[Federal Register Volume 66, Number 199 (Monday, October 15, 2001)]
[Notices]
[Pages 52389-52396]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-25902]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 001214350-1240-02, I.D. 082701G]
RIN 0648-ZB08


Financial Assistance for Research and Development Projects in the 
Gulf of Mexico and Off the U.S. South Atlantic Coastal States; Marine 
Fisheries Initiative (MARFIN)

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

ACTION: Notice of solicitation for applications.

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SUMMARY: Subject to the availability of funds, NMFS (hereinafter 
referred to as ``we'' or ``us'') announces the availability of Federal 
assistance under the Marine Fisheries Initiative (MARFIN) Grant 
Program. This announcement provides guidelines, evaluation criteria and 
selection procedures for the program.
    Under the MARFIN program, we provide financial assistance for 
research and development projects that optimize the use of fisheries in 
the Gulf of Mexico and off the South Atlantic States of North Carolina, 
South Carolina, Georgia, and Florida involving the U.S. fishing 
industry (recreational and commercial), including fishery biology, 
resource assessment, socio-economic assessment, management and 
conservation, selected harvesting methods, and fish handling and 
processing.

DATES: We must receive your application by close of business (5 p.m. 
eastern daylight time on December 14, 2001. Applications received after 
that time will not be considered for funding.

ADDRESSES: You can obtain an application package from, and send your 
completed applications(s) to: Ellie Francisco Roche, Chief, State/
Federal Liaison Office, Southeast Regional Office, NMFS, 9721 Executive 
Center Drive, N., St. Petersburg, FL 33702. You may also obtain the 
application package from the MARFIN Home Page at: http://caldera.sero.nmfs.gov/grants/programs/marfin.
    You must submit one signed original and nine signed copies of the 
completed application (including supporting information). We will 
accept neither facsimile applications, nor electronically forwarded 
applications.

FOR FURTHER INFORMATION CONTACT: Ellie Francisco Roche, Chief, State/
Federal Liaison Office, (727) 570-5324.

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Background

    MARFIN is a competitive Federal assistance program that funds 
projects seeking to optimize research and development benefits from 
U.S. marine fishery resources through cooperative efforts involving the 
best research and management talents to accomplish priority activities. 
Projects funded under MARFIN provide answers for fishery needs covered 
by the NMFS Strategic Plan, available from the Southeast Regional 
Office (see ADDRESSES), particularly those goals relating to: 
rebuilding over-fished marine fisheries, maintaining currently 
productive fisheries, and integrating conservation of protected species 
and fisheries management. Areas of emphasis for MARFIN are formulated 
from recommendations received from non-Federal scientific and technical 
experts and from NMFS' research and operations officials.

B. Funding

    We are soliciting applications for Federal assistance pursuant to 
15 U.S.C. 713c-3(d). This document describes how you can apply for a 
grant or cooperative agreement under the MARFIN Grant Program and how 
we will determine which applications we will fund.
    Approximately $2.0 million may be available in fiscal year (FY) 
2002 for funding projects. This amount includes possible in-house 
projects and $750,000 for 1-year projects for red snapper research. 
(See II. Funding Priorities.) Publication of this notice obligate's 
neither NMFS to award any specific grant or cooperative agreement nor 
all or any parts of the available funds.
    Project proposals accepted for funding for a project period over 1 
year that include multiple project components and severable tasks to be 
funded during each budget period do not compete for funding in 
subsequent budget periods within the approved project period. However, 
funding for subsequent project components is contingent upon the 
availability of funds and satisfactory performance and is at the sole 
discretion of the agency.

C. Catalog of Federal Domestic Assistance

    This program is described in the ``Catalog of Federal Domestic 
Assistance'' under program number 11.433, Marine Fisheries Initiative 
(MARFIN).

[[Page 52390]]

II. Funding Priorities

    Your proposal must address one of the priorities listed below as 
they pertain to federally managed species or species relevant to 
Federal fisheries management. 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.
    Highest consideration is given to funding projects that have the 
greatest probability of recovering, maintaining, improving, or 
developing fisheries; improving the understanding of factors affecting 
recruitment success; and/or generating increased values and 
recreational opportunities for fisheries. Projects are evaluated as to 
the likelihood of achieving these objectives, with consideration of the 
magnitude of the eventual economic or social benefits that may be 
realized. Priority is given to funding projects in the subject areas 
listed in this section, but proposals in other areas are considered on 
a funds-available basis. There is no preference between short-term and 
long-term projects.

A. Bycatch

    The bycatch of biological organisms (including interactions with 
sea turtles and marine mammals) by various fishing gears can have wide-
reaching impacts from a fishery's management and an ecological 
standpoint, with the following major concerns:
    1. Shrimp trawl fisheries. Studies are needed to contribute to the 
regional shrimp trawl bycatch program (including the southern U.S. 
Atlantic rock shrimp fishery) being conducted by NMFS in cooperation 
with state fisheries management agencies, commercial and recreational 
fishing organizations and interests, environmental organizations, 
universities, Councils, and Commissions. Specific guidance and research 
requirements are contained in the Cooperative Bycatch Plan for the 
Southeast, available from NMFS (see ADDRESSES). In particular, the 
studies should address:
    (a) Data collection and analyses to expand and update current 
bycatch estimates, temporally and spatially emphasizing areas of 
greatest impact by shrimping. Sampling effort should include estimates 
of numbers, weight, and random samples of size (age) structure of 
associated bycatch complex, with emphasis on those overfished species 
under the jurisdiction of the Councils. Date collection should also 
include mortality, age, and length information for red drum in both 
inshore and offshore shrimp fisheries.
    (b) Assessment of the status and condition of fish stocks 
significantly impacted by shrimp trawler bycatch, with emphasis given 
to overfished species under the jurisdiction of the Councils. Other 
sources of fishing and nonfishing mortality should be considered and 
quantified as well.
    (c) Identification, development, and evaluation of gear, non-gear, 
and tactical fishing options to reduce bycatch.
    (d) Improved methods for communicating with and improving 
technology and information transfer to the shrimp industry.
    (e) Development and evaluation of statistical methods to estimate 
the bycatch of priority management species in the Gulf and South 
Atlantic shrimp trawl fisheries.
    2. Pelagic longline fisheries. Several pelagic longline fisheries 
exist in the Gulf and South Atlantic, targeting highly migratory 
species, such as tunas, sharks, and swordfish. Priority areas include:
    (a) Development and evaluation of gear and fishing tactics to 
minimize bycatch of undersized and unwanted species, including sea 
turtles, marine mammals, billfish, and overfished finfish species/
stocks.
    (b) Assessment of the biological impact of longline bycatch on 
related fisheries.
    3. Reef fish fisheries. The reef fish complex is exploited by a 
variety of fishing gear and tactics. The following research on bycatch 
of reef fish species is needed:
    (a) Development and evaluation of gear and fishing tactics to 
minimize the bycatch of undersized and unwanted species, including sea 
turtles and marine mammals.
    (b) Characterization and assessment of the impact of bycatch of 
undersized target species, including release mortality, during 
recreational fishing and during commercial longline, bandit gear and 
trap fishing.
    (c) Determination of the release mortality by depth of red snapper 
caught on commercial bandit rigs that are electrically or hydraulicly 
powered.
    4. Finfish trawl fisheries. Studies are needed on quantification 
and qualification of the bycatch in finfish trawl fisheries, such as 
the flounder and fly-net fisheries in the South Atlantic.
    5. Gillnet fisheries. Studies are needed on quantification and 
qualification of the bycatch in coastal and shelf gillnet fisheries for 
sciaenids, scombrids, bluefish, monkfish, and dogfish sharks of the 
South Atlantic and Gulf of Mexico (particularly interaction with sea 
turtles and marine mammals). Development and evaluation of gear and 
fishing tactics to minimize bycatch of undersized and non-target 
species, including marine mammals and sea turtles, is also needed.
    6. Economic considerations of bycatch reduction. (a) Develop and 
test models, using actual or hypothesized data, that explicitly 
consider the economic impacts to the directed fishery and gains to the 
bycatch fishery. The models should include the effects of the 
management systems for the directed and bycatch fisheries and should 
attempt to describe criteria for the correct level of bycatch reduction 
(e.g., marginal cost and value of reduction are equal).
    (b) Develop economic incentives and other innovative alternatives 
to gear and season/area restrictions as ways to reduce bycatch. The 
proposal should attempt to contrast the relative costs, potential 
gains, and level of bycatch reduction associated with traditional 
methods and any innovative alternatives addressed by the proposal.
    (c) Describe the costs and returns performance of South Atlantic 
and Gulf of Mexico shrimp fisheries as necessary background for the 
economics of bycatch reduction. (See Section V.C.1., regarding 
collection of information.)

B. Reef Fish

    Some species within the reef fish complex are exhibiting signs of 
being overfished, either because of directed efforts or because of 
being the bycatch of other fisheries. The ecology of reef fish makes 
them vulnerable to overfishing, because they tend to concentrate over 
specific types of habitat with patchy distribution. This behavior 
pattern can make traditional fishery statistics misleading. Priority 
research areas include:
    1. Collection of basic biological data for species in commercially 
and recreationally important fisheries. (a) Age and growth of reef 
fish. (1) Description of age and growth patterns, especially for red, 
vermilion, gray, and cubera snappers; gray triggerfish; gag; black 
grouper; hogfish; red porgy; and other less dominant forms in the 
management units for which data are lacking.
    (2) Contributions to the development of annual age-length keys and 
description of age structures for exploited populations for all species 
in the complex addressed in the Reef Fish and Snapper/Grouper 
Management Plans for the Gulf and South Atlantic, respectively, 
prioritized by importance in the total catch.

[[Page 52391]]

    (3) Design of sampling systems to provide a production-style aging 
program for the reef fish fishery. Effective dockside sampling programs 
are needed over a wide geographic range, especially for groupers, to 
collect information on reproductive state, size, age, and sex.
    (b) Reproduction studies of reef fish. (1) Maturity schedules, 
fecundity, and sex ratios of commercially and recreationally important 
reef fish, especially gray triggerfish, gag, and red porgy in the Gulf 
and South Atlantic.
    (2) Studies of all species to characterize the actual reproductive 
contribution of females by age.
    (3) Identification and characterization of spawning aggregations by 
species, area, size group and season.
    (4) Effects of fishing on changes of sex ratios for gag, red 
grouper, and scamp, and disruption of aggregations.
    (5) Investigations of the reproductive biology of gag, red grouper 
and other grouper species.
    (c) Recruitment of reef fish. (1) Source of recruitment in Gulf and 
South Atlantic waters, especially for snappers, groupers, and 
amberjacks.
    (2) Annual estimation of the absolute or relative recruitment of 
juvenile gag, gray snapper, and lane snapper to estuarine habitats off 
the west coast of Florida and to similar estuarine nursery habitats 
along the South Atlantic Bight; development of an index of juvenile gag 
recruitment for the South Atlantic based on historical databases and/or 
field studies.
    (3) The contribution of live-bottom habitat and habitat areas of 
particular concern (Oculina banks) off Fort Pierce, Florida and off 
west central Florida to reef fish recruitment.
    (d) Stock structure of reef fish. (1) Movement and migration 
patterns of commercially and recreationally valuable reef fish species, 
especially gag in the Gulf and South Atlantic and greater amberjack 
between the South Atlantic and Gulf.
    (2) Biochemical/immunological and morphological/meristic techniques 
to allow field separation of lesser amberjack, almaco jack, and banded 
rudderfish from greater amberjack to facilitate accurate reporting of 
catch.
    (3) Stock structure of greater amberjack in the Gulf and South 
Atlantic.
    (4) Fishery dependent and fishery independent data of wreakfish 
from the eastern North Atlantic.
    2. Population assessment of reef fish. (a) Effect of reproductive 
mode and sex change (protogynous hermaphroditism) on population size 
and characteristics, with reference to sizes of fish exploited in the 
fisheries and the significance to proper management.
    (b) Source and quantification of natural and human-induced 
mortalities, including release mortality estimates for charter boats, 
headboats, and private recreational vessels, especially for red snapper 
and the grouper complex.
    (c) Determination of the habitat and limiting factors for important 
reef fish resources in the Gulf and South Atlantic.
    (d) Description of habitat and fish populations in the deep reef 
community and the prey distributions supporting the community.
    (e) Development of statistically valid indices of abundance for 
important reef fish species in the South Atlantic and Gulf, especially 
red grouper, Goliath grouper, speckled hind, red porgy, Warsaw grouper 
and Nassau grouper.
    (f) Assessment of tag performance on reef fish species, primarily 
snappers and groupers. Characteristics examined should include shedding 
rate, effects on growth and survival, and ultimately, the effects of 
these characteristics on estimations of vital population parameters.
    (g) Stock assessments to establish the status of major recreational 
and commercial species. Innovative methods are needed for stock 
assessments of aggregate species, including the effect of fishing on 
genetic structure and the incorporation of sex change for protogynous 
hermaphrodites into stock assessment models.
    (h) Assessment of Florida Bay recovery actions on reef fish 
recruitment and survival.
    3. Management of reef fish. (a) Research in direct support of 
management, including catch-and-release mortalities, by gear and depth.
    (b) Evaluation of the use of marine reserves as an alternative or 
supplement to current fishery management practices and measures for 
reef fish. Studies should focus on the Experimental Oculina Reef 
Reserve, the Florida Keys National Marine Sanctuary, as well as on the 
identification of prime sites for the establishment of reserves in the 
U.S. south Atlantic and Gulf of Mexico.
    (c) Characterization and evaluation of biological impacts (e.g., 
changes in age or size structure of reef fish populations in response 
to management strategies).
    (d) Evaluation of vessel log data for monitoring the fishery and 
for providing biological and economic information for management; and 
methods for matching log data to Trip Information Program samples for 
indices of effort.
    (e) For the U.S. Caribbean, collection of economic cost and returns 
data sufficient to evaluate management proposals to limit the use of 
fish and/or lobster traps. (See Section V.C.1., regarding collection of 
information.)
    (f) Determine the value and economic impact of recreational angling 
in the headboat fishery of the U.S. Caribbean. This will require the 
use of data to generate recreational demand equations for trips in 
general and for various key species. Economic impact assessment will 
require the collection of appropriate expenditure data and imputation 
using standard impact assessment software. (See Section V.C.1., 
regarding collection of information.)

C. Red Snapper Research

    The Sustainable Fisheries Act of 1996 required the Secretary of 
Commerce to conduct a thorough and independent evaluation of the 
scientific and management basis for conserving and managing the red 
snapper fishery. NMFS has developed a research plan to improve the 
management of red snapper to address this requirement. The research 
priorities below are based on this research plan.
    1. Red snapper bycatch. The bycatch of red snapper can have 
significant impacts from a fisheries management and ecological 
standpoint. Research on bycatch of red snapper should focus on the 
following:
    (a) Shrimp trawl bycatch of red snapper. Specific guidance and 
research requirements are contained in the Cooperative Bycatch Plan for 
the Southeast, available from NMFS (see ). Studies are needed to 
address:
    (1) Identification, development, and evaluation of gear, non-gear, 
and tactical fishing options to reduce bycatch of red snapper.
    (2) Development and evaluation of statistical methods to estimate 
the bycatch mortality of red snapper in the Gulf shrimp trawl 
fisheries.
    (3) Studies of the survival rates of juvenile red snapper that 
escape shrimp trawls through bycatch reduction devices (BRDs).
    (b) Directed red snapper fisheries. The reef fish fishery is 
exploited by a variety of fishing gear and tactics. The following 
research on regulatory discards is needed to better evaluate the 
effectiveness of management measures such as minimum size limits and 
closed seasons:
    (1) Development and evaluation of gear and fishing tactics to 
minimize the bycatch of or increase the survival of discarded red 
snapper and other reef fish species.
    (2) Characterization and assessment of the impact of bycatch of 
undersized reef fish species, including release mortality,

[[Page 52392]]

during recreational and commercial fishing. Research on the catch-and-
release mortality of red snapper and other reef fish species, by gear 
(e.g., capture by commercial bandit rigs that are electrically or 
hydraulicly powered), fishery (e.g., headboat, private boat, charter 
boat, commercial), and depth. Studies are needed to specifically relate 
``sink or swim'' data, which can be obtained through observer programs, 
with long-term survival rates.
    (3) Research to document predation rates on discarded red snapper 
and other reef fish species.
    (c) Economic considerations of bycatch reduction. (1) Develop and 
test models, using actual or hypothesized data, that explicitly 
consider the costs and gains of bycatch reduction. The models should 
include the effects of the management systems for the directed and 
bycatch fisheries and should attempt to describe criteria for the 
correct level of bycatch reduction (e.g., marginal cost and value of 
reduction are equal). Studies should evaluate alternatives to bycatch 
reduction devices (BRDs).
    (2) Develop economic incentives and other innovative alternatives 
to gear and season/area restrictions as ways to reduce bycatch. The 
proposal should attempt to contrast the relative costs, potential 
gains, and level of bycatch reduction associated with traditional 
methods and any innovative alternatives addressed by the proposal.
    (3) Develop and apply methodology to evaluate the use of bycatch 
quotas for all fisheries but particularly with respect to red snapper 
bycatch in the shrimp fishery.
    2. Red snapper biological information. Collection of basic 
biological data on red snapper.
    (a) Contributions to the development of annual age-length keys and 
description of the age structure of red snapper populations.
    (b) Design of sampling systems to provide a production-style aging 
program for the red snapper fishery. Effective dockside sampling 
programs are needed over a wide geographic range to collect information 
on reproductive state, size, age, and sex.
    (c) Reproduction studies of red snapper.
    (1) Maturity schedules, fecundity, and sex ratios of red snapper.
    (2) Studies to characterize the actual reproductive contribution of 
females by age.
    (d) Identification of sources of recruitment of red snapper in Gulf 
waters.
    3. Red snapper population assessment. (a) Determination of the 
habitat and limiting factors for important red snapper populations in 
the Gulf.
    (b) Estimates of red snapper abundance, age structure and 
population dynamics on oil platforms and other artificial structures.
    4. Management of red snapper. (a) Characterization and evaluation 
of biological impacts (e.g., changes in age or size structure of red 
snapper populations in response to management strategies).
    (b) Research to evaluate the use of minimum size limits as a 
management tool in the red snapper fishery.
    (c) Research to collect economics data on Texas anglers since Texas 
does not participate in the Marine Recreational Fisheries Statistics 
Survey (MRFSS. Data requirements include those identified in the MRFSS 
add-on economic survey developed by NMFS. (See Section V.C.1., 
regarding collection of information.)
    (d) Research to develop bioeconomic models to optimize allocations 
and benefits derived from the red snapper resource.

D. Coastal Migratory Pelagic Fisheries

    The commercial and recreational demand for migratory coastal 
pelagics has led to overfishing for certain species. Additionally, some 
are transboundary with Mexico and other countries and may ultimately 
demand international management attention. Current high priorities 
include:
    1. Recruitment indices for king and Spanish mackerel, cobia, 
dolphin, wahoo, and bluefish, primarily from fishery-independent data 
sources.
    2. Fishery-independent methods of assessing stock abundance of king 
and Spanish mackerel.
    3. Release mortality data for all coastal pelagic species.
    4. Improved catch statistics for all species in Mexican waters, 
with special emphasis on king mackerel, dolphin, and wahoo. This 
includes length-frequency and life history information.
    5. Information on populations of coastal pelagics overwintering off 
the Gulf of Mexico and the South Atlantic States of North Carolina, 
South Carolina, Georgia, and Florida, especially concerning population 
size, age, and movement patterns. Calculate the mixing rates for 
Atlantic/Gulf king mackerel on an annual basis.
    6. Development of a practical method for aging dolphin.
    7. Basic biostatistics for cobia, dolphin, and wahoo to develop 
age-length keys and maturation schedules for stock assessments and to 
evaluate stock structures.
    8. Impact of bag limits on total catch and landings of king and 
Spanish mackerel, dolphin, wahoo, and cobia.
    9. Demand and/or supply functions for the commercial king mackerel 
fisheries, including baseline cost and return data. Cooperative efforts 
that cover the entire Southeast and employ common methodologies for all 
geographic areas are strongly encouraged.

E. Groundfish and Estuarine Fishes

    Substantial stocks of groundfish and estuarine species occur in the 
Gulf and South Atlantic. Most of the database for assessments comes 
from studies conducted by NMFS and state fishery management agencies. 
Because of the historical and current size of these fish stocks, of 
their importance as predator and prey species, and of their current or 
potential use as commercial and recreational fisheries, more 
information on their biology and life history is needed. General 
research needs are:
    1. Red drum. (a) Size and age structure of the offshore adult stock 
in the Gulf and South Atlantic.
    (b) Life history parameters and stock structure for the Gulf and 
the South Atlantic: Migratory patterns, long-term changes in abundance, 
growth rates, and age structure. Specific research needs for Atlantic 
red drum are estimates of fecundity as a function of length and weight 
and improved coast-wide coverage for age-length keys.
    (c) Catch-and-release mortality rates from inshore and nearshore 
waters.
    (d) Estimates of absolute abundance of red drum in the Gulf of 
Mexico and the Atlantic.
    2. Life history and stock structure for weakfish, menhaden, spot, 
croaker, flounder, sheepshead, black drum, mullet, and white trout in 
the Gulf and the South Atlantic. Migratory patterns, long-term changes 
in abundance, growth rates, and age structure and comparisons of the 
inshore and offshore components of recreational and commercial 
fisheries.
    3. Improved catch-and-effort statistics from recreational and 
commercial fisheries, including development of age-length keys for size 
and age structure of the catch, to develop production models. (See 
Section V.C.1., regarding collection of information.)
    4. Abundance and distribution information on spiny dogfish off the 
coast of North Carolina, and particularly southern North Carolina.
    5. Restoration of access to historical habitat for diadromous fish. 
Study, design, and plan installation of up and downstream fish passage 
facilities or removal of migratory obstructions.

[[Page 52393]]

Construct fish passages and remove obstructions. Conduct post 
construction evaluation of effectiveness in restoring habitat access 
and fish stocks.

F. Essential Fish Habitat

    1. Determine the effects of fishing gears (e.g., trawls and traps) 
and practices (e.g., gear retrieval and anchoring) on essential fish 
habitat (EFH), with emphasis on benthic habitats within the EEZ of the 
Caribbean, southern U.S. Atlantic, and Gulf of Mexico regions.
    2. Develop scientific data to allow the identification and 
refinement, as appropriate, of EFH designations for the various life 
stages of Federally managed species.
    3. Develop scientific data to allow the identification and 
refinement, as appropriate, of Habitat Areas of Particular Concern 
(HAPC) designation for the various life stages of Federally managed 
species.
    4. Develop GIS mapping protocols and tools to allow the 
presentation of EFH, HAPC, fishery distribution information, and other 
relevant data for the southeastern United States, including Puerto Rico 
and the U.S. Virgin Islands.

G. General

    Many other areas of research including methods for data collection, 
management, analysis, and better conservation, need to be addressed for 
improved understanding and management of fishery resources. Examples of 
such research needs include:
    1. Identification and profiling of fishing communities, 
characterization of community dependence upon fishery resources and 
demographics of the families dependent on fishing or fishing related 
businesses in the Gulf of Mexico and U.S. Caribbean. Focus should be on 
identification of all types of fishery dependency including commercial 
harvest, recreational harvest, processing, support and supply, etc. The 
degree of dependence on specific sectors and species should be 
identified. (See Section V.C.1., regarding collection of information.)
    2. Development of improved methods and procedures for transferring 
technology and educating constituency groups concerning fishery 
management and conservation programs. Of special importance are 
programs concerned with controlled access and introduction of 
conservation gear.
    3. Design and evaluation of innovative approaches to fishery 
management with special attention given to those approaches that 
control access to specific fisheries.
    4. Examination of the feasibility and efficacy of license buy-back 
programs.
    5. Social, cultural, and /or economic aspects of establishing 
fishery reserves. Studies should employ accepted data collection 
methods and should include consumptive users, non-consumptive users, 
and persons not dependent on use of marine resources. Various 
management alternatives should be considered in the studies, e.g., 
exclude all users, all consumptive users, size of reserve, anchoring 
rules, or any other relevant management tools. (See Section V.C.1., 
regarding collection of information.)
    6. Design and evaluation of limited access options for the red 
snapper and king mackerel recreational fisheries with specific emphasis 
on modes of fishing and jurisdictional issues.
    7. Estimation of demand models for recreational fishing trips when 
the target species include a single species, an aggregate of related 
species, or all species combined. Studies using new data from the 
Southeast economics add-on to Marine Recreational Fisheries Statistics 
Survey are highly encouraged. Priority species include red drum Spanish 
mackerel, red grouper, wahoo, and dolphin.
    8. Sociocultural survey of commercial fishing in the Florida Keys. 
Proposals should address all fishing enterprises including potential 
sociocultural effects of large marine reserves in the Tortugas area. 
(See Section V.C.1., regarding collection of information.)
    9. Studies to evaluate the value of non-consumptive uses of marine 
resources, especially as related to diving activities and marine 
reserves.
    10. Examination and comparison of the expected economic and social 
impacts of fisheries regulations with realized impact for all regulated 
species. Attempts should be made to identify and isolate behavioral 
causes of divergence as opposed to environmental causes. (See Section 
V.C.1., regarding collection of information.)
    11. Examination of the motivational causes that determine fishing 
behavior, both commercial and recreational. For the commercial sector, 
including the operation side of the for-hire industry, specific 
attention should be given to whether profit maximization is an 
appropriate motivational assumption for fishing behavior. (See Section 
V.C.1., regarding collection of information.)
    12. Determination of the recreational value and economic impact of 
the headboat fishery in the Southeast. This will require the use of 
collected data to generate recreational demand equations for trips in 
general and for various key species. Economic impact assessment will 
require the collection of appropriate expenditure data and imputation 
using standard impact assessment software. (See Section V.C.1., 
regarding collection of information.)
    13. Evaluation of the extent and impact of recreational sales (all 
species) on recreational harvests, commercial closures and demand for 
recreational fishing. (See Section V.C.1., regarding collection of 
information.)
    14. Identification of options for the economic affects of effort 
control/limited access in the recreational fishery. (See Section 
V.C.1., regarding collection of information.)
    15. Evaluation of the issue of fishing opportunity being 
transferred from commercial to recreational or conservation sectors 
under a transferable rights program. (See Section V.C.1., regarding 
collection of information.)
    16. Evaluation of the recreational harvest of spiny lobster and 
queen conch in the U.S. Caribbean. (See Section V.C.1., regarding 
collection of information.)

III. How to Apply

A. Eligibility

    To apply for grants or cooperative agreements, you must follow the 
instructions in this document. Eligible applicants include institutions 
of higher education, hospitals, other nonprofits, commercial 
organizations, and state, local and Indian tribal governments. Federal 
agencies or institutions are not eligible. Foreign governments, 
organizations under the jurisdiction of foreign governments, and 
international organizations are excluded for purposes of this 
solicitation since the objective of the MARFIN program is to optimize 
research and development benefits from U.S. marine fishery resources. 
(See A. Background.)
    We are strongly committed to broadening the participation of 
Historically Black Colleges and Universities, Hispanic Serving 
Institutions, and Tribal Colleges and Universities in its educational 
and research programs. DOC/NOAA's goals are to achieve full 
participation by Minority Serving Institutions (MSI) in order to 
advance the development of human potential, to strengthen the nation's 
capacity to provide high-quality education, and to increase 
opportunities for MSIs to participate in and benefit from Federal 
financial assistance programs. DOC/NOAA encourages all

[[Page 52394]]

applicants to include meaningful participation of MSIs.

B. Duration and Terms of Funding

    We will award grants or cooperative agreements for a maximum period 
of up to three years, consisting of one, two, or three budget periods. 
The award period depends upon the duration of funding requested in the 
application, the decision of the NMFS selecting official on the amount 
of funding, the results of post-selection negotiations between the 
applicant and NOAA officials, and pre-award review of the application 
by NOAA and Department of Commerce (DOC) officials. Normally, each 
project budget period is 12 months in duration.

C. Cost Sharing

    Cost-sharing is not required for the MARFIN program. Applications 
must provide the total budget necessary to accomplish the project, 
including contributions and/or donations. Because 15 U.S.C. 713c-
3(c)(4)(B) provides that the amount of Federal funding must be at least 
50 percent of the estimated cost of the project, the total costs shown 
in the proposal will be evaluated for appropriateness according to the 
administrative rules, including 15 CFR Part 14.23 and 15 CFR Part 
24.24, as appropriate. If an applicant chooses to cost-share, and if 
that application is selected for funding, the applicant is bound by the 
percentage of the cost share reflected in the grant or cooperative 
agreement award. Note: Costs incurred in either the development of a 
project or the financial assistance application, or time expended in 
any subsequent discussions or negotiations prior to the award, are 
neither reimbursable nor recognizable as part of the recipient's cost 
share.

D. Application Format and Requirements

    The Department of Commerce Pre-Award Notification Requirements for 
Grants and Cooperative Agreements contained in the Federal Register 
notice of October 1, 2001 (66 FR 49917), are applicable to this 
solicitation. Your application must be complete and must follow the 
format described in the MARFIN Application Package. The standard forms 
in a MARFIN application include the MARFIN Project Budget and the 
MARFIN Project Summary. Applicants should contact the NMFS Southeast 
Regional Office for a copy of this solicitation's MARFIN Application 
Package (see ADDRESSES). You may also obtain the application package 
from the MARFIN Home Page at: http://caldera.sero.nmfs.gov/grants/programs/marfin.htm.
    Project applications must identify the principal participants, and 
include copies of any agreements describing the specific tasks to be 
performed by participants. Project applications should give a clear 
presentation of the proposed work, the methods for carrying out the 
project, its relevance to managing and enhancing the use of Gulf of 
Mexico and/or South Atlantic fishery resources, and cost estimates as 
they relate to specific aspects of the project. Budgets must include a 
detailed breakdown, by category of expenditures, with appropriate 
justification for both the Federal and non-Federal shares.
    Applications should exhibit familiarity with related work that is 
completed or ongoing. Where appropriate, proposals should be multi-
disciplinary. In addition to referencing specific area(s) of special 
interest, proposals should state whether the research applies to the 
Gulf of Mexico only, the South Atlantic only, or to both areas. 
Successful applicants may be required to collect and manage data in 
accordance with standardized procedures and formats approved by NMFS 
and to participate with NMFS in specific cooperative activities that 
are determined by consultations between NMFS and successful applicants 
before project grants are awarded. All applications must include 
funding for the principal investigator to participate in an annual 
MARFIN Conference in Tampa, FL at the completion of the project.
    Applications must be one-sided and unbound. All incomplete 
applications are returned to the applicant. Ten copies (one original 
and nine copies) of each application are required and should be 
submitted to the NMFS Southeast Regional Office, State/Federal Liaison 
Office (see ADDRESSES). The Office of Management and Budget (OMB) has 
approved 10 copies, under OMB Control No. 0648-0175.

E. Indirect Costs

    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 25 percent of the Federal share 
of the total proposed direct costs dollar amount in the application, 
whichever is less. A copy of the current, approved, negotiated Indirect 
Cost Agreement with the Federal Government must be included with the 
application.

IV. Screening, Evaluation, and Selection Procedures

A. Initial Screening of Applications

    When we receive applications we will screen them to ensure that 
they were received by the deadline date (see DATES); include SF 424 
signed and dated by an authorized representative; were submitted by an 
eligible applicant; address one of the funding priorities for federally 
managed species; and include a budget, statement of work, and 
milestones, and identify the principal investigator. Before the 
deadline, you have the opportunity to correct any deficiencies in your 
application. After the deadline, the application must remain as 
submitted; no changes can be made to it. If your application does not 
conform to these requirements and the deadline for submission has 
passed, the application is returned 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. Applications responsive to this 
solicitation will be evaluated by three or more appropriate private and 
public sector experts to determine their technical merit. These 
reviewers will provide individual evaluations of the proposals. No 
consensus advice will be given. These reviewers provide comments and 
assign scores to the applications based on the following criteria, with 
the weights shown in parentheses:
    a. Does the proposal have a clearly stated goal(s) with associated 
objectives that meet the needs outlined in the project narrative? (30 
points maximum)
    b. Does the proposal clearly identify and describe, in the project 
outline and statement of work, scientific methodologies and analytical 
procedures that will adequately address project goals and objectives? 
(30 points maximum)
    c. Do the principal investigators provide a realistic timetable to 
enable full accomplishment of all aspects of the research? (20 points 
maximum)
    d. How effective are the proposed methods in enabling the principal 
investigators to maintain stewardship of the project performance, 
finances, cooperative relationships, and reporting requirements? (10 
points maximum)
    e. Does the budget appropriately allocate and justify costs? (10 
points maximum)
    2. Scientific Panel. Applications together with the technical 
reviewers'

[[Page 52395]]

comments and scores are presented to a Scientific Panel composed of 
NMFS scientific experts. This panel provides comments and rates each 
proposal as either ``Recommended for Funding'' or ``Not Recommended for 
Funding'' based on merits of the science, the necessity of the 
information that would be gained by the project, and the likelihood of 
assisting industry or fisheries management.
    3. MARFIN Panel. Proposals that are ``Recommended for Funding'' by 
the Scientific Panel are presented to a panel of non-NOAA fishery 
experts known as the MARFIN Panel. Each member of the MARFIN Panel 
individually considers if needs of the Agency are addressed in each 
proposal, if the project assists industry, and if the project addresses 
issues that are important to regional fisheries management. The 
individuals on the MARFIN Panel provide comments and rate each of these 
proposals as either ``Recommended for Funding'' or ``Not Recommended 
for Funding.'' No consensus advice will be given by the panel. The 
Program Manager ranks the proposals in the order of preferred funding, 
based on the number of MARFIN Panel members recommending the proposal 
for funding.
    4. Regional Administrator. The proposals reviewed by the MARFIN 
Panel are ranked by the Program Manager in the order of preferred 
funding, based on the number of MARFIN Panel members recommending the 
proposal for funding, then provided to the Regional Administrator, who 
is the selecting official. The Regional Administrator also receives the 
MARFIN Panel members' individual comments, and comments from the 
Scientific Panel for projects it rated as ``Recommended for Funding.''
    The Regional Administrator, in consultation with the Assistant 
Administrator for Fisheries, determines the projects to be funded. 
Though rarely used, the Regional Administrator has an option to make a 
selection that falls outside the MARFIN Panel's order of preferred 
funding on the following grounds: for geographic diversity, if not 
enough projects have addressed a priority, or because of duplication 
with other funded grants within NOAA. The Regional Administrator will 
justify in writing any such selection.
    The exact amount of funds awarded, the final scope of activities, 
the project duration, and specific NMFS cooperative involvement with 
the activities of each project are determined in pre-award negotiations 
between the applicant, the NOAA Grants Office and the NMFS Program 
Office. Projects must not be initiated by recipients until a signed 
award is received from the NOAA Grants Office. Successful applications 
generally are recommended within 210 days from the date of publication 
of this notice. The earliest start date of awards average 90 days after 
each project is selected and after all NMFS/applicant negotiations of 
cooperative activities have been completed. The earliest start date of 
awards is about 300 days after the date of publication of this notice. 
Applicants should consider this selection and processing time in 
developing requested start dates for their applications.

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, 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).

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 NOAA Grants 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.
    5. In addition to the final report, 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.
    We are 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 publication on the NMFS MARFIN Home Page. You may 
charge the costs associated with preparing and transmitting your final 
reports in electronic format to the grant award.
    We will provide you with OMB-approved formats for the semiannual 
and final reports.

C. Other Requirements of Recipients

    If a grant is made that specifically requires the collection of 
information from the public, the grantee is responsible for preparing 
the documentation necessary to obtain Paperwork Reduction Act (PRA) 
approval prior to the start of the collection. This approval process 
takes a minimum of 4 months. This provision especially applies to 
priorities A.6.(c), B.3.(e), B.3.(f), C.4.(c), E.3., G.1., G.5., G. 8., 
G.10., G.11., G.12., G.13., G.14., G.15., and G.16. Information on the 
PRA process can be found at the following Web site address: 
www.rdc.noaa.gov@pra.
    Applications under this program are subject to the provisions of 
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.
    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.
    This notice contains collection-of-information requirements subject 
to the Paperwork Reduction Act. The use of Standard Forms 424, SF-LLL, 
and SF-424B have been approved by OMB under the respective control 
numbers 0348-0043, 0348-0046 and 0348-0040. The other application 
requirements and the semi-annual and final reports have

[[Page 52396]]

been approved by OMB under control number 0648-0175. Public reporting 
burden for the latter collections of information is estimated to 
average 4 hours for an application, 1 hour for a semi-annual report, 
and 1 hour 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 these collections of information, 
including suggestions for reducing this burden, to Ellie Francisco 
Roche (see ADDRESSES).

    Authority: 15 U.S.C. 713c-3(d).

    Dated: October 5, 2001.
William T. Hogarth,
Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 01-25902 Filed 10-12-01; 8:45 am]
BILLING CODE 3510-22-S