[Federal Register Volume 68, Number 74 (Thursday, April 17, 2003)]
[Notices]
[Pages 18953-18959]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-9491]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 030409080-3080-01; I.D. 031103D]
RIN 0648-ZB41


Financial Assistance for North Atlantic Right Whale Research 
Programs Through A Competitive Grants Program

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), U.S. Department of Commerce (DOC).

ACTION: Notice of solicitation for applications.

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SUMMARY: The National Marine Fisheries Service (NMFS)(hereinafter 
``we'' or ``us'') issues this document to solicit applications for 
Federal assistance under the North Atlantic Right Whale Grant Program 
(RWGP). This document describes how to submit applications for funding 
in FY 2003 under the Program and how we will determine which 
applications will be funded. Under the RWGP, we will provide financial 
assistance to eligible researchers working within waters inhabited by 
North Atlantic right whales and submitting applications pertaining only 
to this species. Applications will be reviewed for eligibility, 
technical merit, and consistency with the RWGP's goals and regional 
funding priorities. Final selection will be based on results of a peer 
review process (described below), as well as other restrictions based 
on appropriations language.

DATES: The application package must be postmarked by 5 p.m. (local 
time)June 16, 2003. The package must include: (1) one signed original 
of the entire application and all required forms, and (2) two signed 
copies of the entire application and all required forms (including 
supporting documentation). The applicant may also voluntarily submit an 
electronic copy (on CD or diskette in Microsoft Word v. 97 or earlier 
or WordPerfect v. 9 or lower) of the narrative project description.

ADDRESSES: All application packages should be sent to NOAA/NMFS Right 
Whale Grants Program, Protected Species Branch, Northeast Fisheries 
Science Center, 166 Water Street, Woods Hole, MA 02543, email 
[email protected].
    Federal forms and required elements of the application packages can 
be obtained from the NMFS Right Whale Grants Program webpage at http://www.nefsc.noaa.gov/psb/grantforms. We cannot accept completed 
applications via the Internet or facsimile at this time.

FOR FURTHER INFORMATION CONTACT: Dr Phillip J. Clapham, Northeast 
Fisheries Science Center, 166 Water Street, Woods Hole, MA 02543, 508 
495-2316, email [email protected].

SUPPLEMENTARY INFORMATION:

I. Introduction

    For fiscal year (FY) 2002, Congress directed that $1 million for 
right whale research be administered through a competitive grants 
program operated by the Northeast Consortium. For FY 2003 (and in 
future years if continued), this grant program will be administered by 
NMFS as the Right Whale Grants Program (hereafter referred to as the 
RWGP). This document describes how to submit applications for funding 
in FY 2003 under the RWGP and how we will determine which applications 
will be funded.

A. Background

    Management of marine mammal populations falls within the 
jurisdiction of the National Marine Fisheries Service (NMFS) under the 
Marine Mammal Protection Act (MMPA) of 1972 and, for some species, 
under the Endangered Species Act (ESA) of 1973. The agency is mandated 
to conserve the endangered species under its jurisdiction, and must 
undertake actions to prevent further decline of populations, facilitate 
their recovery, and safeguard the quality of their habitat.
    The North Atlantic right whale (Eubalaena glacialis) is among the 
world's most endangered cetaceans. The population is believed to number 
only about 300 individuals and appears to be declining. The lack of 
recovery is due in part to high mortality from human sources, notably 
fishing gear entanglements and vessel collisions. A Recovery Plan is in 
effect (NMFS 1991), and conservation of this species is a high priority 
for NMFS. Research directed at facilitating such conservation or to 
provide monitoring of the population's status and health, is also a 
high priority for the agency.
    The RWGP is conducted by the Secretary of Commerce to provide 
Federal assistance to eligible researchers for: (1) detection and 
tracking of right whales; (2) behavior of right whales in relation to 
ships; (3) relationships between vessel speed, size or design with 
whale collisions; (4) modeling of ship traffic along the Atlantic 
coast; (5) population monitoring and assessment studies; (6) 
reproduction, health and genetic studies; (7) development of a 
Geographic Information System database or other system designed to 
investigate predictive modeling of right whale distribution in relation 
to environmental variables; (8) habitat quality studies including food 
quality and pollutant levels; and (9) any other work relevant to the 
recovery of North Atlantic right whales. The RWGP is administered by 
the Protected Species Branch of the NOAA/NMFS Northeast Fisheries 
Science Center in Woods Hole, Massachusetts.

B. Objectives

    The principal objectives of the RWGP are to fund research or other 
activities that can provide information useful to management of North 
Atlantic right whales, with emphasis on understanding or mitigation of 
factors inhibiting the species' recovery.
    Successful applications will be those that have a high probability 
of providing novel information that can be used to monitor the status 
and health of the North Atlantic right whale population, or to improve 
management strategies aimed at reducing risk from human factors or at 
otherwise facilitating the population's recovery. Priority will be 
given to researchers with a demonstrated track record of publishing the 
results of previous work in the peer-reviewed scientific literature.

[[Page 18954]]

C. Funding

    This solicitation announces that a maximum of $2.0M may be 
available for distribution under the 2003 RWGP, in award amounts to be 
determined by the applications and available funds. There is no 
guarantee that sufficient funds will be available to make awards for 
all qualified projects. Publication of this notice does not oblige NOAA 
to award any specific project or to obligate any available funds. If 
one incurs any costs prior to receiving any award agreement signed by 
an authorized NOAA official, one would do so solely at one's own risk 
of these costs not being included under the award. There is no set 
minimum or maximum amount for any award.
    There is no limit on the number of applications that can be 
submitted by the same researcher during the 2003 competitive grant 
cycle. However, there are insufficient funds to award financial 
assistance to every applicant. Multiple applications submitted must 
clearly identify different projects and must be successful in the 
competitive review process.
    Other researchers may be identified as Co-Investigators or 
collaborators on as many RWGP applications as needed so long as the 
total of all support does not exceed 100 percent of their time. In 
addition, Department of Commerce may act as collaborators if they are 
responsible for performing analyses on data collected under a RWGP 
award. See section I.D. for Eligibility Requirements.
    There is no guarantee that sufficient funds will be available to 
make awards for all qualified projects. Publication of this notice does 
not oblige NOAA to award any specific project or to obligate any 
available funds. If an application for a financial assistance award is 
selected for funding, NOAA/NMFS has no obligation to provide any 
additional funding in connection with that award in subsequent years. 
However, multiple-year projects will be considered under the RWGP.
    Notwithstanding any verbal or written assurance that applicants 
have received, pre-award costs are not allowed under the award unless 
the Grants Officer approves them in accordance with 15 CFR 14.28.

D. Eligibility

    Eligible applicants are individuals, institutions of higher 
education, other nonprofits, commercial organizations, international 
organizations, foreign governments, organizations under the 
jurisdiction of foreign governments, and state, local and Indian tribal 
governments. Federal agencies, or employees of Federal agencies are not 
eligible to apply.
    We support cultural and gender diversity in our programs and 
encourage eligible women and minority individuals and groups to submit 
applications. Furthermore, we recognize the interest of the Secretary 
of Commerce in defining appropriate marine management policies and 
programs that meet the needs of the U.S. insular areas, so we also 
encourage applications from eligible individuals, government entities, 
universities, colleges, and businesses in U.S. insular areas as defined 
by the Marine Mammal Protection Act (MMPA) (section 3(14), 16 U.S.C. 
1362). This includes the Commonwealth of Puerto Rico, the U. S. Virgin 
Islands, American Samoa, Guam, and the Northern Mariana Islands.
    We are strongly committed to broadening the participation of 
Minority Serving Institutions (MSIs), which include Historically Black 
Colleges and Universities, Hispanic Serving Institutions, and Tribal 
Colleges and Universities, in our programs. The DOC/NOAA/NMFS vision, 
mission, and goals are to achieve full participation by MSIs, to 
advance the development of human potential, strengthen the Nation's 
capacity to provide high-quality education, and increase opportunities 
for MSIs to participate in and benefit from Federal financial 
assistance programs. Therefore, we encourage all eligible applicants to 
include meaningful participation of MSIs whenever practicable.
    NOAA/NMFS employees (whether full-time, part-time, or intermittent) 
are not allowed to help in the preparation of applications. NMFS staff 
are available to provide information regarding statistics on right 
whales, programmatic goals and objectives, ongoing marine mammal 
programs, Regional funding priorities, and, along with other Federal 
Program Officers, can provide information on application procedures and 
completion of required forms. Since this is a competitive program, NMFS 
and NOAA employees shall not provide assistance in conceptualizing, 
developing, or structuring applications, or write letters of support 
for any application. However, for activities that involve collaboration 
with current NMFS programs on North Atlantic right whales, employees of 
NMFS can write a letter verifying that they are collaborating with the 
project. Federal employee travel and salaries are not allowable costs 
under this program.

E. Permits and Approvals

    It is the applicant's responsibility to obtain all necessary 
Federal, state, and local government permits and approvals where 
necessary for the proposed work to be conducted.
    Applicants are expected to design their proposals so that they 
minimize the potential adverse impact on the environment. If 
applicable, documentation of requests or approvals of environmental 
permits must be included in the proposal package. These documents will 
help the NMFS staff determine if the application requires the 
preparation of an environmental assessment. Applications will be 
reviewed to ensure that they have sufficient environmental 
documentation to allow program staff to determine whether the proposal 
is categorically excluded from further NEPA analysis or whether an 
environmental assessment is necessary. For those applications needing 
an environmental assessment, affected applicants will be informed after 
the peer review stage and will be requested to assist in the 
preparation of a draft of the assessment (prior to award).
    If the proposed research involves intrusive research (50 CFR 
216.27(c)(6)) or an approach to within 500 yds of a right whale, the 
applicant must have submitted a complete MMPA/ESA scientific research 
and enhancement permit application before funding will be awarded. 
Intrusive research is defined under 50 CFR 216.3 as a procedure that 
involves: a break in or cutting of the skin or equivalent, insertion of 
an instrument or material into an orifice, introduction of a substance 
or object into the animals= immediate environment that is likely either 
to be ingested or to contact and directly affect animal tissues (i.e., 
chemical substances), or a stimulus directed at animals that poses a 
risk to the health or welfare of the animal or has the potential to 
impact normal function or behavior (e.g., audio broadcasts directed at 
animals that potentially affects behavior, brainstem auditory evoked 
responses, etc.).
    If proposed activities will take place within National Marine 
Sanctuaries, National Parks, National Seashores, and other Federally 
designated protected areas, it is the applicant's responsibility to 
request and obtain from the appropriate government agencies any 
necessary permits or letters of agreement prior to award.
    For further information on permit requirements and applications 
procedures for federal natural resource permits, contact the NMFS 
Office of Protected Resources or see http:// www.nmfs.noaa.gov/prot_res/PR1/Permits/pr1permits_types.html.

[[Page 18955]]

    Failure to apply for and/or obtain Federal, state, and local 
permits, approvals, letters of agreement, or failure to provide 
environmental analyses where necessary (i.e., NEPA environmental 
assessment) will also delay the award of funds if a project is 
otherwise selected for funding.

F. Duration and Terms of Funding

    Fiscal year 2003 awards under the RWGP will have a maximum project 
period of 3 years.
    If an applicant wishes to continue work on a project funded through 
this program beyond the project period and obligated award funds have 
not been expended by the end of this period, the applicant can notify 
the assigned Federal Program Officer 30 days prior to the end of the 
period to determine eligibility for a no-cost extension.
    If a application is selected for funding, we have no obligation to 
provide any additional future funding in connection with that award. 
Renewal of an award is totally at our discretion.

G. Cost Sharing

    Not applicable.

H. Catalog of Federal Domestic Assistance

    The RWGP will be listed in the ``Catalog of Federal Domestic 
Assistance'' under number 11.472, titled ``Unallied Science Programs''. 
This information should be included on the Application Form, 424, space 
10 (see section III, Application Instructions and Requirements, below).

I. Where to Send Applications

    All application packages should be sent to NOAA/NMFS Right Whale 
Grants Program, Protected Species Branch, Northeast Fisheries Science 
Center, 166 Water Street, Woods Hole, MA 02543, 508 495-2316, email 
[email protected].

J. Electronic Access Addresses

    This solicitation, complete application packages (including 
required Federal forms) with instructions and addresses for submission 
are available on the NMFS RWGP web page at http://www.nefsc.noaa.gov/psb/grantforms.

II. Funding Priorities

    For this solicitation, all applications must fall within at least 
one of the 9 following categories: (1) Detection and tracking of right 
whales; (2) Behavior of right whales in relation to ships; (3) 
Relationships between vessel speed, size or design with whale 
collisions; (4) Modeling of ship traffic along the Atlantic coast; (5) 
Population monitoring and assessment studies; (6) Reproduction, health 
and genetic studies; (7) Development of a Geographic Information System 
database or other system designed to investigate predictive modeling of 
right whale distribution in relation to environmental variables; (8) 
Habitat quality studies including food quality and pollutant levels; 
and (9) Any other work relevant to the recovery of North Atlantic right 
whales.
    You must select only one of the 9 categories that best fits your 
application. Since we recognize that some projects could be designed to 
meet more than one category, you should determine which category best 
fits the goals of your proposed project.
    The priorities are not listed in any particular order and each is 
of equal importance. Note that the purpose of the priority list is to 
guide applicants in application development by identifying those 
applications that will best compete during this grant cycle for these 
limited funds, and to provide technical reviewers with guidance for 
their evaluations. Applications will not be pooled or categorized by 
NMFS region, although regional funding priorities within NMFS may be a 
factor in the final ranking of applications.
    Details of funding priorities for each of the 9 categories are as 
follows:

1. Detection and Tracking of Right Whales

    Studies, including those involving passive or active acoustic 
tracking, as well as tagging or other telemetry, which improve 
knowledge of the distribution and movements of right whales in order to 
(among other things) better assess risks from ship-strike and fishing 
gear entanglements.

2. Behavior of Right Whales in Relation to Ships

    Investigations of behavior or other biological factors which govern 
the response of right whales to ships and thus may affect the 
likelihood that right whales will collide with, or successfully avoid, 
oncoming vessels. This component may also include experiments to assess 
the response of right whales to ship-avoidance deterrence methods (e.g. 
``alarm'' stimuli).

3. Relationships Between Vessel Speed, Size or Design with Whale 
Collisions

    Investigations (using modeling or any other means) of how collision 
risk varies with the speed, size or design of a ship.

4. Modeling or Other Studies of Ship Traffic Along the Atlantic Coast

    Investigations which provide novel information on patterns of ship 
traffic along the Atlantic coast of North America (U.S. and Atlantic 
Canada), in order to better assess, by area, the risk of collisions 
between ships and right whales.

5. Population Monitoring and Assessment Studies

    Field or modeling studies which provide data or analysis for 
monitoring/assessment of population size and trend, vital rates, 
population structure, or distribution.

6. Reproduction, Health and Genetic Studies

    Studies of the reproductive biology of right whales, of individual 
animal health (incorporating physiology, pathology or other methods), 
or of genetics (including but not limited to genetic diversity, 
population structure, effective population size, and paternity).

7. Development of a Geographic Information System Database or Other 
System Designed to Investigate Predictive Modeling of Right Whale 
Distribution in Relation to Environmental Variables

    Studies seeking to correlate right whale distribution and 
environmental variables in order to reliably predict future 
aggregations of right whales from remotely sensed (or other) 
environmental data.

8. Habitat Quality Studies Including Food Quality and Pollutant Levels

    Investigations of habitat quality, including abundance and quality 
of available prey resources, pollutant levels, and interactions of 
environmental variables with prey resources.

9. Any Other Work Relevant to the Recovery of North Atlantic Right 
Whales

    Studies or other projects on topics not specifically covered in 
Categories 1-8 above, but which have the potential to contribute 
important information about North Atlantic right whales or to enhance 
their recovery.

III. Application Instructions and Requirements

    The instructions in this document are designed to help applicants 
in preparing and submitting a application for Federal funding under the 
RWGP. All required federal forms, the narrative description of the 
budget and proposed project, and applicable supporting documentation 
must be complete and must follow the

[[Page 18956]]

format described here. One signed original and two signed copies of the 
complete application package must be submitted. The original 
application and copies should not be bound in any manner and must be 
printed on one side only. In addition, applicants may also voluntarily 
submit an electronic copy (on diskette or CD in Microsoft Word v. 97 or 
earlier or WordPerfect v. 9 or lower) of the narrative project 
description. The required unbound original and two copies, and the 
electronic copy (if the applicant wishes to submit one) must be sent to 
the address listed in section I.I of this document and postmarked by 
the submission deadline (see DATES) in order to be considered in the 
2003 competition. We are not required to screen applications before the 
submission deadline, nor do we have to give applicants an opportunity 
to correct any deficiencies leading to rejection. However, we strongly 
recommend early submission of applications in the event that we have 
the resources to pre-screen. Note that there will be no extensions of 
the deadline for application revisions and that any revised 
applications must be re-submitted by the original solicitation 
deadline.

A. Required Federal Forms

Cover Sheets
    SF-424 ``Application for Federal Assistance'' (``Catalog of Federal 
Domestic Assistance'' number is 11.472, and title is ``Unallied Science 
Programs'')
    SF-424B ``Assurances - Non-Construction Programs'' Project Budget
    SF-424A ``Budget Information - Non-Construction 
ProgramsCertifications and Disclosures
    CD-511 ``Certification Regarding Debarment, Suspension and Other 
Responsibility Matters; Drug-Free Workplace Requirements and Lobbying''
    SF-LLL ``Disclosure of Lobbying Activities'' (as required under 15 
CFR part 28)
    CD-346 ``Name Check''

B. Required Federal Forms for Construction Applications

    Not applicable.

C. Required Elements of all Project Applications

    You must follow the instructions in this document in order to apply 
for a grant under the RWGP. Your application must be complete and must 
follow the format described here. Your application must not be bound in 
any manner and must be printed on one side only. You must submit one 
signed original and two signed copies of your application. These 
unbound applications must be sent to the Application Addresses listed 
in Section I.I of this document by the application deadline (see 
DATES).
    Assistance in filling out required forms and avoiding common 
problems can be found on the NOAA Grants web site at http:// 
www.rdc.noaa.gov/grants/index.html. The RWGP web page at http://www.nefsc.noaa.gov/psb/grantforms has the forms necessary for applying 
for funds under the RWGP.
    A complete application package must include the following elements:
1. Cover Sheet
    Office of Management and Budget (OMB) Standard Forms 424 and 424B 
(4-92) or 424D must be the cover sheets for each application. To 
complete item 10 of Standard Form 424, the ``Catalog of Federal 
Domestic Assistance'' number is 11.472 and the title is ``Unallied 
Science Program''. For item 13 of Standard Form 424, a start date no 
earlier than 1 September 2003 should be selected.
2. Project Budget
    Each application must include clear and concise budget information, 
both on the required Federal forms, in summary and in narrative detail.
    Applications must use OMB standard form 424A, ``Budget Information 
- Non Construction Programs'' and associated form instructions.
    All instructions should be read before completing the appropriate 
form. Federal columns on these forms must be filled in completely and 
separately and the amounts per category and total amounts must 
correspond with the budget narrative and justification.
    On a separate sheet, describe and justify in narrative detail or on 
a spreadsheet the itemized costs per category and the corresponding 
direct and indirect cost totals. If the applicant currently has a 
negotiated indirect cost rate with the Federal Government, an amount 
for indirect costs can be included in the budget. Indirect costs are 
overhead costs for basic operational functions (e.g., lights, rent, 
water, insurance) that are incurred for common or joint objectives and, 
therefore, cannot be identified specifically within a particular 
project. Indirect costs can be included in the Federal cost as long as 
the method of calculation is clear and certain rules are followed. If 
indirect costs are included, the package should include a copy of the 
current, approved, negotiated indirect cost agreement with the Federal 
Government.
    We will not consider fees, fund-raising activities, travel for 
Federal employees, salaries for federal employees, or profits as 
allowable costs in the proposed budget. The total costs of a project 
consist of all allowable costs you incur in accomplishing project 
activities during the project period. A project begins on the effective 
date of an award agreement between you and the Grants Officer and ends 
on the date specified in the award. Accordingly, we cannot reimburse 
applicants for time expended or costs incurred in developing a project 
or preparing the application, or in any discussions or negotiations 
with us prior to the award. We will not accept such expenditures as 
part of your cost share.
3. Title Page
    A Title Page must be included for each project. The Title Page must 
list the project title, project duration (with a start date no earlier 
than 1 September 2003), applicant name, name of Principal Investigator 
or Contact, address and phone number of the Principal Investigator or 
Contact, the RWGP application category under which the project fits 
(see section II of this document), the project's objective(s), and a 
statement regarding the total costs of the project.
4. Project Summary
    In 6 sentences or less, briefly summarize: project goals and 
objectives as they relate to the RWGP application categories (i.e., 
Categories 1 to 9), Program goals; proposed activities; geographic area 
where activities would occur; and expected outcomes and benefits from 
the activities of the project. This summary will be posted on our 
website if the project is funded.
5. Narrative Project Description
    The narrative description of the proposed project must not exceed 
10 pages (not including curricula vitae, tables or figures, and 
supplemental documentation) and must be typed in Times New Roman size 
12 font and double-spaced. The narrative should demonstrate the 
applicant's knowledge of the need for the project, and show how the 
proposed project builds upon any past and current work in the subject 
area, as well as relevant work in related fields. Applicants should not 
assume that reviewers already know the relative merits of the project.
    The narrative project description must include each of the 
following elements in the order listed here:
    (a) Project goals and objectives (maximum 2 pages). Identify the 
RWGP goal, listed earlier in this document, to

[[Page 18957]]

which the project's goals and objective(s) correspond. Identify the 
problem/opportunity the project intends to address and describe its 
significance to the understanding and management of North Atlantic 
right whales. State expected project accomplishments.
    (b) Project management (maximum 3 pages, excluding resume and 
curricula vitae). Describe how the proposed project will be organized 
and managed (e.g., financial accounting systems to be used and point of 
contact responsible for managing those systems, etc.).
    The lead organization/individual and person listed as the technical 
contact, should be identified as the Principal Investigator. The 
Principal Investigator may or may not be the applicant. However, if the 
applicant is not the Principal Investigator, there must be an 
explanation of the relationship between the applicant and Principal 
Investigator (e.g., applicant will be responsible for managing the 
grant funds and the Principal Investigator will be responsible for 
completing the project milestones on time and within budget, etc.). One 
Principal Investigator must be designated on each project. If a 
Principal Investigator is not identified, we will return the 
application. Project participants or organizations that will have a 
significant role in conducting the project should be listed as Co-
investigators. Organizations or individuals that support the project, 
for example, researchers contributing data or materials, should be 
referred to as Cooperators. Copies of the Principal Investigator's and 
all Co-investigator's current resumes or curricula vitae must be 
included in the package's Supporting Documentation section. In 
addition, the proof of eligibility documents (see II.C.6. Supporting 
Documentation) provided and listed in the Supporting Documents section 
of the application must name the Principal Investigator and/or Co-
investigator. List any Federal awards the Principal Investigator and 
Co-investigators have received within the last five years and describe 
resultant products of such awards. Provide a statement of no more than 
one page on the qualifications and experience (e.g., resume or 
curriculum vitae) of consultants and/or subcontractors that are not 
named as Co-investigators and any Cooperators.
    Include copies of agreements between the Principal Investigator and 
other participants in the project, describing the specific activities 
each participant would perform. Include copies of any endorsements 
received from institutions related to this project.
    If any portion of the project will be conducted through consultants 
and/or subcontracts, procurement guidance found in 15 CFR part 24, 
``Grants and Cooperative Agreements to State and Local Governments,'' 
and 15 CFR part 14, ``Uniform Administrative Requirements for Grants 
and Agreements with Institutions of Higher Education, Hospitals, Other 
Non-Profit, and Commercial Organizations'' must be followed. Describe 
how provisions for competitive subcontracting will be met if 
applicable.
    (c) Project statement of work (maximum 6 pages). This is a 
narrative of the work plan that will ensure the proposed project's 
goals and objectives are met within the proposed award period. It 
should include detailed descriptions of activities, collaborators, 
milestones, and expected products resulting from a successfully 
completed project. The narrative should respond to the following 
questions:
    (1) What specific activities does the project include and how do 
these activities relate to the project's goals and objectives?
    (2) Who will be responsible for carrying out each activity? 
Highlight activities that will be conducted by Co-investigators or 
Cooperators, or by sub-contractors, volunteers, and others designated 
as Co-investigators or Cooperators. For all projects, highlight 
activities that will be subcontracted. Use of volunteer staff time to 
complete project activities and oversight of those volunteers should be 
discussed. The Principal Investigator is responsible for all technical 
oversight and implementation of the approved work plan as delineated in 
this Statement of Work.
    (3) What are the project milestones? List milestones, describing 
specific activities and associated time lines necessary to meet them. 
Describe the time lines in increments (e.g., month 1, month 2, etc.), 
rather than by specific dates. (d) What are the major outcomes, 
results, or products expected? Describe expected outcomes, results, or 
products that will directly relate to the RWGP goals (i.e., under 
Categories 1-9).
    (4) How will outcomes, results, or products be disseminated or 
shared? Describe how project outcomes, results or products will be 
disseminated to or shared with researchers, managers and other 
potential users.
    (5) Project impacts (maximum 1 page). Describe the potential 
impacts of this proposed project on the recovery of North Atlantic 
right whales. Identify any other potential project impacts.
    (6) Project performance evaluation (maximum 1 page). Specify the 
quantitative and/or qualitative criteria to be used in evaluating the 
relative success or failure of the project in achieving the stated 
project goals and objectives.
6. Supporting Documentation
    In order to be considered for an award in this funding cycle, the 
applicant must provide proof of eligibility documents. Applicants 
requiring MMPA/ESA scientific research and enhancement permits or a 
Letter of Authorization (LOA) to conduct work on entangled animals, 
must include evidence they have submitted a complete MMPA/ESA 
application or a copy of their LOA in this section.
    Applicants proposing activities that may require an environmental 
assessment under NEPA must include sufficient environmental analyses 
(i.e., permit documentation) to allow program staff to determine 
whether or not the proposal can be categorically excluded from further 
NEPA analysis.
    Curricula vitae or resumes of the Principals and Co-Investigators 
and all other required federal forms (i.e., CD-511, SF-LLL, CD-346) 
must be included here.
    Any other relevant documents and additional information that will 
help us to understand the proposed project and the problem/opportunity 
the project seeks to address should be included in this section.
    Supporting documents will not count as a part of the 10 page limit.

IV. Screening, Review, and Selection Procedures

    Screening, review, and selection procedures will take place in 3 
steps, described in detail in this section: initial screening, peer 
review, and final selection by the Selecting Official (i.e., the 
Science and Research Director, Northeast Fisheries Science Center). The 
peer review step will involve at least 3 individual reviewers per 
application. The Selecting Official will make the final decision 
regarding which applications will be funded based upon evaluations 
submitted by the peer reviewers as well as policy considerations such 
as costs, financial need, and duplication with other federally funded 
projects.

A. Initial Screening

    The initial screening will ensure that application packages have 
all required forms and application elements (listed below and in 
Section III), clearly relate to the 2003 RWGP, and meet all of the 
eligibility criteria identified in Section I.D of this document.
    Application packages received by the Protected Species Branch, 
Northeast Fisheries Science Center and

[[Page 18958]]

postmarked by the submission deadline will be screened to ensure that 
they: were postmarked by the due date (see DATES); include one original 
and 2 signed copies of the entire application package; include the 
correct OMB forms (424, 424A or 424D, and 424B) signed and dated (see 
section III.A and III.B of this document); identify a Principal 
Investigator and provide current resumes or curricula vitae for both 
the Principal and Co-Investigators (see section III.C); identify one of 
the 9 project categories (see section II); include application package 
elements 1 through 6 (see section III.C); and include MMPA or ESA 
permit application cover letters, and other environmental 
documentation, if applicable. Applications that pass this initial 
screening will be pooled based on the application category (i.e., 
Categories 1-9) identified by the applicant.
    Our ability to pre-screen is dependent upon the submission deadline 
and the availability of resources.

B. Peer Review

    After initial screening, a team of reviewers will be asked to 
independently evaluate applications in the reviewers' specific area of 
expertise for technical soundness and feasibility, and for relevance to 
the overall goals of the RWGP. The review results will be used to 
numerically rank the applications and provide comments on the technical 
aspects and Program relevance of each application.
    The Program category and proposed activities of each application 
will be used in selecting the most appropriate technical reviewers. 
Reviewers will include private and public sector experts by application 
category, and will include (but not necessarily be limited to) experts 
from fields such as marine mammal biology, conservation biology, 
population biology, reproductive biology, telemetry, modeling, 
genetics, statistics, marine ecology, oceanography, toxicology, 
veterinary medicine, pathology, marine affairs, fisheries biology, 
fisheries management, and marine mammal management. Each technical 
reviewer will be required to certify that they do not have a conflict 
of interest concerning the application(s) they are reviewing prior to 
their review.
    To determine the technical soundness and feasibility of each 
application, and its relevance to the RWGP goals, the reviewers will 
provide an independent review using the weighted criteria outlined in 
Section IV.C. below. Each application will be reviewed by at least 
three reviewers. No consensus advice will be given by the reviewers. On 
a scale of 0-100, the reviewers will score the application in each 
criterion. An average, weighted score will be generated from each 
review using the numeric score per criteria and the weights assigned to 
each criteria.

C. Review Criteria

1. Soundness of Project Goals, Objectives, and Activities
    Applications will be evaluated on clear identification of project 
goals and objectives and the ability to link those goals and objectives 
to project activities and the applicability of the project's goals and 
objectives to the RWGP goals. Reviewers should consider: the likelihood 
of meeting milestones and achieving anticipated results in the time 
line specified in the statement of work; the sufficiency of information 
to evaluate the project technically; if such information is sufficient, 
the strengths and/or weaknesses of the technical design relative to 
securing productive results; and if data collection is proposed, the 
inclusion of quality assurance considerations. the contribution of 
potential outcomes, results, or products to North Atlantic right whale 
biology and management; and, the amount of collaboration with other 
researchers in the right whale field. (Score = 1-50; Weight = 50 
percent)
2. Adequacy of Project Management
    The management of the project will be evaluated based on 
documentation of previous related experience and qualifications of the 
project's Principal Investigator, Co-investigator(s) and other 
personnel, including designated contractors, consultants, and 
Cooperators. Consideration will be made to previous awards received by 
the Principal Investigator and outcomes, results, or products (notably 
peer-reviewed scientific publications) resulting from such awards. 
(Score = 1-25; Weight = 25 percent)
3. Identification and Suitability of Project Performance Evaluation 
Methods
    Applications will be scored based on their clear identification of 
performance evaluation methods and the suitability of those methods for 
evaluating the success or failure of the project in terms of meeting 
its original goals and objectives. (Score = 1-10; Weight = 10 percent)
4. Justification, Clarity, and Allocation of Project Costs
    The proposed costs and overall budget of the project will be 
evaluated in terms of the work proposed. The itemized costs and the 
overall budget must be justified and allocated appropriately. (Score = 
1-15; Weight = 15 percent)
    Applicants proposing activities that may require an environmental 
assessment under NEPA must include sufficient environmental analyses to 
allow program staff to determine whether or not the proposal can be 
categorically excluded from further NEPA analysis. If insufficient 
documentation is provided or if proposals cannot be categorically 
excluded from NEPA review, the applicant will be notified after peer 
review that further information or an environmental assessment is 
necessary. Further documentation must be supplied immediately and the 
environmental assessments must be completed in time prior to the final 
consideration for funding.
    After applications have undergone peer review, NMFS Protected 
Species staff will summarize panel rankings by averaging the scores and 
prepare recommendations for funding to the Selecting Official (i.e. the 
Science and Research Director (SRD), Northeast Fisheries Science 
Center). Only those applications having an average weighted score 
higher than 60 points in the peer review will be considered for 
funding.
    In making recommendations to the Selecting Official, NMFS Protected 
Species staff generally recommend proposals in numerical rank order. 
They may make recommendations out of numerical rank order based upon a 
determination that the proposal satisfies one or more of the following 
factors: the potential value of the work to Program goals, NEPA review, 
and duplication with other federally funded or permitted projects.

D. Final Selection Procedures

    The Selecting Official may reject the recommendation for any 
proposal selected out of numerical order or accept the recommendation 
as submitted. If the recommendation is rejected, the Selecting Official 
will provide a rationale for his/her selection based on the potential 
value of the work to Program goals, the NEPA review, and duplication 
with other federally funded or permitted projects. As a result, funding 
may not necessarily be given to applications which receive the highest 
rankings in the peer review process.

E. Project Funding

    The final, exact amount of funds, the scope of work, and terms and 
conditions of a successful award will be determined in pre-award 
negotiations between the applicant and NOAA/

[[Page 18959]]

NMFS representatives. Applicants should not initiate any project in 
expectation of Federal funding until they receive a grant award 
document signed by an authorized NOAA official.
    Unsuccessful applications will be held by the Program Office for a 
period of one year from the date of receipt and then destroyed.

V. Administrative Requirements

    The Department of Commerce Pre-Award Notification of Requirements 
for Grants and Cooperative Agreements is contained in the Federal 
Register notice of October 1, 2001 (66 FR 49917), as amended by the 
Federal Register notice published on October 30, 2002 (67 FR 66109), is 
applicable to this solicitation. The notice advises applicants of their 
responsibilities as applicants for Federal assistance.
    If costs are incurred prior to receiving an award agreement signed 
by an authorized NOAA official, applicants do so solely at their own 
risk of not being reimbursed by the Government. Notwithstanding any 
verbal or written assurance that applicants have received, the 
Department of Commerce has no obligation to cover pre-award costs.

A. Obligations of Recipients (Successful Applicants)

    Applicants awarded a grant for a project must:
    1. Manage the day-to-day operations of the project, be responsible 
for the performance of all activities for which funds are granted, and 
be responsible for the satisfaction of all administrative and 
managerial conditions imposed by the award.
    2. Keep records sufficient to document any costs incurred under the 
award, and allow access to these records for audit and examination by 
the Secretary of Commerce, the Comptroller General of the United 
States, or their authorized representatives; and, submit financial 
status reports (SF 269) to NOAA's Grants Management Division in 
accordance with the award conditions.
    3. Submit annual reports, and for projects extending beyond a year, 
final reports within 90 days after completion of each project, to the 
individual identified as the NMFS Program Officer in the funding 
agreement. The final report must describe the project and include an 
evaluation of the work performed and the results and benefits in 
sufficient detail to enable us to assess the success of the completed 
project.
    We are committed to using available technology to achieve the 
timely and wide distribution of final reports to those who would 
benefit from this information. Therefore, we suggest (but do not 
require) that applicants submit final reports in electronic format for 
publication on the NMFS Protected Species Home Page. Should this prove 
impracticable, applicants must then submit three printed copies of the 
final report. Awardees can charge the costs associated with preparing 
and transmitting your final reports to the grant award.
    4. In addition to the final report, we require that successful 
applicants publish the results of their work in a timely fashion in the 
peer-reviewed scientific literature (except in specific cases where 
publication is not relevant to the nature of the proposed work). NMFS 
request that awardees submit any publications printed with award funds 
(such as manuals, surveys, etc.) to the NMFS Program Officer for 
dissemination to the public. Publications should be submitted either as 
three hard copies or in an electronic version.

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act (APA) or any other law for 
this notice concerning grants, benefits, and contracts (5 U.S.C. 
section 553(a)(2)).
    Because notice and comment is not required under the APA, a 
regulatory flexibility analysis is not required for purposes of the 
Regulatory Flexibility Act (5 U.S.C. section 601 et seq.
    This action has been determined to be not significant for purposes 
of Executive Order 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall any person be subject to a penalty for failure 
to comply with, a collection of information subject to the requirements 
of the Paperwork Reduction Act (PRA) unless that collection of 
information displays a currently valid OMB control number.
    This document contains collection-of-information requirements 
subject to the PRA. The use of Standard Forms 424, 424A, 424B, 424D, 
269, SF-LLL, and CD-436 have been approved by OMB under the respective 
OMB control numbers 0348-0043, 0348-0044, 0348-0040, 0348-0042, 0348-
0039, 0348-0046, and 0605-0001.

    Dated: April 11, 2003.
Rebecca Lent,
Deputy Assistant Administrator for Regulatory Programs for NOAA 
Fisheries, National Marine Fisheries Service.
[FR Doc. 03-9491 Filed 4-16-03; 8:45 am]
BILLING CODE 3510-22-S