[Federal Register Volume 67, Number 57 (Monday, March 25, 2002)]
[Notices]
[Pages 13602-13606]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-7134]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 020306047-2047-01; I.D. 020402E]
RIN 0648-ZB14


Mid-Atlantic Fishery Management Council (Council); Request for 
Research Proposals (RFP)

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 announces that for fishing year 2003 up to 3 percent of 
the total allowable landings (TAL) will be dedicated to research 
endeavors under a research set-aside program (RSA). This notice 
describes how the application and selection process for research 
projects to be funded under the RSA by a set-aside from the TAL of 
selected species will operate. The RSA provides a mechanism to fund 
research and compensate vessels through the sale of fish harvested 
under the research quota. The setting of the actual research set-aside 
quotas will be the subject of future rulemakings. NMFS is soliciting 
proposals for research activities concerning the summer flounder, scup, 
black sea bass, Loligo squid, Illex squid, Atlantic mackerel, 
butterfish, bluefish, and tilefish fisheries.

DATES: All research proposals to be considered under this solicitation 
must be received between March 25, 2002, and 5 p.m., EST, on May 13, 
2002, in the Northeast Regional Office (see ADDRESSES). Postmarks prior 
to the end of the receipt period will not be sufficient. Facsimile 
applications will not be accepted. For further information related to 
the timeframe for review and selection of proposals to be conducted 
with research quota set-asides, see Section A, Background, under 
SUPPLEMENTARY INFORMATION.

ADDRESSES: Proposals must be submitted to Patricia A. Kurkul, Regional 
Administrator, NMFS, Northeast Regional Office, 1 Blackburn Drive, 
Gloucester, MA 01930. Mark proposals ``Attention--Mid-Atlantic Research 
Proposals.'' Copies of the Standard Forms for submission of research 
proposals may be found on the Internet in a PDF (Portable Document 
Format) version at http://www.ofa.noaa.gov/grants/index.html, under the 
title ''Grants Management Forms,'' or by contacting the Council

[[Page 13603]]

office (see FOR FURTHER INFORMATION CONTACT).

FOR FURTHER INFORMATION CONTACT: Daniel Furlong, Executive Director, 
Mid-Atlantic Fishery Management Council, (302) 674-2331, fax (302) 674-
5399, e-mail [email protected] or Paul H. Jones, Fishery Policy Analyst, 
NMFS, (978) 281-9273, fax 978-281-9135, e-mail [email protected].

SUPPLEMENTARY INFORMATION:

A. Background

    The award of a set-aside from the TAL of selected species became 
possible with the approval of Framework Adjustment 1 (Framework 1) to 
the Council's Atlantic Mackerel, Squid, and Butterfish; Summer 
Flounder, Scup, and Black Sea Bass; and Bluefish Fishery Management 
Plans (FMPs); and the RSA provisions of the Tilefish FMP. Framework 1 
was approved by the Secretary of Commerce on August 10, 2001. It 
established a procedure through which research set-aside amounts would 
be set annually as part of the Council's quota-setting process. The 
set-asides can range between 0 and 3 percent of each species' TAL. The 
set-aside allocated for a given species is to be utilized primarily for 
research involving that species. However, to promote research in those 
cases where it would otherwise be infeasible, individual research 
projects could involve allocations from the set-asides for several of 
the species listed in this notice. Therefore, in addition to applying 
for part of the set-aside involving a species directly involved in a 
research project, applicants may also apply for up to 25 percent of the 
research set-aside quota for species not directly involved in a 
particular research project.
    To be eligible for consideration, a research proposal for work to 
be conducted using a research set-aside allocation for the 2003 fishing 
year must be received during the application period identified in the 
DATES section of this document. Applicants must submit one signed 
original and two signed copies of the completed application (including 
supporting information). Prior to selection, NOAA will convene a panel 
to review proposals submitted in response to this RFP.
    The Council, in consultation with the Atlantic States Marine 
Fisheries Commission (Commission), will incorporate the level of 
research set-aside (percentages) for each of the set-aside species for 
the 2003 fishing year into the Council's annual quota specification 
packages. NMFS will consider the recommended level of set-aside as part 
of the specification rulemaking process. It is anticipated that most 
proposals will request that vessels conducting research be exempt from 
certain regulations for the relevant fishery. The impacts of such an 
exemption must be analyzed. To ease the burden on researchers, the 
Council will prepare, as appropriate, an analysis of the impacts 
associated with the anticipated exemptions during the annual quota 
specification process. This process is intended to satisfy the 
analytical and public notice provisions of the Exempted Fishing Permit 
(EFP) regulations at 50 CFR 600.745. However, certain conditions may 
require the applicant to provide additional analysis associated with 
such an exemptions (see section N of this notice).
    The actual level of research set-aside quota available to 
researchers for the 2003 fishing year will depend on the TAL level 
specified by the Council at its quota-setting meetings in June and 
August, 2002, and on the percentage (0 to 3 percent) of the TAL 
established by the Council as the level of research set-aide. To help 
researchers develop proposals for the 2003 fishing year, the table 
below provides some guidance on the general magnitude of research set-
asides and estimated values that a researcher might expect to be 
available for fishing year 2003. The table is based on TAL levels for 
these fisheries for the 2002 fishing year and assumes that NMFS will 
approve the maximum set-aside level of 3 percent of the TAL. The table 
is intended only as a guide to be used when developing research 
proposals for the 2003 fishing year. It does not necessarily reflect 
the actual research set-aside quota that will be allocated for fishing 
year 2003. Based on Council recommendation, NMFS could choose to adopt 
less than 3 percent of TAL as a set-aside, or could decide not to adopt 
any set-aside for a given fishery. The estimated values of the set-
aside allocations will vary depending on market considerations 
prevailing at the time the research trips are conducted.

                                    Example of 3-Percent Research Set-Asides
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                                                                                                   Estimated
                   Allocation Species                          Pounds           Kilograms           Value($)
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Summer Flounder                                                    537,300            243,719            902,664
Scup                                                               186,600             84,642            236,982
Black Sea Bass                                                     185,100             83,961            318,372
Loligo Squid                                                     1,124,339            510,000            865,741
Illex Squid                                                      1,587,302            720,000            365,079
Atlantic Mackerel                                                5,621,693          2,550,000            730,820
Butterfish                                                         390,013            176,910            222,307
Bluefish                                                         1,135,200            514,927            431,376
Tilefish                                                            59,850             27,148            148,428
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B. Authority

    Issuing grants is consistent with Secs.  303(b)(11), 304(e), and 
404(c) of the Magnuson-Stevens Fishery Conservation and Management Act, 
16 U.S.C. 1801 et seq.

C. Catalog of Federal Domestic Assistance (CFDA)

    11.454, Unallied Management Projects

D. Funding Instrument and Project Period

    In consultation with NMFS, the NOAA Grants Office will award a 
grant to successful applicants through the NOAA grant award process. 
The project period for all research is January 1, 2003, through 
December 31, 2003. Proposals to fund research that was started prior to 
the project period, or that would be completed after the project period 
will not be considered.

E. Funding Availability

    No Federal funds are provided for research under this notification. 
The Federal Government's contribution to the project will be an EFP or 
Letter of Authorization, as applicable, which will provide special 
fishing privileges in response to research proposals selected

[[Page 13604]]

under this program. The Federal Government shall not be liable for any 
costs incurred in the conduct of the project. Any funds generated from 
the landings authorized under a research set-aside grant shall be used 
to cover the cost of the research, including vessel costs, and to 
compensate vessel owners for expenses incurred. Therefore, the owner of 
each fishing vessel selected to land a species in excess of a trip 
limit or seasonal quota must use the proceeds of the sale of the excess 
catch to compensate the researcher for costs associated with the 
research activities and use of the vessel.
    Any additional funds above the cost of the research activities (or 
excess program income) shall be retained by the vessel owner as 
compensation for the use of his/her vessel.

F. Scope of Research

    Projects funded under the research quota set-aside program should 
enhance understanding of the fishery resource or contribute to the body 
of information on which management decisions are made. Research, as 
well as additional voyages to obtain fish for compensation, may be 
conducted, as specified in the EFP or Letter of Authorization, as 
applicable, in or outside of a closed area, within the timeframe of a 
commercial quota closure, and onboard a fishing or other type of 
vessel, including recreational and/or commercial vessels.
    Funds generated from the research quota set-aside landings shall be 
used to cover the cost of the research activities, including vessel 
costs, and to compensate boats for expenses incurred during the 
collection of the set-aside species. For example, the funds could be 
used to pay for gear modifications, monitoring equipment, additional 
provisions (e.g., fuel, ice, food for scientists), or the salaries of 
research personnel. The Federal Government is not liable for any costs 
incurred by the researcher or vessel owner, should the sale of the 
excess catch not fully reimburse the researcher or vessel owner for 
his/her expenses.

G. Eligibility Criteria

    All commercial organizations; non-profit organizations; state, 
local or tribal governments; institutions of higher education; and 
individuals are eligible to apply, provided that all proposal 
requirements are satisfied and the proposal is received by the date 
specified in this document.
    A person is not eligible to submit an application under this 
program if he/she is an employee of any Federal agency; a Regional 
Fishery Management Council; or an employee of a Council. However, 
Council members who are not Federal employees can submit an 
application.

H. Proposal Preparation and Requirements

    NOAA employees (whether full-time, part-time, or intermittent) are 
not allowed to help in the preparation of an application, except that 
staff may provide you with information 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. 
However, the Council or NMFS contact person (see FOR FURTHER 
INFORMATION CONTACT) may provide assistance to researchers who are 
seeking vessels to participate in the collection of set-aside species 
or directly in research projects.
    Proposals must identify the research to be conducted and the total 
amount of the set-aside species requested for the project, including 
its approximate cash value. If a waiver of Federal regulations is 
proposed, a list of the specific regulations to be waived and a brief 
justification for such a waiver must be included with the proposal.
    In addition, each proposal must identify the requirements for the 
participating vessel(s) that would make a trip to collect the set-aside 
species. The vessel(s) selected by the applicant must be listed in the 
proposal, if possible, or specifically identified prior to final 
approval by NOAA. Proposals may request that the quota set-aside be 
collected separately from the research trip or other related research 
trip. The separate compensation trips do not necessarily have to be 
conducted by the same vessel.
    The researcher's proposal must state the amount of funds required 
to support the research project, as well as the amount required to 
compensate the vessel owner either for the collection of set-aside 
species, or for participation in the research project, or both. The 
proposal must also include the agreement between the vessel owner and 
researcher that shows exactly how the research activity is to be paid 
for, if possible, or such agreement must be provided prior to final 
approval by NOAA.

I. Project Funding Priorities

    The Council and NOAA will give priority to funding research 
proposals in the following areas identified as research priorities by 
the Council and Commission for the 2003 fishing year (not listed in 
order of priority):
    1. Bycatch and discard reduction concerning: (a) Distinctions 
between regulatory discards and bycatch attributed to gear, including 
mesh selectivity and/or overall gear design in the summer flounder 
fishery; (b) gear modifications in the Loligo squid fishery to reduce 
scup and other species bycatch; (c) discard studies in the Loligo and 
scup fisheries; and (d) better estimates of recreational discards in 
the summer flounder, scup, black sea bass and bluefish fisheries;
    2. Mesh and gear selectivity focusing on: (a) The examination of 
summer flounder catch composition in small-mesh net fisheries within 
the summer flounder small-mesh exemption area; (b) summer flounder mesh 
selectivity studies; (c) scup mesh selectivity; (d) squid mesh 
selectivity; (e) black sea bass mesh selectivity; (f) the development 
of threshold triggers based on gear and fishery characteristics; (g) 
evaluation of various pot vent sizes for black sea bass; (h) estimation 
of mortality of black sea bass left in pots during the closed season; 
(i) evaluation of fishery management actions, e.g., do closures have a 
net positive effect on fishing mortality by postponing such mortality, 
or do they simply allow for concentration of resources such that when 
the seasons open the consequent fishing effort offsets the mortality 
reductions that occurred during the closure; and (j) mesh retention 
studies of 2-1/2 (6.35 cm), 2-3/4 (6.985 cm), and 3-inch (7.63 cm) mesh 
for butterfish;
    3. Fishing impacts on habitat pertaining to: (a) Mobile gear 
impacts on tilefish burrows; (b) scup spawning areas and scup larvae 
settlement areas in coastal/estuarine waters; (c) benthic habitat of 
juvenile and adult black sea bass, and scup offshore wintering areas; 
and (d) mapping of spawning areas and egg mop areas for Loligo;
    4. Cooperative stock assessment surveys focusing on: (a) The use of 
alternative industry assessment methods to determine abundance of 
Atlantic mackerel; (b) the summer flounder fishery; (c) surveys for 
summer flounder in areas not traditionally sampled by the North East 
Fisheries Science Center gear; (d) side-by-side comparisons for summer 
flounder and scup of commercial and NEFSC survey gear; (e) better 
survey information for bluefish; (f) tagging studies of bluefish 
movements; and (g) DNA analysis for stock descriptions of Atlantic 
bluefish and Atlantic mackerel;
    5. Improved recreational fishery data focusing on: (a) Research to 
enhance the overall knowledge of the recreational

[[Page 13605]]

fishery; (b) statistical models to evaluate the effectiveness of 
recreational management measures and/or data collection process; (c) 
studies of bluefish hooking mortality by size of fish; and (d) tagging 
studies with break-away hooks for movement of tilefish.
    6. Other: (a) Evaluation of redirection of fishing effort with area 
closures for black sea bass; (b) evaluation of whether artificial reefs 
increase the productivity of black sea bass or simply concentrate the 
resource; and (c) evaluation of the mixing of Illex and Loligo in 
September and October.

J. Evaluation Criteria

    The review panel convened by NOAA to evaluate proposals submitted 
in response to this RFP (see section L of this notice), will evaluate 
proposals by assigning scores up to the maximum indicated for each of 
the following criteria:
    1. A clear definition of the problem, need, issue or hypothesis to 
be addressed. The proposal should describe its relevance to RSA program 
priorities. If not directly related to priorities listed in this 
solicitation, provide justification why the proposed project should be 
considered (25 points);
    2. Cost-effectiveness of the project. The request and value of the 
anticipated revenue from RSA should be commensurate with estimated 
project costs. Economic and budget projections must be quantified, to 
the extent possible. Where appropriate, use of existing equipment 
versus acquisition of new equipment (fishing gear) is preferred (25 
points);
    3. A clear definition of the approach to be used, including 
description of field work, theoretical studies, and laboratory analysis 
to support that proposed research, and the ability of the researchers 
to physically complete work during the 2003 calendar year can be 
completed in the area and time proposed. Activities that take place 
over a wider versus narrower geographical range, where appropriate, are 
preferred (25 points);
    4. Demonstration of support, cooperation and/or collaboration with 
the fishing industry, and qualifications/ experience of project 
participants. Where appropriate, unified versus separate stand-alone 
proposals on related projects involving multiple principal 
investigators are preferred (15 points);
    5. Identification of anticipated benefits, potential users, 
likelihood of success, and methods of disseminating results. Where 
appropriate, data format generated from the research must be consistent 
with NMFS' and Atlantic Coastal Cooperative Statistical Program's 
(ACCSP) databases (10 points). A copy of this format is available from 
NMFS (see FOR FURTHER INFORMATION CONTACT).

K. Selection Procedures

    NOAA will solicit written technical evaluations from the Council 
members who make up the Ecosystem Planning Committee (Committee) and 
from three or more appropriate private and public sector experts to 
score proposals using the criteria specified in section J of this 
notification to determine the technical merit of the proposal. 
Following completion of the technical evaluation, NOAA will convene a 
review panel, including the Committee and technical experts, to review 
and individually critique the scored proposals to enhance NOAA's 
understanding of the proposals. No consensus recommendations will be 
made. Based on the results of the technical review, rank order based on 
average scores, comments provided by the review panel, and the 
following program policy factors, NOAA will select the successful 
proposals and inform the Council of its recommendations. The program 
policy factors are: (1) The time of year the research activities are to 
be conducted; (2) the ability of the proposal to meet the experimental 
fishery requirements discussed under Section N of this notice; and (3) 
redundancy of research projects. Therefore, the highest scoring 
projects may not necessarily be selected for an award. The selecting 
official will provide final approval of the projects to allow NMFS to 
exempt selected vessel(s) from specific regulations implementing the 
respective FMPs through written notification to the applicant.
    For proposals that request exemptions from existing regulations 
(e.g., possession limits, closed seasons, etc.), the impacts of the 
proposed exemptions must be analyzed. The Council will analyze these 
impacts as part of the impacts of the proposed specifications for the 
upcoming fishing year in the annual quota specification packages it 
submits to NMFS. However, those individuals with proposals that include 
vessel activities that extend beyond the scope of the analysis provided 
by the Council may be required to provide additional analysis before 
issuance of an EFP will be considered (see section N). Any researchers 
who request regulatory exemptions that are beyond the scope of the 
Council analysis may be required to adhere to the regulations that 
govern the issuance of an EFP by NMFS (see section N). If necessary, 
and as appropriate, NMFS will consult with the Council and successful 
applicants to secure the information required for granting an exemption 
if issuance of an EFP is necessary for the research to be conducted. 
The final decision on the applicant's proposal for research quota will 
not be made by NOAA until NMFS advises that the applicant's EFP request 
is approved.

L. Proposal Format

    Proposals should be limited to seven pages, excluding item 6 below. 
The format may vary but must include:
    1. A project summary;
    2. A narrative project description to include: (a) Project goals 
and objectives; (b) the relationship of the proposed project to 
management needs or priorities identified by the Council; (c) a 
statement of work (project design and management including who is 
responsible, expected products, and participants other than applicant); 
and (d) a summary of the existing state of knowledge related to the 
project and contribution and relevance of the proposed work;
    3. A description of all funding sources (including revenues derived 
from the sale of the species harvested under the research quota set-
aside) and funding needs. This element of the proposal must include the 
amount of research quota set-aside requested for each species and the 
expected funds to be generated by the sale of those species, as well as 
the expected percentage of funds to be allocated to the researcher and 
any involved fishing vessel;
    4. A budget that includes a breakdown of costs, including permit 
costs, equipment, supplies, and overhead. Applicants must submit a 
Standard Form 424 (Application for Federal Assistance) including a 
detailed budget using Standard Form 424A, (Budget Information-- Non-
Construction Programs), Standard Form 424B (Assurances - Non-
Construction Programs), and Commerce Department Form CD-511, 
(Certifications Regarding Debarment, Suspension and Other 
Responsibility Matters: Drug-Free Workplace Requirements and Lobbying). 
Copies of these Standard Forms may be found on the Internet in a PDF 
version at http://www.ofa.noaa.gov/grants/index.html (Grants Management 
Forms;
    5. A list of any Federal or state regulations that the applicant 
needs to have waived and a brief justification for such a waiver. Note 
that requests for waivers of any state regulations will be forwarded to 
the appropriate state agency(s). NOAA cannot guarantee that

[[Page 13606]]

state agencies will accede to any particular request; and
    6. Supporting documents including resumes, cooperative research 
agreements, and contracts.

M. Final Reports and Data Submission

    NOAA will require project researchers to submit to NOAA, with a 
copy for the Council, an interim and/or final report describing their 
research project results, or other acceptable deliverable(s), in a 
timeframe that is specific to the type of research conducted. The 
format of the report may vary, but must contain:
    1. A brief summary of the report;
    2. A description of the issue/problem that was addressed;
    3. A detailed description of methods of data collection and 
analyses;
    4. A discussion of results and any relevant conclusions presented 
in a format that is understandable to a non-technical audience; this 
should include benefits and/or contributions to management decision-
making;
    5. A list of entities, firms, or organizations that actually 
performed the work and a description of how the work was accomplished; 
and
    6. A detailed final accounting of all funds used to conduct 
research, including generation of project income resulting from sale of 
research set-aside quota. The financial information must be submitted 
on Office of Management and Budget Standard Form-269. Copies of this 
Standard Form may be found on the Internet in a PDF version at http://www.ofa.noaa.gov/grants/index.html (Grants Management Forms). Projects 
designed to collect new data for inclusion in NMFS' or ACCSP's 
databases must submit the data in electronic format with appropriate 
documentation. Certain databases will have highly specific requirements 
as to required fields and content. Researchers must agree to provide 
newly collected data in a format acceptable to the administrators of 
the receiving databases.

N. Other Requirements

    The Council staff will bear the primary responsibility for the 
evaluations of impacts associated with the research, including analysis 
of any requested regulatory waivers. However, researchers proposing 
research and/or compensation fishing that goes beyond the scope of 
analysis provided by the Council staff in the Council's annual 
specification packages shall be required to submit a Supplemental 
Environmental Assessment to obtain an EFP from NMFS. Should a 
researcher be required to submit a request for an EFP to NMFS such 
submission should be received by NMFS at least 60 days before the 
requested start date of the proposed research to allow for additional 
review and analysis. A final decision on the applicant's grant request 
for research quota will not be made until NMFS has approved the 
applicant's EFP request.

O. Other Requirements of Recipients

    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. However, please note that the Department of Commerce will 
not implement the requirements of Executive Order 13202 (66 FR 49921), 
pursuant to guidance issued by the Office of Management and Budget in 
light of a court opinion which found that the Executive Order was not 
legally authorized. See Building and Construction Trades Department v. 
Allbaugh, 172 F. Supp. 2d 138 (D.D.C. 2001). This decision is currently 
on appeal. When the case is resolved, the Department will provide 
further information on implementation of Executive Order 13202.

P. Disposition of unsuccessful applications.

    If an application is not selected, NOAA will return the proposal 
and related documents to the applicant.

Q. Other

    Pursuant to Executive Orders 12876, 12900, and 13021, the 
Department of Commerce, NOAA (DOC/NOAA) is 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. The DOC/NOAA 
vision, mission and goals are to achieve full participation by Minority 
Serving Institutions (MSIs) in order to advance the development of 
human potential, to strengthen the Nation's capacity to provide high-
quality education, and to increase opportunities for MSIs to 
participate in, and benefit from, Federal financial assistance 
programs. DOC/NOAA encourages all applicants to include meaningful 
participation of MSIs.
    DOC/NOAA supports cultural and gender diversity in our programs and 
encourages women and minority individuals and groups to submit 
applications.
    DOC/NOAA encourages applications from members of the fishing 
community, and applications that involve fishing community cooperation 
and participation.

Classification

    Prior notice and opportunity for public comments are not required 
by the Administrative Procedure Act or any other law for this notice 
concerning grants, benefits, and contracts (5 U.S.C. 553(a)(2)).
    Because a general notice of proposed rulemaking as specified in 5 
U.S.C. 533, or any other law, was not required for this action, the 
analytical requirements of the Regulatory Flexibility Act, 5 U.S.C. 601 
et seq., are not applicable.
    Applications under this program are not subject to the provisions 
of Executive Order 12372, ``Intergovernmental Review of Federal 
Programs.''
    This notice contains collection-of-information requirements subject 
to the Paperwork Reduction Act. The use of Standard Forms 269, 424, 
424A, 424B, and SF-LLL have been approved by OMB under the respective 
control numbers 0348-0039, 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.
    This action has been determined to be not significant for purposes 
of Executive Order 12866.

    Dated: March 19, 2002.
Rebecca Lent,
Deputy Assistant Administrator for Regulations National Marine 
Fisheries Service.
[FR Doc. 02-7134 Filed 3-22-02; 8:45 am]
BILLING CODE 3510-22-S