[Federal Register Volume 66, Number 90 (Wednesday, May 9, 2001)]
[Notices]
[Pages 23672-23677]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-11702]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 010412090-1090-01; I.D. 022301C]
RIN 0648-ZB06


Financial Assistance for Cooperative Research Projects to 
Strengthen and Develop the Northeast U.S. Groundfish Fishing Industry

AGENCY: National Marine Fisheries Service (NMFS), Northeast Region 
(NER) Northeast Cooperative Research Programs Initiative (NECRPI), 
National Oceanic and Atmospheric Administration (NOAA), Commerce.

ACTION: Notice.

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SUMMARY: This notice is to advise the public that the National Marine 
Fisheries Service (NMFS) Northeast Region (NER) is requesting proposals 
in support of cooperative research and management activities by 
encouraging the development of partnerships among the commercial 
fishing industry, scientists, fishery managers and the academic 
community. By this notice, NMFS describes the conditions under which 
applications will be accepted and selected for funding. The goals of 
such research are to improve data upon which fishery management 
decisions are based and to improve communication, collaboration, and 
mutual understanding among all concerned with the Northeast groundfish 
fishery.

DATES: Preliminary proposals (cooperative research concept papers) will 
be accepted between May 9, 2001 and 5 p.m. eastern Daylight time June 
25, 2001.
    Comments on those preliminary proposals that will be invited to 
submit full proposals will be made available by July 23, 2001. Full 
proposals must be postmarked no later than August 22, 2001. No 
facsimile applications will be accepted.

ADDRESSES: Send preliminary proposals to Northeast Regional Office, 
NMFS, Northeast Cooperative Research Programs Initiative (NECRPI) Attn: 
Nick Anderson, One Blackburn Drive, Gloucester, MA 01930-2298.
    You can obtain application forms from www.rdc.noaa.gov/grants/
index.htmland www.whitehouse.gov/omb/grants/and Code of Federal 
Regulations (CFR) citations from www.access.gpo.gov/nara/cfr/ . Forms 
can also be obtained by contacting Nick Anderson or Earl Meredith at 
the previous address.
    The 1998 updated Executive Summary of the NOAA Strategic Plan is 
available at: www.strategic.noaa.gov/and the Magnuson-Stevens Act is 
available at: www.nmfs.gov/sfa/magact/.

FOR FURTHER INFORMATION CONTACT: Earl Meredith (978-281-9276) or Nick 
Anderson (978-281-9383); or FAX (978-281-9161); or E-mail 
[email protected] or [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    Congressional funding for the Cooperative Research Initiative was 
appropriated pursuant to Pub. L. 106-78 to provide emergency disaster 
assistance for the commercial fishery failure under section 308(b)(1) 
of the Interjurisdictional Fisheries Act of 1986 with respect to 
Northeast multispecies fisheries. Approximately $15 million is 
available to support cooperative research and management activities 
administered by the National Marine Fisheries Service and based on 
recommendations by the New England Fishery Management Council. These 
funds will be available beginning FY2001 until expended. Several 
cooperative research programs (industry-based surveys/study fleets, 
groundfish tagging studies, and bycatch/discard conservation 
engineering) as well as short-term research projects (1-2 years) are 
currently under development. In support of the short-term research 
projects, NMFS anticipates that between 5 and 10 projects, will be 
issued grants ranging in size from $10,000 to $500,000, through this 
request for proposals. There are no matching/cost sharing requirements. 
This solicitation is limited to applications for short-term cooperative 
research projects only (1-2 years) and not for long-term programs. 
Grants issued under the Cooperative Research Initiative will be 
included among the programs funded by NOAA under Catalog of Federal 
Domestic Assistance No. 11.472 (Unallied Science Program).

II. Program Priorities and Objectives

    In order to encourage research ideas and to prevent the expenditure 
of effort that may not be successful, NMFS is requesting preliminary 
proposals to determine the appropriateness of the ideas according to 
the list of research priorities for further development in a full 
proposal.
    Each tier below contains priorities that fall within the areas of 
resource dynamics, fisheries management, habitat and socio-economics. 
Tier I addresses the most pressing fisheries management information 
needs. Tier II and Tier III list other areas of investigation that are 
also valued highly. Habitat issues in particular have been identified 
as extremely important and are listed in all three tiers, either 
directly or indirectly. During the consideration of preliminary 
proposals a greater regard may be given to applications that are 
specific to higher priority levels, but, foremost, each application 
will be judged primarily on the strength of the idea presented and the 
means it will employ to address the research topic.

A. Tier I

    Obtain better fine-scale information on resource status in inshore 
and offshore areas.
    Provide enhanced port and sea sampling information using the 
fishing industry (including documenting the quantity and composition of 
discards).
    Monitor and evaluate effectiveness of area closures as a management 
tool to protect and build stocks.
    Evaluate discard, bycatch, and non-catch mortality rates; initiate 
special studies under experimental design protocols to calculate gear 
interaction or discard rates. Bycatch encompasses all species, 
including marine mammals such as the harbor porpoise.Develop methods of 
enhanced collection of biological data through fishery participants.

B. Tier II

    Obtain life history and spawning information: identify time and 
areas of spawning and other life history information as determined from 
fishing activities and information collected from the fishing industry.
    Obtain detailed information on ``fishing power'' (related to 
capacity and catchability issues).

[[Page 23673]]

    Investigate the conditions and benthos (sea floor characteristics) 
that contribute to post-settlement groundfish survivability. Identify 
the major groundfish nursery areas and their characteristics.
    Conduct fishing industry-supported, high-resolution sediment 
mapping in specific areas of the Gulf of Maine and/or Georges Bank. 
Identify biological communities associated with mapped areas and 
determine relationships among sediment types and these communities. 
Identify and compare or contrast impacts to a variety of habitat types 
(mud, sand, gravel, cobble, rock, boulder) associated with roller and 
rockhopper trawl gear of the various sizes used in New England 
fisheries.
    Identify issues associated with the social and economic components 
of fishing households and communities, such as family dependence on 
fishing; community dependence on fishing; changes in dependence across 
time and space; fishing crew issues, such as working conditions, 
safety, and views of the future; and spatial considerations, such as 
where people fish and why. Elucidate fishing communities and social 
relations associated with the fishing way of life, paying particular 
attention to area and/or sector-based management and community impacts.
    Determine methods to integrate fishermen's knowledge into the 
management of fisheries. This includes articulating fishing business 
practices, examining the number of fisheries in which they participate, 
seasonality of participation, training needs or other business 
practices that impact efficiency.
    Investigate possible fishery institutions of the future, with 
particular attention given to such issues as capacity management, 
fishing permit flexibility, alternative organizations for management 
and for ITQ design and implementation. This research should concentrate 
on issues and structures surrounding possible organizations oriented on 
ecosystem, co-management, cooperatives, communities or zones.

C. Tier III

    Conduct research designed to improve our understanding of 
predatory/prey interactions and examine food habits through stomach 
content analysis, stable isotopes, otolith analysis or other reliable 
methods.
    Evaluate the use of Marine Protected Areas.
    Develop methods to collect and integrate ecosystem information into 
fisheries management decisions.
    Examine and compare the critical life history processes of 
commercially important species in a variety of habitats (which have 
been identified through fine-scale mapping) in both heavily and lightly 
fished reference areas.
    Develop and demonstrate the practical use of otter trawl, scallop 
dredge, and other fishing gear designs that have significantly less 
contact or impact on the sea bottom (benthos) than gear in current use 
by New England fishermen.
    Identify areas in the Gulf of Maine and Georges Bank that have not 
been subject to fishing activity, focusing primarily on areas with high 
relief geologic structure or on areas in close proximity to wrecks or 
other areas that have been left undisturbed. Identify flora and fauna 
assemblages associated with these areas.
    Conduct surveys that investigate the expenditure impacts of the 
fishing industry in New England, with a particular focus on locations 
of expenditures and localized input/output analysis.
    Conduct studies that focus on management and enforcement, such as 
compliance, at-sea and at-shore enforcement, and improvements to the 
effectiveness of regulations.
    Develop methods to collect and/or integrate ecosystems information 
into fisheries management decision making.
    Primary consideration for funding will be given to preliminary 
proposals that address the topics listed below. The three programs, 
industry-based surveys (and related projects such as study fleets), 
groundfish tagging, and bycatch/discard/conservation engineering, have 
also been identified as priority research areas because of their 
relationship to immediate fisheries management needs, their high level 
of interest to New England fishermen and their collaborative research 
value. Scoping and planning related to the development of these program 
areas are currently underway. Applicants should be aware that these 
programs are not the subject of this solicitation, but are discussed 
because of their relationship to the funding priorities listed below. 
Decisions concerning the development of full projects, however, could 
be made with these programs in mind, although final selection of the 
projects will be funded based on the merits of the proposals.

III. Eligibility

    Eligible applicants are institutions of higher education, other 
non-profits, commercial organizations, state, local or Indian tribal 
governments, and individuals. Employees of any Federal agency or of a 
Regional Fishery Management Council are not eligible to submit an 
application under this program. However, Council members who are not 
Federal employees can submit an application to the program.
    NMFS supports cultural and gender diversity in our programs and 
encourages women and minority individuals and groups to submit 
applications. NMFS is 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 increase the 
opportunities for MSIs to participate in and benefit from Federal 
financial assistance programs, to advance the development of human 
potential, and to strengthen the Nation's capacity to provide high-
quality education. Therefore, all applicants are encouraged to include 
meaningful participation of MSIs.
    NMFS encourages applications from members of the fishing community 
and applications that involve fishing community cooperation and 
participation. Note that NMFS expects the primary operations center of 
anyone receiving a grant under the Cooperative Research Initiative to 
be in the New England region since the objective of the NECRPI program 
is to benefit and optimize cooperative research and management 
activities specifically for the Northeast multispecies fisheries.

IV. Preliminary Proposal Guidelines

A. Preliminary Proposal

    A preliminary proposal is required and must be postmarked no later 
than June 25, 2001. A preliminary proposal is a brief document (no more 
than four pages) that explains clearly the general concept of the 
project; how it would be carried out; and, how it will improve the 
conservation or management of groundfish stocks in Northeast fisheries. 
Preliminary proposals should include the following information:
    1. Project Summary and statement of research question
    2. Importance of research to groundfish conservation and management
    3. Study design and duration
    4. Expected products
    5. Estimated cost (non-binding)
    6. Principal investigators and their contact information
    7. Existing expertise, equipment, facilities, and infrastructure

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B. Screening, Evaluation, and Selection Procedures of Preliminary 
Proposals

1. Initial Screening of Preliminary Proposals
    Preliminary proposals will be screened to ensure that they are 
postmarked by June 25, 2001 and submitted by an eligible applicant, 
address one of the research priorities (see Section II of this 
document), and identify the principal investigator. If your application 
does not meet the above criteria, it will be returned without further 
consideration.
2. Evaluation of Preliminary Proposals
    After the initial screening, each preliminary proposal will be 
evaluated by members of the New England Fishery Management Council's 
Research Steering Committee (RSC), fishing industry representatives, 
scientists, and by other interested parties. These reviewers will be 
required to certify that they do not have a conflict of interest 
concerning the application(s) they are reviewing. Each preliminary 
proposal will receive a score from the reviewer up to a maximum of 100 
points according to the following criteria (maximum points per category 
shown in parentheses): degree of fishing industry involvement in design 
and conduct of research (20 points), technical appropriateness(10 
points), study design(10 points), degree that priority issues are 
addressed(10 points), innovation(20 points), and use of existing 
resources, i.e., scientific and technical expertise(10 points), 
facilities and equipment(10 points), and other infrastructure(10 
points). Preliminary proposals will be ranked based on weighted scores. 
Based on the number of submissions, full research proposals will be 
requested from approximately the top 25 percent of evaluated 
submissions. NMFS will notify the applicants in writing of the review 
results and of the need to submit a full proposal by July 23, 2001.
    Please note that preliminary proposals and full proposals are 
subject to public review. If an application contains information which 
the applicant does not want disclosed, the applicant should follow 
instructions below under Section V. A. 6: ``Privileged Information--
Limited Use.'' This information may be eliminated from public review.
    If possible, preliminary proposals and full proposals (if 
requested) shall identify potential conflicts with any fishery 
management or protected species regulation. Projects that are 
inconsistent with regulations will not proceed until they have received 
an exempted fishery permit. Participation in this program does not 
automatically guarantee an exempted fishery permit. NMFS may provide 
advice and assistance in completing the application for such a permit, 
if requested, but the primary responsibility for obtaining exemptions 
belongs to the potential grant recipient.

V. Full Proposal Guidelines

    A full research proposal will be requested from applicants whose 
preliminary proposals successfully meet the criteria for further 
development and evaluation. The research proposal application must 
follow the instructions and format described below. The application 
must not be bound and must be printed on one side only. Submit one 
signed original and two signed copies of your proposal. Full proposals 
must be postmarked no later than August 22, 2001.

A. Full Proposal Format

1. Cover Sheet
    Submit OMB Standard Form 424 ``Application for Federal Assistance'' 
(available at http://www.whitehouse.gov/omb/grants/sf424.pdf) as the 
cover sheet for each project.
2. Project Summary
    Provide a summary for each project under a heading ``Project 
Summary.'' This section should itemize the specific priority(ies) to 
which the proposal responds (see Section III - A & B of this document).
3. Project Budget
    Provide detailed cost estimates showing total project costs. 
Specify estimates of the direct costs in the categories listed on OMB 
Standard Form 424A (Budget Information - Nonconstruction Programs)--
available at http://www.whitehouse.gov/omb/grants/sf424a.pdf). The NMFS 
will not consider fees or profits as allowable costs in your proposal. 
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, you cannot be reimbursed for time that you 
spend or costs that you incur in developing a project or preparing the 
proposal or in discussing or negotiating with us prior to the award.
    4. Narrative Project Description
    Provide a no longer than 8-page narrative description of your 
project. The narrative should demonstrate your knowledge of the need 
for the project and show how your proposal builds on any past or 
current work in the subject area or in a related field. Do not assume 
that the evaluation panel will know the relative merits of the project 
you describe. Describe your project as follows:
    a. Project goals and objectives. Identify the specific 
priority(ies) listed under the heading Project Summary. Identify the 
problem/opportunity you intend to address and describe its significance 
to the fishing community. State what the project is expected to 
accomplish. If applying to continue a project previously funded, 
describe in detail progress to date and explain the need for additional 
funding.
    b. Project impacts. Describe the anticipated impacts of the project 
on the fishing community in terms of reduced bycatch, increased product 
yield, or of any other measurable benefits. Describe how you will make 
the results of the project available for publication. Specify the 
research priority that your project will address from those listed in 
this notice.
    c. Evaluation of project. Specify the criteria and procedures that 
will be used to evaluate the relative success or failure of a project 
in achieving its objectives.
    d. Need for government financial assistance. Explain why government 
financial assistance is needed for the proposed work. List all other 
sources of funding you have or are seeking for the project.
    e. Federal, state, and local government activities and permits. 
List any existing Federal, state, or local government programs or 
activities that this project would affect, including activities 
requiring certification under state Coastal Zone Management Plans, 
section 404 or section 10 permits issued by the Corps of Engineers, 
experimental fishing or other permits under FMPs, environmental impact 
statements to meet the requirements of the National Environmental 
Policy Act, or scientific permits under ESA and/or the Marine Mammal 
Protection Act. Describe the relationship between the project and these 
FMPs or activities and list names and addresses of persons providing 
this information. If your project is selected for funding, you are 
responsible for complying with all applicable laws.
    f. Project statement of work. The statement of work is an action 
plan of activities you will conduct during the period of the project. 
Prepare a detailed narrative, fully describing the work that will be 
performed to achieve the project

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goals and objectives. The narrative should respond to the following 
questions:
    (1) What is the project design? What specific work, activities, 
procedures, statistical design, or analytical methods will be 
undertaken?
    (2) Who will be responsible for carrying out the various 
activities? (Highlight work that will be subcontracted and provisions 
for competitive subcontracting.)
    (3) What are the major products 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.
    (4) 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 monthly 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 in the reviewing process of your proposal, so you are 
encouraged to provide sufficient detail.
    g. Participation by persons or groups other than the applicant. 
Describe whether government and non-government entities, particularly 
members of fishing communities, will participate in the project and how 
they will participate. The degree of participation by members of the 
fishing community will be considered in determining which proposals to 
fund.
    h. Project management. Describe how the project will be organized 
and managed. Identify the principal participants in the project. If you 
do not identify the principal investigator, your proposal will be 
returned without further consideration. Include copies of any 
agreements between you and the participants describing the specific 
tasks to be performed. Provide a separate statement (e.g., resume or 
curriculum vitae) not to exceed two pages, stating the qualifications 
and experience of the principal investigator(s) and of any consultants 
and/or subcontractors and indicating 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 in 15 CFR part 14, A Uniform Administrative 
Requirements for Grants and Agreements with Institutions of Higher 
Education, Hospitals, Other Non-Profit, and Commercial Organizations. 
The text of CFR citations can be reviewed at: http://www.access.gpo.gov/nara/cfr/cfr-table-search.html.If you select a 
consultant and/or a subcontractor prior to submitting a proposal, 
indicate the process that you used for selection.
5. Supporting Documentation
    You should include any relevant documents and additional 
information (e.g. maps, background documents) that will help us to 
understand the project and the problem/opportunity you seek to address.
6. Privileged Information-Limited Use
    In the event that a proposal contains information or data which the 
applicant does not want disclosed prior to award for purposes other 
than the evaluation of the proposal, the applicant should mark the 
cover page of the proposal with the following notice:
    Notice
    The information contained in pages [insert page numbers here] of 
this proposal has been submitted in confidence and contains trade 
secrets and/or privileged or confidential commercial, financial or 
other information, and such information shall be used or disclosed only 
for evaluation purposes, provided that, if this applicant receives an 
award as a result of or in connection with the submission of this 
proposal, NMFS shall have the right to use or disclose all the 
information in this proposal to the extent provided in the award.
    The proposal must include or be accompanied by an explanation of 
why the applicant considers or believes the information to be 
privileged or confidential, whether such information is customarily 
treated as confidential by other similar organizations and entities, 
and what harm would result to the applicant if the information were 
disclosed.
    If NMFS determines that such information is exempt from mandatory 
public disclosure, NMFS shall ensure that each copy of the proposal 
carries the ``Notice'' and that information in the proposal is not 
disclosed to any member of the public except as required for the 
purpose of scientific, technical, or business evaluation. NMFS is not 
authorized to withhold information requested by the Congress, by any 
committee of Congress, or by the General Accounting Office.
    NMFS shall not limit the disclosure of any data or commercial or 
financial information contained in a proposal if such information is 
already generally available to the public, is already the property of 
the Government, or is or becomes available to NMFS from any source, 
including the applicant, without limitation.

B. Duration and Terms of Funding

    If your proposal is selected for funding, NMFS incurs 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 the agency's discretion. The period of 
funding is generally considered to be for a duration of one year but 
may be adjusted for variations in schedules, seasonal considerations, 
or elsewhere. There are no matching or cost-sharing requirements placed 
upon the grant recipient.
    The publishing of this announcement does not require the award of 
any specific grant or cooperative agreement, nor require the obligation 
of any part or the entire amount of funds available.

C. Full Research Proposal Screening, Evaluation, and Selection

1. Screening and Evaluation of Research Proposals
    Prior to proposal evaluation, NMFS will conduct an initial 
screening to determine that proposals are postmarked by August 22, 
2001, include Office of Management and Budget (OMB) Standard Form 424 
(available at http://www.whitehouse.gov/omb/grants/sf424.pdf ), and are 
signed and dated by an authorized representative of the organization. 
Following the initial screening, NMFS will convene a panel to determine 
the technical merit of each proposal. The panel will be composed of 
fishing industry representatives, scientists, and others. The panel 
members will be required to certify that they do not have a conflict of 
interest concerning the proposal(s) they are reviewing. For proposals 
that continue a previously funded project, information on progress of 
the funded work must also be provided for evaluation. These proposals 
will be considered along with the new unfunded proposals. Proposals 
will be assigned scores based on the following criteria, with weights 
shown in parentheses:
    a. Soundness of project design/conceptual approach. Proposals will 
be evaluated on the conceptual approach; the likelihood of gaining 
project results in the time frame specified in the proposal; 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

[[Page 23676]]

personnel. The organization and management of the project will be 
evaluated. The project's principal investigator and other personnel, 
including consultants and subcontractors participating in the project, 
will be evaluated in terms of related experience and qualifications. 
Proposals that include consultants and subcontractors will also be 
reviewed to preclude excess overhead and to ensure that the primary 
applicant is necessary to the conduct of the project and to the 
accomplishment of its objectives. (25 percent)
    c. Project evaluation. The effectiveness of 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)
    The total dollar amount of the indirect costs proposed in an 
application under this program must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award or 100 percent of the total 
proposed direct cost dollar amount in the application, whichever is 
less.
    Proposals will be ranked in descending order by their final 
technical scores.
2. Selection Procedures and Project Funding
    Panel recommendations will be sent to the Northeast Regional 
Administrator (RA) of NMFS for review. Panel members will provide 
individual evaluations on each proposal they evaluate; thus there will 
be no consensus advice. In making the final grant award selection, the 
RA may consider fishing community involvement, geographical 
distribution, costs, and duplication with other federally funded 
projects. Thus, awards may not necessarily be made to the highest 
ranked proposals.
    You will be notified in writing whether your proposal is selected. 
Successful proposals 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 pre-award negotiations between 
you and NOAA/NMFS representatives. You should not initiate your project 
in expectation of Federal funding until you receive a grant award 
document signed by an authorized NOAA official.

VI. Administrative Requirements

A. Your Obligations as an Applicant

    You must:
    1. Meet all application requirements and provide all information 
necessary for the evaluation of the proposal, including one signed 
original and two signed copies of the application.
    2. Be available to respond to questions during the review and 
evaluation of the proposal(s).
    3. Primary applicant certification. Applicants whose proposals are 
recommended for funding will be required to submit a completed Form CD-
511, ``Certification Regarding Debarment, Suspension and Other 
Responsibility Matters; Drug-Free Workplace Requirements and 
Lobbying.'' (Available at http://www.rdc.noaa.gov/grants/pdf/
cd511.pdf). The following explanations are provided:
    a. Non-procurement debarment and suspension. Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 
26, ``Non-procurement Debarment and Suspension'' and to the related 
section of the certification form prescribed here;
    b. Drug-free workplace. Grantees (as defined at 15 CFR 26.605) are 
subject to 15 CFR part 26, subpart F, ``Government-wide Requirements 
for Drug-Free Workplace (Grants)'' and to the related section of the 
certification form prescribed here;
    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 to the lobbying section of the 
certification form applies to applications/bids for grants, cooperative 
agreements, and contracts for more than $100,000, and loans and loan 
guarantees for more than $150,000; and
    d. Anti-lobbying disclosures. Any applicant who has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
    4. If applicable, require applicants/bidders for sub-grants, 
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'' 
(available at Office of Management and Budget http://www.rdc.noaa.gov/
grants/pdf/cd512.pdf) 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 sub-recipient to Commerce 
only if your proposal is recommended for funding.
    5. Complete Standard Form 424B (4-92), Assurances, Non-construction 
Programs.

B. Your Obligations as a Successful Applicant (Recipient)

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

[[Page 23677]]

public. Submit either three hard copies or an electronic version of any 
such publications.

C. Other Requirements of Recipients

1. Federal Policies and Procedures
    If you receive Federal funding, you are subject to all Federal laws 
and Federal and Department of Commerce policies, regulations, and 
procedures applicable to financial assistance awards. You must comply 
with general provisions that apply to all recipients under Department 
of Commerce grant and cooperative agreement programs.
2. Name Check Review
    You may be subject to a name check review process. Name checks are 
used to determine whether any of the key individuals named in the 
application has been convicted of, or are presently facing, criminal 
charges, such as fraud, theft, perjury, or other matters, that 
significantly reflect on his or her management skills, 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 pre-award accounting survey by Commerce prior to 
execution of the award.
4. Past Performance
    An applicant's unsatisfactory performance under prior Federal 
awards may result in the applicant's proposal not being considered for 
funding.
5. Delinquent Federal Debts
    Federal funds will not be awarded to you or to any sub-recipients 
who have an outstanding delinquent Federal debt or fine until:
    a. The delinquent account is paid in full,
    b. A negotiated repayment schedule is established and at least one 
payment is received, or
    c. Other arrangements satisfactory to Commerce are made.
6. Buy American
    You are encouraged to the extent feasible to purchase American-made 
equipment and products with the funding provided under this program.
7. Pre-award Activities
    If you incur any costs prior to receiving an award agreement signed 
by an authorized NOAA official, you do so solely at your own risk of 
not being reimbursed by the Government. Notwithstanding any verbal or 
written assurance that you may have received, the Department of 
Commerce has no obligation to cover pre-award costs.
8. False Statements
    A false statement on the application is grounds for denial or 
termination of funds and grounds for possible punishment by a fine or 
imprisonment (18 U.S.C. 1001).

Classification

    Pursuant to Section 553(a)(2) of the Administrative Procedure Act 
(APA), prior notice and an opportunity for public comments are not 
required by the APA 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 use of Standard Forms 424, 424A, 
424B, and SF-LLL has been approved by OMB under the respective control 
numbers 0348-0043, 0348-0044, 0348-0040, and 0348-0046. 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 Paperwork Reduction Act, 
unless that collection displays a currently valid OMB control number.

VII. Catalog of Federal Domestic Assistance (CFDA)

    This program falls under the CFDA number 11.472, Unallied Science 
projects.
    A solicitation for proposals will also appear in the ``Commerce 
Business Daily.''

    Dated: May 3, 2001.
John Oliver,
Acting Deputy Assistant Administrator for Management and 
Administration, National Marine Fisheries Service.
[FR Doc. 01-11702 Filed 5-8-01; 8:45 am]
BILLING CODE 3510-22-S