Certifications. All primary applicants must 
submit a completed Form CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying,'' and the following explanations are hereby 
provided:
    (i) Non-Procurement Debarment and Suspension. Prospective 
participants (as defined at 15 CFR Part 26, Section 105) are subject to 
15 CFR Part 26, ``Non-Procurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies;
    (ii) Drug-Free Workplace. Grantees (as defined in 15 CFR Part 26, 
Section 605) are subject to 15 CFR Part 26, Subpart F, ``Government-
wide Requirements for Drug-Free Workplace (Grants)'' and the related 
section of the certification form prescribed above applies;
    (iii) Anti-Lobbying. Persons (as defined at 15 CFR Part 28, Section 
105) are subject to the lobbying provisions of 31 U.S.C. 1352, 
``Limitation on use of appropriated funds to influence certain Federal 
contracting and financial transactions,'' and the lobbying section of 
the certification form prescribed above applies to applications/bids 
for grants, cooperative agreements, and contracts for more than 
$100,000, and loans and loan guarantees for more than $150,000, or the 
single family maximum mortgage limit for affected programs, whichever 
is greater; and
    (iv) Anti-Lobbying Disclosures. Any applicant that has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR Part 28, Appendix B.
    (c) Lower Tier Certifications. Recipients shall 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 the Department of 
Commerce (DOC). Renewal of an award to increase funding or extend the 
period of performance is based on satisfactory performance and is at 
the total discretion of the DOC. SF-LLL submitted by any tier recipient 
or subrecipient should be submitted to DOC in accordance with the 
instructions contained in the award document.

V. Selection Procedures

    All proposals will be sent out for written reviews and a blue 
ribbon panel of non-government aquaculture experts and NOAA scientists 
will rate the proposals in rank order for funding based on the written 
reviews and the panel process. OAR, in cooperation with the NOAA/DOC 
Steering Committee on Aquaculture, will make the final proposal 
selection based on the input from the selection panel, but reserves the 
right to select outside of rank order for programmatic balance and 
purposes. Selection criteria will be as follows:

60% Scientific and/or technical merit
20% Project relevance to the priorities of the RFP
10% Competency of project team and ability to complete project 
according to schedule
10% Plan for dissemination and incorporation of project results, 
including publication and extension opportunities.

    Projects will be graded on a percent system with each category 
contributing towards a total of 100%

VI. Eligibility

    Support under this call for proposals is available to all non-
federal scientists as well as all federal and state agencies and 
institutions. Investigators submitting proposals in response to this 
announcement are strongly encouraged to develop inter-institutions, 
inter-disciplinary research teams in the form of single, integrated 
proposals or as individual proposals that are clearly linked together. 
Persons directly involved in the proposal selection process are not 
eligible for support. NOAA conflict of interest procedures will be 
followed.

VII. How To Submit

    Proposals can be submitted directly to the National Sea Grant 
Office (NSGO), according to the schedule outlined above. Although 
investigators are not required to submit more than 3 copies of full 
proposals, the normal review process requires 10 copies. Investigators 
are encouraged to submit sufficient copies for the full review process 
if they wish all reviewers to receive color, unusually sized (not 8.5" 
x 11"), or otherwise unusual materials submitted as part of the 
proposal. Only three copies of the Federally required forms are needed. 
Proposals sent to the NSGO should be addressed to: NSGO, R/SG, Attn.: 
Dr. James P. McVey, National Marine Aquaculture Initiative, 1315 East-
West Highway, Room 11838, Silver Spring, MD 20910 (phone number for 
express mail applications is 301-713-2435).
    Applications received after the deadline and application that 
deviate from the format described above will be returned to the sender 
without review. Facsimile transmissions and electronic mail submission 
of pre-proposals and full proposals will not be accepted.

VIII. Other Requirements

    (A) Federal Policies and Procedures--Recipients and subrecipients 
are subject to all Federal laws and Federal and Department of Commerce 
(DOC) policies, regulations, and procedures applicable to Federal 
financial assistance awards.
    (B) Past Performance--Unsatisfactory performance under prior 
Federal awards may result in an application not being considered for 
funding.
    (C) 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 may have been received, there is no obligation on the 
part of DOC to cover pre-award costs.
    (B) No Obligation for Future Funding--If an application is selected 
for funding, DOC has no obligation to provide any additional future 
funding in connection with that award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of DOC.
    (E) Delinquent Federal Debts--No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
until either:
    (1) The delinquent account is paid in full,
    (2) A negotiated repayment schedule is established and at least one 
payment is received, or
    (3) Other arrangement satisfactory to DOC are made.
    (F) Name Check Review--All non-profit and for-profit applicants are 
subject to a name check review process. Name checks are intended to 
reveal if any key individuals associated with the applicant have been 
convicted of or are presently facing criminal charges such as fraud, 
theft, perjury, or other matters which significantly reflect on the 
applicant's management honesty or financial integrity.

[[Page 16185]]

    (G) False Statements--A false statement on an application is 
grounds for denial or termination of funds and grounds for possible 
punishment by a fine or imprisonment as provided in 18 U.S.C. 1001.
    (H) Intergovernmental Review--Applications for support from the 
National Sea Grant College Program are not subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    (I) Purchase of American-Made Equipment and Products--Applicants 
are hereby notified that they will be encouraged, to the greatest 
extent practicable, to purchase American-made equipment and products 
with funding provided under this program.
    (J) 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 (HBCU), Hispanic Serving 
Institutions (HSI), and Tribal Colleges and Universities (TCU) 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. 
Institutions eligible to be considered HBCU/MSIs are listed at the 
following Internet website: http://www.ed.gov/offices/OCR/99minin.html.
    (K) For awards receiving funding for the collection or production 
of geospatial data (e.g., GIS data layers), the recipient will comply 
to the maximum extent practicable with E.O. 12906, Coordinating 
Geographic Data Acquisition and Access, The National Spatial Data 
Infrastructure, 59 FR 17671 (April 11, 1994). The award recipient shall 
document all new geospatial data collected or produced using the 
standard developed by the Federal Geographic Data Center, and make that 
standardized documentation electronically accessible. The standard can 
be found at the following Internet website:
(http://www.fgdc.gov/standards/standards/html).
    L. Indirect Costs: If indirect costs are proposed, the following 
statement applies: The total dollar amount of the indirect costs 
proposed in an 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.

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts. Therefore, a 
regulatory flexibility analysis is not required for purposes of the 
Regulatory Flexibility Act.
    This action has been determined to be not significant for purposes 
of E.O. 12866.
    This notice contains collection of information requirements subject 
to the Paperwork Reduction Act. The Sea Grant Budget Form, 90-4, Sea 
Grant Summary Form, 90-2, and Standard Forms 424, and 424b have been 
approved under control numbers 0648-0362, 0648-0362, 0348-0043, and 
0348-0040 with average responses estimated to take 15, 20, 45, and 15 
minutes, respectively. These estimates include the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments on these estimates or any 
other aspect of these collections to National Sea Grant College 
Program, 
R/SG, NOAA, 1315 East-West Highway, Silver Spring, MD 20910 (Attention: 
Francis S. Schuler). Notwithstanding any other provision of the law, no 
person is required to respond to, nor shall any person be subject to a 
penalty for failure to comply with, a collection of information subject 
to the requirements of the Paperwork Reduction Act, unless that 
collection of information displays a currently valid OMB Control 
Number.

Louisa Koch,
Deputy Assistant Administrator, Office of Oceanic and Atmospheric 
Research, National Oceanic and Atmospheric Administration.
[FR Doc. 00-7512 Filed 3-24-00; 8:45 am]
BILLING CODE 3510-KA-M