[Federal Register Volume 66, Number 45 (Wednesday, March 7, 2001)]
[Notices]
[Pages 13701-13708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-5560]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 960223046-1049-06; I.D. 011801D]
RIN 0648-ZA09


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

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

ACTION: Notice of solicitation for applications.

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

DATES: We must receive your application by the close of business May 7, 
2001 in one of the offices listed in section I.F. Applications 
Addresses of this document. You must submit one signed original and 
nine signed copies of the completed application (including supporting 
information). We will not accept facsimile applications.

ADDRESSES:  You can obtain an application package from, and send your 
completed application(s) to, the NMFS Regional Administrator located at 
any of the offices listed in section I.F. Application Addresses of this 
document. You may also obtain the application package from the S-K Home 
Page (see section I.G. Electronic Access ADDRESSES). However, we cannot 
accept completed applications electronically.

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

[[Page 13702]]


SUPPLEMENTARY INFORMATION:

I. Introduction

    We are soliciting applications for Federal assistance pursuant to 
the Saltonstall-Kennedy Act (S-K Act), as amended (15 U.S.C. 713c-3). 
This document describes how you can apply for funding under the S-K 
Grant Program, and how we will determine which applications we will 
fund.

A. Background

    The S-K Act established a fund (known as the S-K fund) that the 
Secretary of Commerce uses to provide grants or cooperative agreements 
for fisheries research and development projects addressed to any aspect 
of U.S. fisheries, including, but not limited to, harvesting, 
processing, marketing, and associated infrastructures. U.S. 
fisheries\1\ include any fishery, commercial or recreational, that is, 
or may be engaged in, by citizens or nationals of the United States, or 
citizens of the Northern Mariana Islands, the Republic of the Marshall 
Islands, Republic of Palau, and the Federated States of Micronesia.
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    \1\ For purposes of this document, a fishery is defined as one 
or more stocks of fish, including tuna, and shellfish that are 
identified as a unit based on geographic, scientific, technical, 
recreational and economic characteristics, and any and all phases of 
fishing for such stocks. Examples of a fishery are Alaskan 
groundfish, Pacific whiting, New England whiting, and eastern 
oysters.
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    The objectives of the S-K Grant Program, and, therefore, the 
funding priorities, have changed over the years since the program began 
in 1980. The program has evolved as Federal fishery management laws and 
policies, and research needs, have evolved in response to changing 
circumstances.
    The original focus of the program was to develop underutilized 
fisheries within the U.S. Exclusive Economic Zone (EEZ, i.e., 3-200 
miles (4.8-320 kilometers) off the coast). This focus was driven in 
part by the Magnuson-Stevens Fishery Conservation and Management Act 
(Magnuson-Stevens Act). The Magnuson-Stevens Act, originally passed in 
1976, directed us to give the domestic fishing industry priority access 
to the fishery resources in the EEZ. In 1980, the American Fisheries 
Promotion Act amended the S-K Act to stimulate commercial and 
recreational fishing efforts in underutilized fisheries. The 
competitive S-K Program initiated as a result included fisheries 
development and marketing as funding priorities.
    In the following years, the efforts to Americanize the fisheries 
were successful to the point that most nontraditional species were 
fully developed and some traditional fisheries became overfished. 
Therefore, we changed the emphasis of the S-K Program to address 
conservation and management issues and aquaculture.
    In 1996, the Sustainable Fisheries Act (SFA) (Public Law 104-297), 
was enacted. The SFA amended the Magnuson-Stevens Act and supported 
further adjustment to the S-K Program to address the current condition 
of fisheries.
    The Magnuson-Stevens Act, as amended by the SFA, requires us to 
undertake efforts to prevent overfishing, rebuild overfished fisheries, 
insure conservation, protect essential fish habitats, and realize the 
full potential of U.S. fishery resources. It further requires that we 
take into account the importance of fishery resources to fishing 
communities; provide for the sustained participation of such 
communities; and, to the extent possible, minimize the adverse economic 
impacts of conservation and management measures on such communities. 
The Magnuson-Stevens Act defines a ``fishing community'' as ``a 
community which is substantially dependent on or substantially engaged 
in the harvest or processing of fishery resources to meet social and 
economic needs, and includes fishing vessel owners, operators, and crew 
and United States fish processors that are based in such community.'' 
(16 U.S.C. 1802 (16)). We have refocused the S-K Program to address the 
needs of fishing communities as defined by the Magnuson-Stevens Act.
    The NOAA Strategic Plan, updated in 1998, has also shaped the S-K 
Program. The Strategic Plan has three goals under its Environmental 
Stewardship Mission: Build Sustainable Fisheries (BSF), Recover 
Protected Species, and Sustain Healthy Coasts. The fisheries research 
and development mission of the S-K Program directly relates to the BSF 
goal. There are three BSF objectives in the Strategic Plan:
    1. Eliminate and prevent overfishing and overcapitalization.
    2. Attain economic sustainability in fishing communities.
    3. Develop environmentally and economically sound marine 
aquaculture.
    For the FY 2001 S-K Grant Program announced in this document, we 
have attempted to address the most important needs of fishing 
communities in terms of the preceding BSF objectives. This goal is 
reflected in the four funding priorities listed in section II of this 
document. Successful applications will be those aimed at helping 
fishing communities to resolve issues that affect their ability to 
fish; make full use of species currently under Federal jurisdiction or 
explore the potential for development of new sustainable managed 
fisheries; and address the socioeconomic impacts of overfishing and 
overcapitalization.
    The S-K Program is open to applicants from a variety of sectors, 
including industry, academia, and state and local governments. We 
encourage applications that involve collaboration between industry and 
the other sectors listed.

B. Changes from the Last Solicitation Notice

    We have changed some of the conditions in this document from the 
last S-K Grant Program solicitation notice published on June 21, 1999 
(64 FR 33050). For example, the scope of the FY 2001 program announced 
in this document is limited to marine species under Federal 
jurisdiction. Therefore, we encourage you to read the entire document 
before preparing your application.

C. Comments and Responses

    We published a notice in the Federal Register on February 25, 2000, 
(65 FR 10051) seeking comments on the proposed scope and priorities for 
the FY 2001 S-K Program. We proposed limiting the scope of the program 
to marine species under Federal management. Within the scope, we 
proposed four priority areas for funding. The proposed scope and 
priorities covered the issues we deemed to be the most important and 
the most appropriate for the limited funds and time frame of the S-K 
Program.
    We received comments from one individual, two industry 
associations, a research institute, and an aquaculture company by the 
deadline date. We have combined similar comments here.
    Comment 1: One individual called for proper legal analysis and 
coordination among Federal agencies on legal, regulatory, and national 
security issues as part of the proposed funding priority on developing 
marine aquaculture in the off-shore environment. In addition, he 
recommended that we add specific criteria to the notice (knowledge and 
experience) for successful applicants to address this priority area.
    Response: We agree that applications should address all relevant 
considerations and should demonstrate the knowledge and ability of the 
investigator(s) to carry out the project, as well as familiarity with 
related work. However, these requirements are not unique to the 
aquaculture priority, but are evaluated for all applications in our 
technical review process (see IV.B.1 of

[[Page 13703]]

this document). Appropriate subject matter experts rate all 
applications, regardless of their priority area, on ``Project 
management and experience and qualifications of personnel,'' and the 
other technical review criteria. Therefore, we do not agree that we 
need to revise the aquaculture priority to include a criterion dealing 
with the expertise of those applicants proposing to address off-shore 
aquaculture.
    Comment 2: A research laboratory director and a seafood industry 
association commented that we should solicit proposals dealing with the 
critical area of improved data for fisheries management, including 
biological data for stock assessments, either as part of Priority A., 
Conservation Engineering, or as a separate priority.
    Response: We agree that better data are essential to successful 
management for sustainable fisheries. However, we do not believe that 
the S-K Program is the best means to conduct such work, due to the 
limited funding and the short term of S-K grants. Both NMFS and the 
Regional Fishery Management Councils (Councils) receive funds for stock 
assessments and related activities under their responsibilities for 
implementing the Magnuson-Stevens Act.
    Comment 3: An aquaculture company and a shellfish industry group 
objected to our proposal to limit the program scope to federally 
managed species, and the aquaculture priority to only the off-shore 
marine environment, not land-based or near-shore aquaculture.
    Response: In the past, we have accepted applications that addressed 
Great Lakes species and species under state management plans as well as 
federally managed species. While we have funded many worthy projects on 
non-federally managed species in the past, current funding is 
inadequate to cover every important and deserving project.
    However, we have modified the scope somewhat. We recognize that 
species that are not currently federally managed, i.e., under Federal 
fishery management plans (FMPs), may be relevant to our fisheries 
management mission. For example, such species could present an 
opportunity to develop a sustainable managed fishery to substitute for 
an overfished fishery. Therefore, the scope of the program for FY 2001 
has been changed to species under Federal jurisdiction, i.e., in the 
EEZ.
    We have also modified the proposed funding priority for 
aquaculture, in response to the comments received and in accordance 
with the NMFS research plan for aquaculture. Although NOAA and NMFS 
continue to support all aspects of aquaculture development through 
various efforts, marine aquaculture remains the appropriate focus for 
NMFS and the S-K Program. While off-shore aquaculture development is 
still a priority need, we have added language to clarify that for 
projects that address off-shore aquaculture, the actual work does not 
need to be conducted in the off-shore environment. We have also added 
other priority areas, including the need to address environmental 
issues, develop best management practices, and develop effective 
enhancement strategies for wild stocks of marine and anadromous 
species.
    As we stated in the notice of proposed priorities, other programs 
of the U.S. Department of Agriculture and NOAA's Office of Oceanic and 
Atmospheric Research address land-based and near-shore aquaculture 
operations. Another possible source of assistance for aquaculture is 
our Fisheries Finance Program, which we have revised to make loans to 
aquaculture ventures a priority.

D. Funding

    We expect to have approximately $3.8 million available for grant 
awards for Fiscal Year (FY) 2001, which began on October 1, 2000. 
However, we cannot guarantee that sufficient funds will be available to 
make awards for all proposals deserving of funding.
    In order to be funded under the S-K Grant Program, applications 
must propose activities that: address the funding priorities listed in 
section II of this document; are expected to produce a direct benefit 
(e.g., tool, information, service, or technology) to the fishing 
community (as defined in section I.A. of this document); and can be 
accomplished within 18 months. Acceptable research and development 
activities include applied research, demonstration projects, pilot or 
field testing, or business plan development. However, we will not fund 
projects that primarily involve infrastructure construction, port and 
harbor development, or start-up or operational costs for private 
business ventures. Furthermore, if your proposed project primarily 
involves data collection, we will only consider it if it is directed to 
a specific problem or need and has a fixed duration. Data collection 
programs of a continuing nature will not be considered.

E. Eligibility

     You are eligible to apply for a grant or a cooperative agreement 
under the S-K Grant Program if:
    1. You are a citizen or national of the United States;
    2. You are a citizen of the Northern Mariana Islands (NMI), being 
an individual who qualifies as such under section 8 of the Schedule on 
Transitional Matters attached to the constitution of the NMI;
    3. You are a citizen of the Republic of the Marshall Islands, 
Republic of Palau, or the Federated States of Micronesia; or
    4. You represent an entity that is a corporation, partnership, 
association, or other non-Federal entity, non-profit or otherwise 
(including Indian tribes), if such entity is a citizen of the United 
States or NMI, within the meaning of section 2 of the Shipping Act, 
1916, as amended (46 U.S.C. app. 802).
    We support cultural and gender diversity in our programs and 
encourage women and minority individuals and groups to submit 
applications. Furthermore, we recognize the interest of the Secretaries 
of Commerce and Interior in defining appropriate fisheries policies and 
programs that meet the needs of the U.S. insular areas, so we also 
encourage applications from individuals, government entities, and 
businesses in U.S. insular areas.
    We are strongly committed to broadening the participation of 
Minority Serving Institutions (MSIs), which include Historically Black 
Colleges and Universities, Hispanic Serving Institutions, and Tribal 
Colleges and Universities, in our programs. The DOC/NOAA/NMFS vision, 
mission, and goals are to achieve full participation by MSIs, to 
advance the development of human potential, strengthen the Nation's 
capacity to provide high-quality education, and increase opportunities 
for MSIs to participate in and benefit from Federal financial 
assistance programs. Therefore, we encourage all applicants to include 
meaningful participation of MSIs.
    We encourage applications from members of the fishing community, 
and applications that involve fishing community cooperation and 
participation. We will consider the extent of fishing community 
involvement when evaluating the potential benefit of funding a 
proposal.
    You are not eligible to submit an application under this program if 
you are an employee of any Federal agency; a Council; or an employee of 
a Council. However, Council members who are not Federal employees can 
submit an application to the S-K Program.
    Our employees (whether full-time, part-time, or intermittent) are 
not allowed to help you prepare your application, except that S-K 
Program staff may provide you with information

[[Page 13704]]

on program goals, funding priorities, application procedures, and 
completion of application forms. Since this is a competitive program, 
NMFS and NOAA employees will not provide assistance in conceptualizing, 
developing, or structuring proposals, or write letters of support for a 
proposal.
    Unsatisfactory performance under prior Federal awards may result in 
your application not being considered for funding.

 F. Duration and Terms of Funding

    We will award grants or cooperative agreements for a maximum period 
of 18 months.
    We do not fund multi-year projects under the S-K Program. If we 
select your application for funding and you wish to continue work on 
the project beyond the funding period, you must submit another proposal 
to the competitive process for consideration, and you will not receive 
preferential treatment.
    If we select your application for funding, we have no obligation to 
provide any additional future funding in connection with that award. 
Renewal of an award to increase funding or extend the period of 
performance is totally at our discretion.
    Even though we are publishing this announcement, we are not 
required to award any specific grant or cooperative agreement, nor are 
we required to obligate any part or the entire amount of funds 
available.

G. Cost Sharing

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

H. Catalog of Federal Domestic Assistance

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

I. Application Addresses

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

J. Electronic Access Addresses

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

II. Funding Priorities

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

A. Conservation Engineering

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

 B. Optimum Utilization of Harvested Resources under Federal 
Jurisdiction

    Reduce or eliminate factors such as diseases, human health hazards, 
and quality problems that limit the marketability of fish under Federal 
jurisdiction and their products in the United States and abroad.
    Increase public knowledge of the safe handling and use of fish 
under Federal jurisdiction and their products.
    Develop usable products from economic discards (defined in the 
Magnuson-Stevens Act as ``fish which are the target of a fishery, but 
which are not retained because they are of an undesirable size, sex, or 
quality, or for other economic reasons'') and from byproducts of 
processing of federally managed species.
    Develop fishing data to be presented to the Council(s) to determine 
the

[[Page 13705]]

feasibility of a new sustainably managed fishery.

C. Planning for Fishing Community Transition

    Help fishing communities to address the socioeconomic effects of 
overfishing and overcapitalized fisheries through business, community, 
or state planning activities, including business planning for fishing 
capacity reduction. Activities may complement, but should not 
duplicate, programs available from other Federal, state, or local 
agencies.

D. Marine Aquaculture

    Advance the implementation of marine aquaculture in the off-shore 
environment (i.e., the EEZ) by addressing technical aspects such as 
systems engineering, environmental compatibility, and culture 
technology. Although you are not required to conduct the actual work in 
the EEZ, your application must demonstrate that the project will 
contribute to the goal of off-shore industry development.
    Reduce or eliminate legal and social barriers to off-shore 
aquaculture development, e.g., legal constraints, use conflicts, 
exclusionary mapping, and appropriate institutional roles.
    Address environmental issues for marine aquaculture, e.g., measure 
and reduce water quality and benthic community impacts; evaluate and 
reduce negative interactions between aquaculture and wild stocks, 
protected resources, and EFH; develop best management practices with 
scientific analysis and assessment of risk.
    Develop effective enhancement strategies for marine and anadromous 
species to help in the recovery of wild stocks.

III. How to Apply

    You must follow the instructions in this document in order to apply 
for a grant or cooperative agreement under the S-K Program. Your 
application must be complete and must follow the format described here. 
Your application should not be bound in any manner and must be printed 
on one side only. You must submit one signed original and nine signed 
copies of your application.

 A. Cover Sheet

    You must use Office of Management and Budget (OMB) Standard Form 
424 and 424B (4-92) as the cover sheet for each project. (In order to 
complete item 16 of Standard Form 424, see section V.A.5. of this 
document.)

B. Project Summary

    You must complete NOAA Form 88-204 (10-98), Project Summary, for 
each project. You must list on the Project Summary the specific 
priority to which the application responds (see section II. of this 
document).

C. Project Budget

    You must submit a budget for each project, using NOAA Form 88-205 
(10-98), Project Budget and associated instructions. You must provide 
detailed cost estimates showing total project costs. Indicate the 
breakdown of costs between Federal and non-Federal shares, divided into 
cash and in-kind contributions. To support the budget, describe briefly 
the basis for estimating the value of the cost sharing derived from in-
kind contributions. Specify estimates of the direct costs in the 
categories listed on the Project Budget form.
    You may also include in the budget an amount for indirect costs if 
you have an established indirect cost rate with the Federal government. 
For this solicitation, the total dollar amount of the indirect costs 
you propose in your application must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award, or 100 percent of the total 
proposed direct costs dollar amount in the application, whichever is 
less. The Federal share of the indirect costs may not exceed 25 percent 
of the total proposed direct costs. If you have an approved indirect 
cost rate above 25 percent of the total proposed direct cost, you may 
use the amount above the 25-percent level up to the 100-percent level 
as part of the non-Federal share. You must include a copy of the 
current, approved, negotiated indirect cost agreement with the Federal 
government with your application.
    We will not consider fees or profits as allowable costs in your 
application.
    The total costs of a project consist of all allowable costs you 
incur, including the value of in-kind contributions, in accomplishing 
project objectives during the life of the project. A project begins on 
the effective date of an award agreement between you and an authorized 
representative of the U.S. Government and ends on the date specified in 
the award. Accordingly, we cannot reimburse you for time that you 
expend or costs that you incur in developing a project or preparing the 
application, or in any discussions or negotiations you may have with us 
prior to the award. We will not accept such expenditures as part of 
your cost share.

D. Narrative Project Description

    You must provide a narrative description of your project that may 
be up to 15 pages long. The narrative should demonstrate your knowledge 
of the need for the project, and show how your proposal builds upon any 
past and current work in the subject area, as well as relevant work in 
related fields. You should not assume that we already know the relative 
merits of the project you describe. You must describe your project as 
follows:
    1. Project goals and objectives. Identify the specific priority 
listed earlier in the solicitation to which the proposed project 
responds. Identify the problem/opportunity you intend to address and 
describe its significance to the fishing community. State what you 
expect the project to accomplish.
    If you are applying to continue a project we previously funded 
under the S-K Program, describe in detail your progress to date and 
explain why you need additional funding. We will consider this 
information in evaluating your current application.
    2. Project impacts. Describe the anticipated impacts of the project 
on the fishing community in terms of reduced bycatch, increased product 
yield, or other measurable benefits. Describe how you will make the 
results of the project available to the public.
    3. Evaluation of project. Specify the criteria and procedures that 
you will use to evaluate the relative success or failure of a project 
in achieving its objectives.
    4. Need for government financial assistance. Explain why you need 
government financial assistance for the proposed work. List all other 
sources of funding you have or are seeking for the project.
    5. Federal, state, and local government activities and permits. 
List any existing Federal, state, or local government programs or 
activities that this project would affect, including activities 
requiring: certification under state Coastal Zone Management Plans; 
section 404 or section 10 permits issued by the Corps of Engineers; 
experimental fishing or other permits under FMPs; environmental impact 
statements to meet the requirements of the National Environmental 
Policy Act; scientific permits under the ESA and/or the Marine Mammal 
Protection Act; or Magnuson-Stevens Act EFH consultation if the project 
may adversely affect areas identified as EFH. Describe the relationship 
between the project and these FMPs or activities, and list names and 
addresses of persons providing this information. You can get 
information on these activities from the NMFS Regions (see Section 
I.F., Application ADDRESSES). If we select your project for funding, 
you are responsible for complying with all applicable requirements.

[[Page 13706]]

    6. Project statement of work. The statement of work is an action 
plan of activities you will conduct during the period of the project. 
You must prepare a detailed narrative, fully describing the work you 
will perform to achieve the project goals and objectives. The narrative 
should respond to the following questions:
    (a) What is the project design? What specific work, activities, 
procedures, statistical design, or analytical methods will you 
undertake?
    (b) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting.)
    (c) What are the major products and how will project results be 
disseminated? Describe products of the project, such as a manual, 
video, technique, or piece of equipment. Indicate how project results 
will be disseminated to potential users.
    (d) What are the project milestones? List milestones, describing 
the specific activities and associated time lines to conduct the scope 
of work. Describe the time lines in increments (e.g., month 1, month 
2), rather than by specific dates. Identify the individual(s) 
responsible for the various specific activities.
    This information is critical for us to conduct a thorough review of 
your application, so we encourage you to provide sufficient detail.
    7. Participation by persons or groups other than the applicant. 
Describe how government and non-government entities, particularly 
members of fishing communities, will participate in the project, and 
the nature of their participation. We will consider the degree of 
participation by members of the fishing community in determining which 
applications to fund.
    8. Project management. Describe how the project will be organized 
and managed. Identify the principal investigator and other participants 
in the project. If you do not identify the principal investigator, we 
will return your application without further consideration. Include 
copies of any agreements between you and the participants describing 
the specific tasks to be performed. Provide a statement no more than 
two pages long of the qualifications and experience (e.g., resume or 
curriculum vitae) of the principal investigator(s) and any consultants 
and/or subcontractors, and indicate their level of involvement in the 
project. If any portion of the project will be conducted through 
consultants and/or subcontracts, you must follow procurement guidance 
in 15 CFR part 24, ``Grants and Cooperative Agreements to State and 
Local Governments,'' and 15 CFR part 14, ``Uniform Administrative 
Requirements for Grants and Agreements with Institutions of Higher 
Education, Hospitals, Other Non-Profit, and Commercial Organizations.'' 
If you select a consultant and/or a subcontractor prior to submitting 
an application, indicate the process that you used for selection.

E. Supporting Documentation

    You should include any relevant documents and additional 
information (i.e., maps, background documents) that will help us to 
understand the project and the problem/opportunity you seek to address.

IV. Screening, Evaluation, and Selection Procedures

A. Initial Screening of Applications

    When we receive applications at any of the NMFS Regional Offices, 
we will first screen them to ensure that they were received by the 
deadline date (see DATES); include OMB form 424 signed and dated by an 
authorized representative (see section III. A. of this document); were 
submitted by an eligible applicant (see section I.E. of this document); 
provide for at least a 10-percent cost share but not more than 50 
percent (see section I.G. of this document); involve an eligible 
activity (see section I.D. of this document); address one of the 
funding priorities for species under Federal jurisdiction (see section 
II.A.-D. of this document); include a budget and a statement of work 
including milestones (see sections III.C. and III.D.6 of this 
document); and identify the principal investigator (see section III 
D.8. of this document). If your application does not conform to these 
requirements and the deadline for submission has passed, we will return 
it to you without further consideration.
    We do not have to screen applications before the submission 
deadline, nor do we have to give you an opportunity to correct any 
deficiencies that cause your application to be rejected.

B. Evaluation of Proposed Projects

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

[[Page 13707]]

applications to continue a previously funded project, information on 
progress on the funded work to date.
    Each panelist will evaluate the applications in terms of the 
significance of the problem or opportunity being addressed, the degree 
to which the project involves collaboration with fishing community 
members and other appropriate collaborators, proposed means to 
disseminate project results, and the merits of funding each project. 
Each panelist will provide a rating from 0-4 (poor to excellent) for 
each project, and provide comments if they wish. Panel members will be 
required to certify that they do not have a conflict of interest and 
that they will maintain confidentiality of the panel deliberations.
    Following the Constituent Panel meeting, we will average the 
individual ratings for each project. We will then develop a ranking of 
projects based on the individual ranks within each of the priority 
areas.

C. Selection Procedures and Project Funding

    After projects have been evaluated and ranked, we will use this 
information, along with input from the NMFS Regional Administrators 
(RAs) and Office Directors (ODs), to develop recommendations for 
project funding. RAs/ODs will prepare a written justification for any 
recommendations for funding that fall outside the ranking order, or for 
any cost adjustments.
    The AA will review the funding recommendations and comments of the 
RAs/ODs and determine the projects to be funded. In making the final 
selections, the AA may consider costs, geographical distribution, and 
duplication with other federally funded projects. Awards are not 
necessarily made to the highest ranked applications.
    We will notify you in writing whether your application is selected 
or not. Furthermore, if your application is not selected, we will 
return it to you. Successful applications will be incorporated into the 
award document.
    The exact amount of funds, the scope of work, and terms and 
conditions of a successful award will be determined in preaward 
negotiations between you and NOAA/NMFS representatives. The funding 
instrument (grant or cooperative agreement) will be determined by NOAA 
Grants. You should not initiate your project in expectation of Federal 
funding until you receive a grant award document signed by an 
authorized NOAA official.
    We will not award any Federal funds to you or any subrecipients who 
have an outstanding delinquent Federal debt or fine until either:
    a. The delinquent account is paid in full,
    b. A negotiated repayment schedule is established and at least one 
payment is received, or
    c. Other arrangements satisfactory to Commerce are made.

V. Administrative Requirements

A. Your Obligations as an Applicant

    You must:
    1. Meet all application requirements and provide all information 
necessary for the evaluation of the proposal(s), including one signed 
original and nine signed copies of the application.
    2. Be available to respond to questions during the review and 
evaluation of the proposal(s).
    3. Submit a completed Form CD-511, ``Certification Regarding 
Debarment, Suspension and Other Responsibility Matters; Drug-Free 
Workplace Requirements and Lobbying.'' The following explanations are 
provided:
    a. Nonprocurement debarment and suspension. Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 
26, ``Nonprocurement Debarment and Suspension'' and the related section 
of the certification form prescribed above applies;
    b. Drug-free workplace. Grantees (as defined at 15 CFR 26.605) are 
subject to 15 CFR part 26, subpart F, ``Governmentwide Requirements for 
Drug-Free Workplace (Grants),'' and the related section of the 
certification form prescribed above applies;
    c. Anti-lobbying. Persons (as defined at 15 CFR 28.105) are subject 
to the lobbying provisions of 31 U.S.C. 1352, ``Limitation on Use of 
Appropriated Funds to Influence Certain Federal Contracting and 
Financial Transactions,'' and the lobbying section of the certification 
form applies to applications for grants or cooperative agreements for 
more than $100,000; and
    d. Anti-lobbying disclosures. Any applicant who has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
    4. If applicable, require applicants/bidders for subgrants, 
contracts, subcontracts, or other lower tier covered transactions at 
any tier under the award to submit a completed Form CD-512, 
``Certifications Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' and 
disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form CD-
512 is intended for your use and should not be sent to the Department 
of Commerce (Commerce). You should send an SF-LLL submitted by any tier 
recipient or subrecipient to Commerce only if your application is 
recommended for funding. Instructions will be contained in the award 
document. We will provide you with all required forms.
    5. Complete Item 16 on Standard Form 424 (4-92) regarding clearance 
by the State Point Of Contact (SPOC) established as a result of 
Executive Order 12372. You can get the list of SPOCs from any of the 
NMFS offices listed in this document or from the S-K Home Page (see 
section I.G. Electronic Access Addresses of this document). It is also 
included in the ``Catalog of Federal Domestic Assistance.'' You must 
contact the SPOC, if your state has one, to see if applications to the 
S-K Program are subject to review. If SPOC clearance is required, you 
are responsible for getting that clearance in time to submit your 
application to the S-K Program by the deadline (see DATES).
    6. Complete Standard Form 424B (4-92), ``Assurances--Non-
construction Programs.'' B. Your Obligations as a Successful Applicant 
(Recipient) If you are awarded a grant or cooperative agreement for a 
project, you must:
    1. Manage the day-to-day operations of the project, be responsible 
for the performance of all activities for which funds are granted, and 
be responsible for the satisfaction of all administrative and 
managerial conditions imposed by the award.
    2. Keep records sufficient to document any costs incurred under the 
award, and allow access to these records for audit and examination by 
the Secretary of Commerce, the Comptroller General of the United 
States, or their authorized representatives; and, submit financial 
status reports (SF 269) to NOAA's Grants Management Division in 
accordance with the award conditions.
    3. Submit semiannual project status reports on the use of funds and 
progress of the project to us within 30 days after the end of each 6-
month period. You will submit these reports to the individual 
identified as the NMFS Program Officer in the funding agreement.
    4. Submit a final report within 90 days after completion of each 
project to the NMFS Program Officer. The final report must describe the 
project and include an evaluation of the work you performed and the 
results and benefits in sufficient detail to enable us to assess the 
success of the completed project.
    We are committed to using available technology to achieve the 
timely and

[[Page 13708]]

wide distribution of final reports to those who would benefit from this 
information. Therefore, you are required to submit final reports in 
electronic format, in accordance with the award terms and conditions, 
for publication on the NMFS S-K Home Page. You may charge the costs 
associated with preparing and transmitting your final reports in 
electronic format to the grant award. We will consider requests for 
exemption from the electronic submission requirement on a case-by-case 
basis.
    We will provide you with OMB-approved formats for the semiannual 
and final reports.
    5. In addition to the final report in section V.B.4. of this 
document, we request that you submit any publications printed with 
grant funds (such as manuals, surveys, etc.) to the NMFS Program 
Officer for dissemination to the public. Submit either three hard 
copies or an electronic version of any such publications.
    You are encouraged to the extent feasible to purchase American-made 
equipment and products with the funding provided under this program.
    Note, if you incur any costs prior to receiving an award agreement 
signed by an authorized NOAA official, you do so solely at your own 
risk of not being reimbursed by the Government. Notwithstanding any 
verbal or written assurance that you may have received, Commerce has no 
obligation to cover preaward costs.

C. Other Requirements

1. Federal Policies and Procedures
    If you receive Federal funding, you are subject to all Federal laws 
and Federal and Commerce policies, regulations, and procedures 
applicable to financial assistance awards. You must comply with general 
provisions that apply to all recipients under Commerce grant and 
cooperative agreement programs.
 2. Name Check Review
    You may be subject to a name check review process. We use name 
checks to determine if you or any key individuals named in your 
application have been convicted of, or are presently facing, criminal 
charges such as fraud, theft, perjury, or other matters that 
significantly reflect on your management, honesty, or financial 
integrity.
 3. Financial Management Certification/Preaward Accounting Survey
    You may, at the discretion of the NOAA Grants Officer, be required 
to have your financial management systems certified by an independent 
public accountant as being in compliance with Federal standards 
specified in the applicable OMB Circulars prior to execution of the 
award. If you are a first-time applicant for Federal grant funds, you 
may be subject to a preaward accounting survey by Commerce prior to 
execution of the award.
4. False Statements
    A false statement on the application is grounds for denial or 
termination of funds and grounds for possible punishment by a fine or 
imprisonment (18 U.S.C. 1001).

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts.
    Furthermore, a regulatory flexibility analysis is not required for 
purposes of the Regulatory Flexibility Act.
    This action has been determined to be not significant for purposes 
of Executive Order 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    This document contains collection-of-information requirements 
subject to the Paperwork Reduction Act (PRA). The use of Standard Forms 
424, 424B, and SF-LLL have been approved by OMB under the respective 
control numbers 0348-0043, 0348-0040, and 0348-0046. NOAA-specific 
requirements have been approved under OMB control number 0648-0135. 
These requirements and their estimated response times are 1 hour for a 
project summary, 1 hour for a budget form, 2.5 hours for a semiannual 
report, and 13 hours for a final report. 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 regarding these burden 
estimates or any other aspect of this collection of information, 
including suggestions for reducing this burden, to Alicia Jarboe, F/
SF2, Room 13112, 1315 East West Highway, Silver Spring, MD 20910-3282.
    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall any person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the PRA unless that collection of information displays a currently 
valid OMB control number.
    A solicitation for applications will also appear in the ``Commerce 
Business Daily.''

    Dated: February 28, 2001.
William T. Hogarth,
Acting Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 01-5560 Filed 3-6-01; 8:45 am]
BILLING CODE 3510-22-S