[Federal Register Volume 66, Number 43 (Monday, March 5, 2001)]
[Notices]
[Pages 13295-13301]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-5264]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 990125030-1039-02]
RIN 0648-ZA56


National Oyster Disease Research Program and Gulf Oyster Industry 
Initiative: Request for Proposals

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

ACTION: Notice of request for proposals.

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SUMMARY: The purpose of this notice is to advise the public that the 
National Sea Grant College Program (Sea Grant) is entertaining grant 
proposals to participate in innovative research, outreach and 
demonstration in two separate competitions: one to continue the 
National Oyster Disease Research Program (ODRP) and one to continue the 
Gulf Oyster Industry Program (GOIP). Approximately $1.85 million is 
available for the Oyster Disease Research Program and $.9 million for 
the Gulf Oyster Program in FY-2001 and a similar amount is expected for 
FY-2002. Therefore, two year proposals are being accepted. The National 
Oyster Disease Research Program focuses on diseases that are impacting 
the oyster populations of the US and the Gulf Oyster Industry Program 
focuses on the oyster industry problems of the Gulf Coast with special 
emphasis on the human health considerations within that industry.

DATES: Preliminary proposals must be received at the individual state 
Sea Grant Programs by 5:00 p.m. (local time) on April 4, 2001 and at 
the National Sea Grant Office by 5:00 pm (EST) April 9, 2001. After 
evaluation at the National Sea Grant Office (NSGO), some proposers will 
be encouraged to prepare full proposals, and those comments will be 
made available by April 23, 2001. Full proposals must be received at 
individual Sea Grant Programs by 5:00 p.m. (local time), May 28, 2001 
and copies to the National Sea Grant Office by 5:00 pm (EDT) May 31, 
2001. Written peer reviews from state Sea Grant programs must be at the 
National Sea Grant Office by 5:00 pm (EDT) on July 11, 2001. It is 
anticipated that full proposal funding decisions will be made by July 
20, 2001. State Program Directors should allow enough time in their 
process to pass the proposals and other materials to the National Sea 
Grant Office by the dates indicated above. Please see list of state 
program addresses and phone numbers below.

ADDRESSES: For those applicants living in Sea Grant States, the 
preliminary proposals and full proposals must go to state Sea Grant 
programs at the addresses obtainable at the web address below. If the 
applicant is not from a Sea Grant state they should submit directly to: 
National Sea Grant College Program, R/SG, Attn: Oyster Disease and Gulf 
Oyster Industry Competition, Room 11838, NOAA, 1315 East-West Highway, 
Silver Spring, MD 20910, by the dates listed for submission to the 
National Sea Grant Office.
    Electronic Addresses:

Sea Grant Directors--
    http://www.nsgo.seagrant.org/SGDirectors.html;
Sea Grant Forms--
    www.nsgo.seagrant.org/research/rfp/index.html#3

FOR FURTHER INFORMATION CONTACT: James P. McVey, Program Director for 
Aquaculture, or Mary Robinson, Secretary, National Sea Grant Office, 
301-713-2451, facsimile 301-713-0799, [email protected].

SUPPLEMENTARY INFORMATION:

I. Program Authority

33 U.S.C. 1121 et seq.
Catalog of Federal Assistance Numbers: 11.417. Sea Grant Support.

II. Program Description

Background

    National Oyster Disease Research Program: For more than two 
decades, oyster populations in the Chesapeake Bay and mid-Atlantic area 
have been increasingly battered by Dermo and MSX, two parasitic 
diseases for which there is no known remedy. In the Northeast, a new 
and as yet unidentified pathogen, called Juvenile Oyster Disease (JOD), 
has been taking a toll in hatcheries. On the West Coast, the Pacific 
Oyster has been subjected to puzzling summer mortalities.
    The continuing decline of oyster stocks has been a catalyst for 
federal support of the Oyster Disease Research Program, a far-reaching 
effort by the National Oceanic and Atmospheric Administration to 
support innovative research that will lead to improved techniques for 
combating oyster disease. The Program began in 1990 with oversight by 
the NOAA National Marine Fisheries Service and its Chesapeake Bay 
Office, and is now administered by the National Sea Grant College 
Program.
    The Oyster Disease Research Program is supporting efforts to reduce 
the impacts of oyster disease on oyster populations through a 
competitive research program coupled with outreach and management 
efforts. The ODRP is committed to the restoration of healthy 
populations of oysters in the nation's coastal waters.
    Gulf Oyster Industry Program: The Gulf Oyster Industry Program is a 
long term, research-based program aimed at assisting the oyster 
industry in states adjoining the Gulf of Mexico to achieve full 
economic recovery and sustainable oyster production. This program will 
foster the participation of highly qualified academic researchers with 
industry and management agency personnel in an organized, comprehensive 
search for practical solutions to the most pressing problems of the 
Gulf oyster industry, including those relating to Vibrio vulnificus, a 
human pathogen, and other human health risks associated with raw 
molluscan shellfish.

Funding Availability and Priorities

    Approximately $1.85 million in FY-2001 funding is available for the 
Oyster Disease competition and approximately $900,000 is available for 
the Gulf Oyster Industry competition. A similar amount is expected but 
not assured for both competitions in FY-2002, therefore, two-year 
projects will be considered. Funding will be on an annual basis, with 
grant renewal depending upon satisfactory demonstration of progress and 
availability of funds. Any two-year grant awards that are funded 
annually must have scopes of work that can be easily separated into 
annual increments of meaningful work that represents solid 
accomplishments if prospective funding is not made available to the 
applicant

[[Page 13296]]

(i.e., the scopes of work for each funding period must produce 
identifiable and meaningful results in and of themselves).
    The National Sea Grant College Program encourages proposals that 
address one of the following two program areas:
(1) National Oyster Disease Research Program (ODRP)
    The official vision statement for the program is ``to provide, 
through a coordinated research and outreach program, the technological 
basis for overcoming diseases which currently limit oyster production 
in the United States.'' Even though ODRP emphasis is on diseases 
associated with the American oyster, proposals addressing disease 
problems of other oyster species will be considered as long as they 
relate to the priorities identified below.
    In response to the progress reports and discussions that took place 
at the International Shellfish Restoration Conference, 16-18 November, 
2000, this announcement will encourage partnerships for the transfer of 
basic research findings and new technology to the industry and to State 
shellfish managers where opportunity exists. Even though this 
announcement is encouraging projects of this type, Sea Grant recognizes 
that some of the best work being done on oyster disease involves basic 
research, which may not be ready for application, but which still 
contributes to a greater understanding of the fundamental nature of 
oyster diseases. Sea Grant will continue to support this basic 
research, while providing opportunity for those researchers that have 
already developed useful applications to receive consideration in the 
proposal process.
    Primary consideration for funding will be given to proposals which 
address the specific priorities listed below. These priorities, 
originally determined at a national workshop in January, 1995 and 
further refined at the Oyster Disease Research Program session during 
the International Shellfish Restoration Conferences in 1996 and 2000, 
are not listed in any implied order of importance.
    (1) Design, apply and evaluate disease management strategies for 
enhanced natural and aquaculture production and prediction (i.e. 
advanced forecasting)--there are many issues related to establishment 
of oyster sanctuaries, commercial oyster beds, oyster aquaculture, 
remote setting, use of natural seed, bottom cleaning before setting, 
cultch type, etc. which should be addressed as related to the impacts 
of disease. Activities that involve private sector, state restoration 
programs and extension/outreach in the implementation of research 
results and field trials using diagnostic methods, and other disease 
related technology and information for improved oyster disease 
management or oyster culture are appropriate under this priority.
    (2) Parasite life cycles and the dynamics and mechanisms of 
transmission--investigations of selected aspects of the life cycles of 
oyster pathogens, especially MSX and Perkinsus, and the dynamics/
mechanisms of disease transmission among host organisms.
    (3) Host-parasite interactions--investigations which: determine how 
pathogens avoid host defense mechanisms, biochemically characterize 
Perkinsus strains, determine factors which confer virulence to 
Perkinsus strains, determine mechanisms of infection/entry into the 
host, or compare disease processes in oyster species are being sought.
    (4) Mechanisms of disease resistance--continued emphasis is placed 
on studies concerning cellular/molecular mechanisms of disease 
infection and resistance in Crassostrea spp. and studies which 
determine the mechanisms of immune response in oysters. In addition, 
analysis of host defense factors, the development of molecular markers 
of disease and stress resistance, the development of immuno-stimulants, 
the application of chemo-therapeutics, and the identification of 
pathogen virulence and resistance mechanisms are needed; as are studies 
comparing resistance among diploid and polyploid oysters.
    (5) Development and application of diagnostic methods for all 
oyster diseases--investigations which lead to the development and 
application of molecular techniques for disease diagnosis, and those 
which develop rapid field diagnostic methods are high priority. This 
program has already developed many diagnostic techniques for several 
disease organisms and new proposals will be expected to show a 
significant improvement over the techniques already developed.
    (6) Environmental influences on disease processes--proposals which 
address the influence of biotic and abiotic factors upon host-parasite 
interactions are high priority. Also included are studies of the 
effects of eutrophication and other stresses upon disease dynamics, 
basic physiological and adaptation processes in both hosts and 
parasites, the mechanisms of the summer kill phenomenon, relationships 
between disease progression and climate, and the eco-physiology of 
Perkinsus.
    Taxonomy, phylogeny and population studies of both hosts and 
parasites--emphasis continues on studies of variations in population 
susceptibility, host resistance and pathogen virulence. Also needed are 
investigations of the genetic structure of both hosts and parasites.
    (8) Development and application of selective breeding strategies--
We are seeking studies which develop molecular/biochemical markers for 
breeding resistance into oysters, as well as genome analysis and gene 
transfer techniques related to disease resistance. Evaluation of non-
native oyster species genomes with regard to disease resistance under 
aquaculture conditions will also be considered.
    (9) Development and testing of geographic and mathematical models 
to improve understanding of disease dynamics--A basic model now exists 
and new work in this area must clearly state how additional investment 
will take us to an even better level of prediction or disease 
management.
(2) Gulf Oyster Industry Program
    The Gulf Oyster Industry Program was created as a result of 
information provided by Gulf oyster industry leaders, state resource 
managers, and academic researchers spanning the five-state Gulf region. 
Specific needs identified by these individuals were subsumed into 12 
concise issue statements as a result of a workshop held in New Orleans, 
Louisiana in 1997 and reaffirmed in 2000. This list of research and 
extension needs and proposed responses was presented to a select 
Industry Advisory Panel at the Gulf Oyster Industry Program Workshop 
conducted in New Orleans, La., on February 28, 1998, and again in 2000 
and the group was asked to establish research priorities based on that 
framework. Through an ensuing discussion, the high-priorities were 
delineated as shown below:
    (1) At-Risk Consumer Education and Evaluation--This RFP seeks 
proposals that will develop, implement and/or evaluate a Vibrio 
vulnificus Education Program, including, but not limited to: at-risk 
consumer foundations and associations, pharmacies, alcohol treatment 
centers, wound infection issues, media relations, and public 
perceptions.
    (2) Human Pathogenic Organisms--Raw oysters have the potential to 
cause human illness due to the presence of naturally occurring 
opportunistic pathogens (e.g., Vibrio vulnificus), naturally occurring 
pathogens that

[[Page 13297]]

become a concern only when present at elevated levels (e.g., Vibrio 
cholrea or Vibrio parahaemolyticus), and which pathogens are related to 
contaminated growing areas (e.g., Norwalk and Norwalk-like viruses, 
Salmonella sp. and Shigella). This potential has created a perception 
that consumption of raw oysters places a large number of people at risk 
of contracting illnesses from opportunistic bacteria, toxins, and 
viruses. This RFP also seeks proposals that will develop new means of 
treating shell stock to eliminate human pathogens, and, develop or 
investigate new technology, such as ionized water, for depurating 
oysters of human pathogens.
    (3) Post-Harvest Treatment (PHT) Process Evaluation and Education--
This RFP seeks proposals that will develop and evaluate PHT 
demonstration projects, including, but not limited to, providing PHT 
product in demonstration projects to wholesalers & retailers, and, 
conducting economic analyses regarding the changes to current handling 
and processing practices.
    (4) Consumer Attitudes and Preferences--The oyster industry and 
regulators lack knowledge concerning the attitudes, preferences, and 
other characteristics of potential oyster consumers. Learning about 
consumers' attitudes and preferences will help increase demand for new 
PHT and traditional oyster products. This RFP seeks proposals that will 
determine oyster consumer demographics, consumption patterns, attitudes 
and preferences, develop media-relations protocol for the oyster 
industry, conduct media-relations workshops for the Gulf oyster 
industry to improve communication skills, develop media-relations 
protocol or decision tree for researchers and state regulatory 
personnel, and, determine the characteristics of the market for Gulf 
oysters, including sales (region, size of establishment, average sales, 
etc.), distribution, and product forms.
    (5) Harmful Algal Blooms (HAB)/Red Tide--HAB causes lengthy public 
health closures of shellfish growing waters, halting production for 
weeks and causing severe economic hardship in the impacted area. This 
RFP seeks proposals to develop rapid detection methods for toxic marine 
algae, especially G. breve, conduct HAB research advisory and outreach 
activities in the Gulf states, and, conduct a workshop for state and 
federal shellfish sanitation personnel and researchers to include new 
monitoring, diagnostic, and management protocols for use in the 
reopening of shellfish growing waters closed by HAB.
    (6) Economic and Legal Impacts of Regulatory Action--The regulation 
of molluscan shellfish is unique from all other foods. Regulatory 
action either by state or federal public health agencies, and 
subsequent news media responses can have severe economic and legal 
impacts on the harvesting, processing and marketing of shellfish, such 
as Gulf oysters. This RFP seeks proposals that analyze the effects of 
inaccurate media reports on sales, the delisting of a processor or 
state from the Interstate Certified Shellfish Shippers List, the 
ramifications from product disparagement, and/or, the impact of the 
oyster and support industries on demand for labor and the coastal 
economies of the Gulf region.
    (7) Coastal Restoration/Freshwater Diversion--Coastal land loss, 
deterioration of estuarine habitat, and coastal restoration programs, 
e.g., freshwater diversions and sedimentation projects, are causing 
widespread dislocations and conflicts with established oyster-producing 
operations. This RFP seeks proposals that educate oyster men, public 
officials, and citizens regarding the economic role of the oyster 
industry and the economic costs of displacing and relocating oyster 
bedding operations, and/or, conduct demonstration projects for oyster 
farmers to show them the best strategy to relocate their oyster farms 
that are damaged by coastal restoration projects.
    (8) Labor and Mechanization--The traditional labor base that 
supports oyster growing, harvesting, and processing is shrinking 
rapidly, with consequently declining production and increased costs. 
This RFP seeks proposals that investigate and develop cost-effective 
mechanized approaches to oyster harvesting, and processing, including, 
but not limited to, developing new means to package and handle oyster 
shell stock and shucked oysters, including large re-usable, low-cost 
containerization of shell stock for vessels to trucks, handling 
equipment to move large containers of shell stock; and, cheaper 
containers for shucked oysters.
    (9) Oyster Diseases--Oyster diseases are having a major impact on 
Gulf Coast oyster stocks and for the most part this topic will be 
covered under the Oyster Disease topic in this solicitation. However, 
oyster disease research specific to the Gulf Coast will be considered 
in this solicitation.
    (10) Genetics and Oyster Hatchery technology--These technologies 
are needed to develop cost-effective hatchery/nursery operations to 
augment wild oyster production with specialized strains. This RFP seeks 
proposals that develop polyploid broodstock for the Gulf Coast, disease 
resistant transgenic oysters, and/or, address practical problems which 
may be common to oyster production in general, but especially acute in 
a farming situation, e.g., biofouling, predation, disease, etc.
    Primary consideration for funding will be given to proposals that 
address the topics listed above. Although the Industry Advisory Panel 
has indicated a clear preference for projects with a technological 
focus, more fundamental scientific studies may be supported when clear 
linkages between scientific findings and their incorporation into 
technological advances and management practices can be, demonstrated.

III. Eligibility

    Eligible applicants include institutions of higher education, other 
non-profits, commercial organizations, state, local and Indian tribal 
governments. For the Oyster Disease Research topic National Marine 
Fishery Services personnel may participate in joint efforts with non-
federal persons or groups in these projects as long as non-Federal 
matching fund requirements are met and these non-federal persons or 
groups are the principal investigators and have applied and 
successfully competed for oyster disease research funds through the 
process outlined in this announcement.

    Note: NMFS personnel must demonstrate that they have been 
authorized to participate in this activity. Should funds be 
requested as part of the NMFS personnel effort, NMFS must 
demonstrate that they have legal authority to receive these funds in 
excess of their appropriation.

    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.

IV. Evaluation Criteria

    A. The evaluation criteria for both preproposals and full proposals 
submitted for support under the Oyster Disease Research Program are as 
follows:
    (1) Impact of proposed project (35 points)--Significance of the 
ODRP problem that is being addressed and the level of expected 
improvement of oyster industry production or technology as a result of 
funding or the need for this activity as a necessary step toward

[[Page 13298]]

having a positive impact on future improvement of technology or 
production.
    (2) Scientific or Professional Merit (30 points)--Degree to which 
the activity will advance the state of the science or state-or-the-art 
methods.
    (3) Field-Scale trials (5 points)--Degree to which industry and 
state oyster managers are using or will use technology or products 
developed through applied research under actual field conditions.
    (4) User Relationships, partnerships, collaborative efforts and 
leveraging (15 points)--Degree to which the potential users of the 
results have been involved in the planning of the activity, will be 
involved in the execution of the activity and/or are providing matching 
funds. Establishment of effective partnerships and collaborations that 
leverage funds.
    (5) Innovativeness (10 points)--Degree to which new approaches to 
solving problems and exploiting opportunities in oyster disease 
research, or in public outreach on such issues will be employed, or the 
degree to which the activity will focus on new types of important or 
potentially important resources and issues.
    (6) Qualifications and Past Record of investigators (5 points)--
Degree to which investigators are qualified by education, training, 
and/or experience to execute the proposed activity; record of 
achievement with previous funding.
    B. The evaluation criteria for both preproposals and full proposals 
submitted for support under the Gulf Coast Oyster Industry Initiative 
are as follows:
    (1) Impact of proposed project (40 points)--Significance of the 
GCOIP that will be addressed; the effect this activity will have on the 
improvement of oyster industry production or technology as a result of 
funding or the need for this activity as a necessary step toward having 
a positive impact on future improvement of technology or production.
    (2) Field-Scale Trials (10 points)--Degree to which industry and 
state oyster managers are using or will use technology or products 
developed through applied research under actual field or industry 
conditions.
    (3) Scientific or Professional Merit (20 points)--Degree to which 
the activity will advance the state of the science or discipline 
through use and extension of state-of-the-art methods.
    (4) User Relationships, partnerships, collaborations and leveraging 
(15 points)--Degree to which potential users of the results of the 
proposed activity have been involved in planning the activity, will be 
involved in the execution of the activity, and/or are providing 
matching funds. Establishment of effective partnerships and 
collaborations that leverage funds.
    (5) Innovativeness (10 points)--Degree to which new approaches to 
solving problems and exploiting opportunities in Gulf Coast Oyster 
Industry issues, or in public outreach on such issues will be employed, 
or the degree to which the activity will focus on new types of 
important or potentially important resources and issues.
    (6) Qualifications and Past Record of Investigators (5 points)--
Degree to which investigators are qualified by education, training, 
and/or experience to execute the proposed activity; record of 
achievement with previous funding.

V. Selection Procedures

    All preliminary proposals will be evaluated by selection panels 
constituted by the National Sea Grant Office for each of the oyster 
programs. A determination will be made as to the preproposal's 
appropriateness according to the list of priorities listed above for 
each of the two competitions. Points will be assigned to each of the 
evaluation criteria relative to the priority areas listed by the review 
panels with a total of 100 points possible for all criteria in the 
respective competitions. Full proposals will be requested of those 
preliminary proposals that are rated above a certain score to be 
determined by the panel. Invitation to submit a full proposal does not 
constitute an indication that the proposal will be funded. Interested 
parties who are not invited to submit full proposals will not be 
precluded from submitting full proposals if they have submitted a 
preliminary proposal in accordance with the procedures described below. 
A list of those projects already funded in previous years is available 
from the National Sea Grant Office.
    Full proposals will be received at the individual state Sea Grant 
programs or at the National Sea Grant Office if from a non-Sea Grant 
State applicant, and sent to peer reviewers for written reviews. The 
National Sea Grant Office will obtain the written reviews for proposals 
from Non-Sea Grant states. Complete full proposals and their written 
reviews will be sent from the state Sea Grant programs to the National 
Sea Grant Office to be ranked in accordance with the assigned weights 
of the above evaluation criteria by one of two independent peer review 
panels consisting of government, academic, and industry experts; one 
panel will review the Oyster Disease Research Program and a second 
panel will review the Gulf Oyster Industry Program. The panel members 
of each panel will provide individual evaluations on each proposal, but 
there will be no consensus advice. Proposals not receiving an average 
score of 81 points or above, will not be given further consideration. 
For the Proposals rated 81 points and higher the Sea Grant Program 
Managers will: (a) Ascertain which proposals best meet the priorities, 
and do not substantially duplicate other projects that are currently 
funded by NOAA or other federal agencies; (b) select the proposals to 
be funded; (c) determine which components of the selected projects will 
be funded; (d) determine the total duration of funding for each 
proposal; and (e) determine the amount of funds available for each 
proposal, hence, awards may not necessarily be made to the highest-
scored proposals. Investigators may be asked to modify objectives, work 
plans, or budgets prior to approval of the award. Subsequent grant 
administration procedures will be in accordance with current NOAA 
grants procedures. A summary statement of the scientific review by the 
peer panel will be provided to each applicant.
    Applications must reflect the total budget necessary to accomplish 
the project, and be matched by one dollar of non-federal funds for each 
two dollars of federal funds. The appropriateness of all cost-sharing 
will be determined on the basis of guidance provided in applicable 
Federal cost principles. The applicants will be bound by the percentage 
of cost sharing reflected in the grant award.

VI. Instructions for Application

What To Submit

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

[[Page 13299]]

source of the matching funds. Preliminary proposals must include 
matching fund equivalent to at least 50% of the Federal funds 
requested.
    (2) A concise (2-page limit) description of the project, its 
experimental design, its expected output or products, the anticipated 
users of the information, and its anticipated impact. Proposers should 
use the Evaluation Criteria for additional guidance in preparing the 
preliminary proposals.
    (3) Resumes (1-page limit) of the Principal Investigators.
    (4) Proposers are encouraged (but not required) to include a 
separate page suggesting reviewers that the proposers believe are 
especially well qualified to review the proposal. Proposers may also 
designate persons they would prefer not review the proposal, indicating 
why. These suggestions will be considered during the review process.
    The original and two copies of the preliminary proposals must be 
submitted to the state Sea Grant Program Director or, for investigators 
in non-Sea Grant states, directly to the National Sea Grant Office 
(NSGO) by the times and dates listed under the ``Dates'' section of 
this announcement. Preliminary proposals submitted to state Sea Grant 
Programs will be forwarded, along with a cover letter, to the NSGO by 
the dates indicated in this announcement.

Full Proposal Guidelines

    Each full proposal should include the items listed below. All pages 
should be single- or double-spaced, typewritten in at least a 10-point 
font, and printed on metric A4 (210 mm  x  297 mm) or 8\1/2\"  x  11" 
paper. Brevity will assist reviewers and program staff in dealing 
effectively with proposals. Therefore, the Project Description may not 
exceed 15 pages. Tables and visual materials, including charts, graphs, 
maps, photographs and other pictorial presentations are included in the 
15-page limitation. Conformance to the 15-page limitation will be 
strictly enforced. All information needed for review of the proposal 
should be included in the main text; no appendices are permitted.
    (1) Signed title page: The title page should be signed by the 
Principal Investigator and the institutional representative and should 
clearly identify the program area being addressed by starting the 
project title with either Oyster Disease Research Program or Gulf 
Oyster Industry Initiative, as appropriate. The Principal Investigator 
and institutional representative should be identified by full name, 
title, organization, telephone number, e-mail address, and mailing 
address. The total amount of Federal funds and matching funds being 
requested should be listed for each budget period.
    (2) Project Summary: This information is very important. It is 
critical that the project summary accurately describe the research 
being proposed and convey all essential elements of the research. The 
project summary should include: 1. Title: Use the exact title as it 
appears in the rest of the application. 2. Investigators: List the 
names and affiliates of each investigator who will significantly 
contribute to the project. Start with the Principal Investigator. 3. 
Funding request for each year of the project, including matching funds 
if appropriate. 4. Project Period: Start and completion dates. 
Proposals should request a start date of October 1, 2001. 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) Projected Description (15-page limit):
    Introduction/Background/Justification: Subjects that the 
investigator(s) may wish to include in this section are: (a) Current 
state of knowledge; (b) contributions that the study will make to the 
particular discipline or subject area; and (c) contributions the study 
will make toward addressing the problems of oyster disease or Gulf 
oyster industry issues.
    Research or Technical Plan: (a) Objectives to be achieved, 
hypotheses to be tested; (b) Experimental design and statistical 
analysis to be used; (c) Plan of work discuss how stated project 
objectives will be achieved; and (d) Role of project personnel.
    Output: Describe the project outputs that will enhance the Nation's 
ability to improve the status of oysters and the oyster industry.
    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.
    Reference and Literature Citations: Should be included but will not 
be counted in the 15 page project description limit.
    (4) Budget and Budget Justification: There should be a separate 
budget for each year of the project as well as a cumulative annual 
budget for the entire project. Applicants are encouraged to use the Sea 
Grant Budget Form 90-4, but may use their own form as long as it 
provides the same information as the Sea Grant form. Subcontracts 
should have a separate budget page. Matching funds must be indicated; 
failure to provide required matching funds will result in the proposal 
being rejected without review. Each annual budget should include a 
separate budget justification page that itemizes all budget items in 
sufficient detail to enable reviewers to evaluate the appropriateness 
of the funding requested. Please pay special attention to any travel, 
supply or equipment budgets and provide details. For proposals to 
either of the competition categories the total dollar amount of 
indirect costs must not exceed the indirect cost rate negotiated and 
approved by the cognizant Federal agency prior to the proposed 
effective date of the award or 100 percent of the total proposed direct 
costs dollar amount in the application, whichever is less.
    (5) Current and Pending Support: Applicants must provide 
information on all current and pending Federal support for ongoing 
projects and proposals, including subsequent funding in the case of 
continuing grants. 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 Federal sponsors, 
including those within NOAA.
    (6) Vitae (2 pages maximum per investigator)
    (7) Standard Application Forms: See Address section for web address 
for forms. Forms can also be obtained from state Sea Grant programs or 
the National Sea Grant Office. The following forms must be included:
    (a) Standard Forms 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 either Oyster Disease Research Program or Gulf 
Oyster Industry Program, as appropriate. Please note that both the 
Principal Investigator and an administrative contact should be 
identified in Section 5 of the SF424. For Section 10, applicants for 
the National Oyster Disease Research Program and Gulf Oyster Industry 
Initiative program areas should enter ``11.417'' for he CFDA Number and 
``Sea Grant Support'' for the title. The form must contain the original 
signature of an authorized representative of the applying institution.

[[Page 13300]]

    (b) Primary Applicant Certifications. All primary applicants must 
submit a completed Form CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying,'' and the following explanations are hereby 
provided:
    (i) Nonprocurement Debarment and Suspension. Prospective 
participants (as defined at 15 CFR part 26, Section 105) are subject to 
15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies;
    (ii) Drug-Free Workplace. Grantees (as defined at 15 CFR Part 26, 
Section 605) are subject to 15 CFR Part 26, Subpart F, ``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, 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). SF-LLL submitted by any tier recipient or subrecipient 
should be submitted to DOC in accordance with the instructions 
contained in the award document.

How To Submit

    Although investigators are not required to submit more than the 
original and two copies of the proposal, the normal review process 
requires ten copies. Investigators are encourage to submit sufficient 
proposal 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 the original 
and two copies of the Federally required forms are needed.

Federal Policies and Procedures

    Grant recipients and subrecipients are subject to all Federal laws 
and Federal and DOC policies, regulations, and procedures applicable to 
Federal financial assistance awards. Unsatisfactory performance under 
prior Federal awards may result in an application not being considered 
for funding.
    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, these is no obligation on the part of the Department of 
Commerce to cover pre-award costs.
    Applicants are hereby notified that they are encouraged, to the 
extent feasible, to purchase American-made products with funding 
provided under this program.
    If an application is selected for funding, the Department of 
Commerce 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 the 
Department of Commerce.
    No award of Federal funds shall be made to a applicant who has 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 receive, or
    c. Other arrangements satisfactory to Department of Commerce are 
made.
    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 
honestly or financial integrity.
    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, 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 MSIs are listed at the following 
Internet website: 
http://www.ed.gov/offices/OCR/99minin.html.
    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.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    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 Executive Order 12866.
    This notice contains collection-of-
    information requirements subject to the Paperwork Reduction Act. 
The Sea Grant Project Summary Form and the Sea Grant Budget Form have 
been approved under the Office of Management and Budget (OMB) Control 
Number 0648-0362, with estimated times per response of 20 and 15 
minutes, respectively. The use of Standard Forms 424, 424B, and the SF-
LLL have been approved by OMB under the respective control numbers 
0348-0043, 0348-0040 and 0348-0046. The response time estimates above 
include the time for reviewing instructions, searching existing data 
sources, gathering and maintaining the data needed, and completed and 
reviewing the collection of information. Send comments on these 
estimates or any other estimates of these collections to the National 
Sea Grant Office/NOAA, 1315 East-West Highway, Silver Spring, Maryland 
20910 and to the Office of Information and Regulatory Affairs, Office 
of Management and Budget,

[[Page 13301]]

Washington, DC 20503 (Attention: NOAA Desk Officer). Notwithstanding 
any other provision of the law, no person is required to respond to, 
nor shall any person be subject to a penalty for failure to comply 
with, a collection of information subject to the requirements of the 
Paperwork Reduction Act, unless that collection of information displays 
a currently valid OMB Control Number.

    Dated: February 23, 2001.
Louisa Koch,
Deputy Assistant Administrator, Oceanic and Atmospheric Research, 
National Oceanic and Atmospheric Administration.
[FR Doc. 01-5264 Filed 3-2-01; 8:45 am]
BILLING CODE 3510-KA-M