[Federal Register Volume 63, Number 40 (Monday, March 2, 1998)]
[Notices]
[Pages 10191-10197]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-5184]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 960223046-8030-03; I.D. 012398C]
RIN 0648-ZA09
Financial Assistance for Research and Development Projects To
Strengthen and Develop the U.S. Fishing Industry
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Notification of solicitation for applications.
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SUMMARY: NMFS issues this document describing the conditions under
which applications will be accepted under the Saltonstall-Kennedy (S-K)
Grant Program and how NMFS will select applications for funding.
The S-K Grant Program assists eligible applicants in carrying out
research and development projects that address various aspects of U.S.
fisheries (commercial or recreational), including, but not limited to,
harvesting, processing, marketing, and associated infrastructures.
DATES: Applications must be received by close of business May 1, 1998,
in one of the offices listed in ADDRESSES. Applicants must submit one
signed original and nine signed copies of the completed application
(including supporting information). No facsimile applications will be
accepted.
ADDRESSES: Application packages can be obtained from, and completed
applications sent to any office listed below:
Regional Administrator, Northeast Region, NMFS, One Blackburn
Drive, Gloucester, MA 01930; telephone: (978) 281-9267.
Regional Administrator, Southeast Region, NMFS, Koger Bldg., 9721
Executive Center Drive, North, St. Petersburg, FL 33702; telephone:
(813) 570-5324.
Regional Administrator, Southwest Region, NMFS, 501 West Ocean
Boulevard, Suite 4200, Long Beach, CA 90802-4213; telephone: (562) 980-
4033.
Regional Administrator, Northwest Region, NMFS, BIN C15700, 7600
Sand Point Way, N.E., Seattle, WA 98115; telephone: (206) 526-6115.
Regional Administrator, Alaska Region, NMFS, P.O. Box 21668,
Juneau, AK 99802, or Federal Building, 709 West 9th Street, 4th Floor,
Juneau, AK 99801; telephone: (907) 586-7224.
In addition, this solicitation and the application package are
available on the NMFS S-K Home Page at: www.nmfs.gov/sfweb/skhome.html.
FOR FURTHER INFORMATION CONTACT: Alicia L. Jarboe, S-K Program Manager,
(301) 713-2358.
SUPPLEMENTARY INFORMATION:
I. Introduction
A. Background
The S-K Act, as amended (15 U.S.C. 713c-3), provides that a fund
(known as the S-K fund) will be used by the Secretary of Commerce to
provide grants or cooperative agreements for fisheries research and
development projects addressed to any aspect of U.S. fisheries,
including, but not limited to, harvesting, processing, marketing, and
associated infrastructures. U.S. fisheries 1 include any
fishery,
[[Page 10192]]
commercial or recreational, that is or may be engaged in by citizens or
nationals of the United States, or citizens of the Northern Mariana
Islands, the Republic of the Marshall Islands, Republic of Palau, and
the Federated States of Micronesia.
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\1\ For purposes of this document, a fishery is defined as one
or more stocks of fish, including tuna, and shellfish that are
identified as a unit based on geographic, scientific, technical,
recreational and economic characteristics, and any and all phases of
fishing for such stocks. Examples of a fishery are Alaskan
groundfish, Pacific whiting, New England whiting, and eastern
oysters.
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The funding priorities of the S-K Grant Program have evolved over
the years since the program began in 1980. The original focus of the
program was on development of underutilized fisheries within the U.S.
Exclusive Economic Zone (EEZ). The Magnuson-Stevens Fishery
Conservation and Management Act (Magnuson-Stevens Act), originally
passed in 1976, directed NMFS to provide the domestic fishing industry
priority access to the fishery resources in the EEZ. In an attempt to
accelerate development of domestic fisheries, the American Fisheries
Promotion Act of 1980 amended the
S-K Act to stimulate commercial and recreational fishing efforts in
underutilized fisheries.
In the ensuing years, the efforts to Americanize the fisheries were
successful to the point that most nontraditional species were fully
developed and traditional fisheries became overfished. Therefore, the
S-K Program priorities evolved to include a wide range of resource
conservation and management issues and aquaculture.
In 1993, NOAA developed a long-range Strategic Plan that included a
focus on rebuilding fisheries for sustainable use. The NOAA Strategic
Plan strengthened the basis for the continued shift in the priorities
of the S-K Program toward issues such as overfishing and bycatch
reduction.
The NOAA Fisheries Strategic Plan, produced by NMFS in 1997,
continues to emphasize management for the sustainable use of living
marine resources. The NOAA Fisheries Strategic Plan will guide NMFS
marine resource management decisions over the next 5 years. It includes
objectives to maintain healthy stocks; eliminate overfishing and
rebuild overfished stocks; increase long-term economic and social
benefits from living marine resources; promote environmentally sound
aquaculture development; recover protected species; reduce conflicts
involving protected species; and protect, conserve, and restore
habitat/biodiversity.
Passage in 1996 of the Sustainable Fisheries Act (Public Law 104-
297), which amended the Magnuson-Stevens Act, supported further
adjustment to the S-K Program to address the current condition of
fisheries.
The Magnuson-Stevens Act recognizes that U.S. fisheries face many
problems. It also recognizes the adverse effects of fishing in terms of
bycatch of nontarget species, and habitat impacts. The Magnuson-Stevens
Act requires that overfishing be stopped and that the problems of U.S.
fisheries be corrected. Specifically, the Magnuson-Stevens Act requires
NMFS to undertake efforts to prevent overfishing, rebuild overfished
fisheries, insure conservation, protect essential fish habitats, and
realize the full potential of U.S. fishery resources. However, the
Magnuson-Stevens Act also acknowledges the potential adverse impacts on
people in making such corrections. Therefore, it requires that
conservation and management measures, consistent with conservation
requirements of the Magnuson-Stevens Act, take into account the
importance of fishery resources to fishing communities in order to
provide for the sustained participation of such communities and, to the
extent practicable, minimize adverse economic impacts on such
communities. A ``fishing community'' is defined in the Magnuson-Stevens
Act as ``a community which is substantially dependent on or
substantially engaged in the harvest or processing of fishery resources
to meet social and economic needs, and includes fishing vessel owners,
operators, and crew and United States fish processors that are based in
such community.'' (16 U.S.C. 1802 (16).)
The 1999 S-K Grant Program announced under this notification will
address the needs of fishing communities in optimizing economic
benefits within the context of rebuilding and maintaining sustainable
fisheries and in dealing with the impacts of conservation and
management measures. The funding priorities listed under section II of
this notification identify areas of research and development that
relate to these needs. The scope of this program is limited to marine
species and Great Lakes species.
While the S-K Program continues to be open to applicants from a
variety of sectors, including industry, academia, and state and local
governments, successful applicants will be those whose projects
demonstrate significant direct benefits to fishing communities.
B. Funding
NMFS issues this document to solicit applications for Federal
assistance, pursuant to 15 U.S.C. 713c-3(c), describing the conditions
under which applications will be accepted under the S-K Grant Program
and how NMFS will select the applications it will fund.
This notification is published subject to, and funding of projects
is contingent upon, the appropriation of funds by Congress for this
program in Fiscal Year (FY) 1999, which begins on October 1, 1998. The
Administration's request for the S-K Grant Program for FY 1999 is $4
million.
Funding under the program will be provided for research,
development, and technology transfer activities that address the
funding priorities listed in section II. Funding will not be provided
for projects that primarily involve infrastructure construction, port
and harbor development, and start-up or operational costs for private
business ventures. Furthermore, projects primarily involving data
collection should be directed to a specific problem or need and be of a
fixed duration, not of a continuing nature, in order to be considered.
C. Catalogue of Federal Domestic Assistance
The S-K Grant Program is listed in the ``Catalogue of Federal
Domestic Assistance'' under number 11.427, Fisheries Development and
Utilization Research and Development Grants and Cooperative Agreements
Program.
II. Funding Priorities
Applicants should insure that their proposals address one of the
following priorities as they pertain to marine or Great Lakes species.
If more than one priority is selected, the priority that most closely
reflects the objectives of the proposal should be listed first in the
application.
The priorities are stated here in no particular order.
A. Minimize Interactions Between Fisheries and Protected or Non-
Targeted Species
Develop methods to eliminate or reduce adverse interactions between
fishing operations and nontargeted, protected, or prohibited species
(e.g., juvenile or sublegal-sized fish and shellfish, females of
certain crabs, marine turtles, seabirds, or marine mammals), including
the inadvertent take, capture, or destruction of such species.
Conduct research on behavioral responses of both target and
nontarget marine organisms to fishing gear and practices, including
catch and release, in order to facilitate the design of gear and
practices to actively avoid nontarget organisms.
Develop methods to improve the survivability of fish discarded or
[[Page 10193]]
intentionally released and protected species released in fishing
operations, including modifications in gear, fishing practices, and
handling practices to reduce the detrimental effects of capture and/or
release, and develop methods to assess both the immediate and delayed
mortality associated with capture and/or release.
Develop reliable methods to assess or record the extent and
composition of fisheries bycatch, especially onboard vessels, to reduce
the need for labor-intensive and expensive onboard observer programs.
B. Rebuild Overfished Fisheries/Maintain Healthy Fish Stocks
Develop scientific information, plans, procedures, and methods that
contribute to the rebuilding of overfished fisheries, including
information on status of overfished stocks, prototype capacity
reduction programs, and projects that facilitate the development of
rebuilding plans for fisheries.
Conduct biological, economic, social, and other studies to support
the development of sound management practices for important
recreational and commercial species.
Develop alternative or innovative approaches to decrease mortality
from catch and release fishing.
Develop innovative approaches to address the transition of fishing
communities affected by declines in traditional commercial or
recreational fisheries toward alternate employment, activities, or new
business opportunities. These may include business planning or
demonstration projects. However, the S-K Program does not cover
business start-up and development expenses or ongoing operational
expenses for individuals or individual companies.
Develop innovative approaches to improve fisheries management,
including but not limited to, assessment of alternative management
systems and resolution of user conflicts.
C. Obtain Maximum Social and Economic Benefits from Harvestable Marine
Resources
Contribute to the development of commercial and recreational
fisheries for underutilized or non-utilized species of potential
economic importance, while maintaining long-term sustainability.
Optimize the utilization of harvestable resources through
innovations in how such resources are targeted, harvested, processed,
marketed, or released.
Develop marketable products from economic discards, either whole
fish discarded because they are an undesirable species, size, or sex,
or parts of fish discarded as not commercially useful.
Develop improved approaches to control environmental hazards which
affect fishery resource health and the safety of harvested fish and
their products for human consumption.
D. Promote Aquaculture Development in the Marine Environment
Develop or demonstrate cost-effective approaches for advancing
environmentally sound public and private mariculture for food,
enhancement, industrial, and other purposes.
Develop and evaluate culture systems that reduce the potential for
negative impacts on wild stocks and protected resources.
Develop models for aquaculture regulation that address the
impediments to development caused by current regulatory processes.
E. Conserve and Enhance Essential Fish Habitat
Develop and test procedures to characterize the condition of
essential fish habitat (such as water quality criteria, indicators of
biological integrity, and biodiversity).
Develop scientific approaches to assess and reduce human induced
impacts on essential fish habitat.
If proposals received do not adequately respond to the above listed
priorities, NMFS may carry out, in addition to the program announced by
this document, a national program of research and development addressed
to aspects of U.S. fisheries pursuant to section 713c-3(d) of the S-K
Act, as amended.
III. How to Apply
A. Eligible Applicants
Applications for grants or cooperative agreements for fisheries
research and development projects may be made, in accordance with the
procedures set forth in this document, by:
1. Any individual who is a citizen or national of the United
States;
2. Any individual who is a citizen of the Northern Mariana Islands
(NMI), being an individual who qualifies as such under section 8 of the
Schedule on Transitional Matters attached to the constitution of the
NMI;
3. Any individual who is a citizen of the Republic of the Marshall
Islands, Republic of Palau, or the Federated States of Micronesia; or
4. Any corporation, partnership, association, or other non-Federal
entity, non-profit or otherwise, if such entity is a citizen of the
United States or NMI, within the meaning of section 2 of the Shipping
Act, 1916, as amended (46 U.S.C. app. 802).
DOC/NOAA/NMFS are committed to cultural and gender diversity in
their programs and encourage women and minority individuals and groups
to submit applications. Recognizing the interest of the Secretaries of
Commerce and Interior in defining appropriate fisheries policies and
programs that meet the needs of the U.S. insular areas, applications
from individuals, government entities, and businesses in U.S. insular
areas are also encouraged. Furthermore, NMFS encourages applications
from members of the fishing community, and applications that involve
fishing community cooperation and participation. The extent of fishing
community involvement will be considered by the Constituent Panel(s)
evaluating the potential benefit of funding a proposal.
DOC/NOAA/NMFS employees, including full-time, part-time, and
intermittent personnel are not eligible to submit an application under
this solicitation or aid in the preparation of an application, except
to provide information on program goals, funding priorities,
application procedures, and completion of application forms. Since this
is a competitive program, NMFS employees will not provide assistance in
conceptualizing, developing, or structuring proposals, or write letters
of support for a proposal.
Employees of Federal agencies, and Regional Fishery Management
Councils and their employees, are not eligible to submit an application
under this solicitation.
B. Duration and Terms of Funding
Generally, grants or cooperative agreements are awarded for a
period of 1 year but no more than 18 months at a time.
If an application for an award is selected for funding, NMFS has no
obligation to provide any additional prospective funding in connection
with that award in subsequent years. Any subsequent proposal to
continue work on an existing project must be submitted to the
competitive process for consideration and will not receive preferential
treatment. Renewal of an award to increase funding for an additional
period is at the discretion of Commerce.
Publication of this announcement does not obligate NMFS to award
any specific grant or cooperative agreement or to obligate any part or
the entire amount of funds available.
[[Page 10194]]
C. Cost-Sharing
For this solicitation, NMFS is requiring cost-sharing in order to
leverage limited funds and to encourage partnerships among government,
industry, and academia to address the needs of fishing communities. A
minimum of 10 percent up to a maximum of 50 percent cost-share is
required. (NMFS must contribute at least 50 percent of total project
costs, as provided by statute.) Applications that do not provide for at
least the minimum cost-share will be returned to the applicant and will
not receive further consideration.
The non-Federal share may include funds received from private
sources or from state or local governments or the value of in-kind
contributions. Federal funds may not be used to meet the non-Federal
share except as provided by Federal statute. In-kind contributions are
non-cash contributions provided by the applicant or non-Federal third
parties. In-kind contributions may be in the form of, but are not
limited to, personal services rendered in carrying out functions
related to the project, and permission to use real or personal property
owned by others (for which consideration is not required) in carrying
out the project.
The appropriateness of all cost-sharing proposals, including the
valuation of in-kind contributions, will be determined on the basis of
guidance provided in the relevant Office of Management and Budget (OMB)
Circulars. In general, the value of in-kind services or property used
to fulfill the applicant's cost-share will be the fair market value of
the services or property. Thus, the value is equivalent to the costs of
obtaining such services or property if they had not been donated.
Appropriate documentation must exist to support in-kind services or
property used to fulfill the applicant's cost-share.
The degree to which cost-sharing exceeds the minimum level may be
taken into account by the NOAA Assistant Administrator for Fisheries
(AA) in the final selection of projects to be funded. Applicants whose
proposals are selected for funding will be obligated to account for the
amount of cost-share reflected in the award documents.
D. Format
Project applications must be clearly and completely submitted in
the following format:
1. Cover sheet. An applicant must use OMB Standard Form 424 and
424B (4-92) as the cover sheet for each project. (In completing item 16
of Standard Form 424, see section V.A.5. of this document.)
2. Project Summary. An applicant must complete NOAA Form 88-204
(10-95), Project Summary, for each project. The specific priority
contained in section II of this document to which the application
responds must be listed on the Project Summary.
3. Project Budget. A budget must be submitted for each project,
using NOAA Form 88-205 (10-95), Project Budget and associated
instructions. The applicants must submit detailed cost estimates
showing total project costs. Cost-sharing must be indicated as Federal
and non-Federal shares, divided into cash and in-kind contributions. To
support the budget, the applicant must describe briefly the basis for
estimating the value of the cost-sharing derived from in-kind
contributions. Estimates of the direct costs must be specified in the
categories listed on the Project Budget form.
The budget may also include an amount for indirect costs if the
applicant has an established indirect cost rate with the Federal
government. The total dollar amount of the indirect costs proposed in
an application under this program must not exceed the indirect cost
rate negotiated and approved by a cognizant Federal agency prior to the
proposed effective date of the award, or 100 percent of the total
proposed direct costs dollar amount in the application, whichever is
less. The Federal share of the indirect costs may not exceed 25 percent
of the total proposed direct costs. Applicants with approved indirect
cost rates above 25 percent of the total proposed direct costs may use
the amount above the 25-percent level up to the 100-percent level as
part of the non-Federal share. A copy of the current, approved,
negotiated indirect cost agreement with the Federal government must be
included in the application.
NMFS will not consider fees or profits as allowable costs for
applicants.
The total costs of a project consist of all allowable costs
incurred, including the value of in-kind contributions, in
accomplishing project objectives during the life of the project. A
project begins on the effective date of an award agreement between the
applicant and an authorized representative of the U.S. Government and
ends on the date specified in the award. Accordingly, the time expended
and costs incurred in either the development of a project or the
financial assistance application, or in any subsequent discussions or
negotiations prior to award, are neither reimbursable nor recognizable
as part of the cost-share.
4. Narrative Project Description. The narrative project description
may be up to 15 pages in length. The narrative should demonstrate
knowledge of relevant research and development activity, and
demonstrate how the proposal builds upon any past and current work in
the subject area, as well as relevant work in related fields. Each
project must be described as follows:
a. Project goals and objectives. Identify the problem/opportunity
to be addressed by the proposed project and what the project is
expected to accomplish. Identify the specific priority to which the
project responds. Indicate the size and economic value of the fisheries
involved and the fishing community affected. If the application is for
the continuation of a project previously funded under the S-K Program,
describe in detail the progress to date and explain why additional
funding is necessary.
b. Project impacts. Describe the anticipated impacts of the project
on fishing communities in terms of reduced bycatch, increased product
yield, or other measurable factors. Describe how the results of the
project will be made available to the public.
c. Evaluation of project. Specify the criteria and procedures that
will be used to evaluate the relative success or failure of a project
in achieving its objectives.
d. Need for government financial assistance. Explain why government
financial assistance is needed for the proposed work. List all other
sources of funding that are being or have been sought for the project.
e. Participation by persons or groups other than the applicant.
Describe the participation by government and non-government entities,
particularly members of fishing communities, in the project, and the
nature of such participation.
f. Federal, state, and local government activities and permits.
List any existing Federal, state, or local government programs or
activities that this project would affect, including activities
requiring certification under state Coastal Zone Management Plans,
those requiring section 404 or section 10 permits issued by the Corps
of Engineers, those requiring experimental fishing or other permits
under fishery management plans, and those requiring scientific permits
under the Endangered Species Act and/or the Marine Mammal Protection
Act. Describe the relationship between the project and these plans or
activities, and list names and addresses of persons providing this
information.
g. Project statement of work: The statement of work is an action
plan of activities to be conducted during the
[[Page 10195]]
period of the project. This section requires the applicant to prepare a
detailed narrative, fully describing the work to be performed that will
achieve the previously articulated goals and objectives. The narrative
should respond to the following questions:
(1) What is the project design? What specific work, activities,
procedures, statistical design, or analytical methods will be
undertaken?
(2) Who will be responsible for carrying out the various
activities? (Highlight work that will be subcontracted and provisions
for competitive subcontracting.)
(3) What are the major products?
A milestone chart must be included which graphically illustrates
the specific activities and associated time lines to conduct the scope
of work. Time lines should be described in increments (e.g., month 1,
month 2), rather than by specific dates. The individual(s) responsible
for the various specific activities shall be identified.
Because this information is critical to understanding and reviewing
the application, NMFS encourages applicants to provide sufficient
detail. Applications lacking sufficient detail may be eliminated from
further consideration.
h. Project management. Describe how the project will be organized
and managed. Identify the principal participants in the project and
include copies of any agreements between the participants and the
applicant describing the specific tasks to be performed. Provide a
statement of the qualifications and experience (e.g., resume or
curriculum vitae) of the principal investigator(s) and any consultants
and/or subcontractors, and indicate their level of involvement in the
project. If any portion of the project will be conducted through
consultants and/or subcontracts, applicants must follow procurement
guidance in 15 CFR part 24, ``Grants and Cooperative Agreements to
State and Local Governments,'' and OMB Circular A-110 for Institutions
of Higher Education, Hospitals, and Other Non-Profit Organizations.
Commercial organizations and individuals who apply should use OMB
Circular A-110. If a consultant and/or subcontractor is selected prior
to application submission, indicate the process used for selection.
5. Supporting documentation. This section should include any
required documents and any additional information necessary or useful
to the description of the project. The amount of information given in
this section will depend on the type of project proposed.
IV. Evaluation Criteria and Selection Procedures
A. Evaluation of Proposed Projects
1. Initial Screening of Applications
Upon receipt NMFS will screen applications for conformance with
requirements set forth in this document. Applications that do not
conform to the requirements may not be considered for further
evaluation. In addition, proposals from ineligible applicants or those
seeking funds primarily for infrastructure development and business
costs will not be considered and will be returned to the applicant.
2. Consultation with Interested Parties
As appropriate, NMFS will consult with NMFS Offices, the NOAA
Grants Management Division (GMD), Commerce and other Federal and state
agencies, the Regional Fishery Management Councils, and other
interested parties who may be affected by or have knowledge of a
specific proposal or its subject matter.
3. Technical Evaluation
NMFS will solicit individual technical evaluations of each project
application from three or more appropriate private and public sector
experts. These reviewers will assign scores ranging from a minimum of
60 (poor) to a maximum of 100 (excellent) to applications based on the
following evaluation criteria, with weights shown in parentheses:
a. Soundness of project design/conceptual approach. Applications
will be evaluated on the fishing community need(s) to be addressed by
the project; the conceptual approach; whether the applicant provided
sufficient information to evaluate the project technically; and, if so,
the strengths and/or weaknesses of the technical design relative to
securing productive results. (50 percent)
b. Project management and experience and qualifications of
personnel. The organization and management of the project, and the
project's principal investigator and other personnel in terms of
related experience and qualifications will be evaluated. The principal
investigator must be identified in order for the application to be
accepted. (25 percent)
c. Project evaluation. The effectiveness of the applicant's
proposed methods to monitor and evaluate the success or failure of the
project in terms of meeting its original objectives will be examined.
(10 percent)
d. Project costs. The justification and allocation of the budget in
terms of the work to be performed will be evaluated. Unreasonably high
or low project costs will be taken into account. (15 percent)
In addition to the above criteria, in reviewing applications that
include consultants and contracts, NMFS will make a determination
regarding the following:
(1) Is the involvement of the primary applicant necessary to the
conduct of the project and the accomplishment of its objectives?
(2) Is the proposed allocation of the primary applicant's time
reasonable and commensurate with the applicant's involvement in the
project?
(3) Are the proposed costs for the primary applicant's involvement
in the project reasonable and commensurate with the benefits to be
derived from the applicant's participation?
4. Constituent Panel(s)
After the technical evaluation, individual comments will be
solicited from a panel or panels of three or more representatives
selected by the AA, from the fishing industry, state government, and
others, as appropriate, to evaluate and rank the projects. Considered
in the rankings, along with the technical evaluation, will be the
significance of the problem or opportunity addressed in the project and
the degree of involvement by fishing community members. Each panelist
will rank the projects in terms of importance or need for funding, and
provide recommendations on the level of funding NMFS should award and
the merits of funding each project.
B. Selection Procedures and Project Funding
After projects have been evaluated and ranked, the reviewing NMFS
offices will develop recommendations for project funding. These
recommendations will be submitted to the AA who will determine the
projects to be funded, ensuring that there is no duplication with other
projects funded by NOAA or other Federal organizations, and that the
projects selected for funding are those that best meet the objectives
of the S-K Grant Program.
The exact amount of funds awarded to a project will be determined
in preaward negotiations between the applicant and NOAA/NMFS
representatives. The funding instrument (grant or cooperative
agreement) will be determined by NOAA GMD. Projects should not be
initiated in expectation of Federal funding until a notice of award
document is received.
[[Page 10196]]
V. Administrative Requirements
A. Obligation of the Applicant
An Applicant 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, upon request, to respond to questions during the
review and evaluation of the proposal(s).
3. Complete Form CD-511, ``Certification Regarding Debarment,
Suspension and Other Responsibility Matters; Drug-Free Workplace
Requirements and Lobbying.'' The following explanations are provided:
a. Nonprocurement debarment and suspension. Prospective
participants (as defined at 15 CFR part 26, section 105) are subject to
15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the
related section of the certification form prescribed above applies;
b. Drug-free workplace. Grantees (as defined at 15 CFR part 26,
section 605) are subject to 15 CFR part 26, subpart F, ``Governmentwide
Requirements for Drug-Free Workplace (Grants),'' and the related
section of the certification form prescribed above applies;
c. Anti-lobbying. Persons (as defined at 15 CFR part 28, section
105) are subject to the lobbying provisions of 31 U.S.C. 1352,
``Limitation on Use of Appropriated Funds to Influence Certain Federal
Contracting and Financial Transactions,'' and the lobbying section of
the certification form prescribed above applies to applications/bids
for grants, cooperative agreements, and contracts for more than
$100,000, and loans and loan guarantees for more than $150,000; and
d. Anti-lobbying disclosures. Any applicant who has paid or will
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of
Lobbying Activities,'' as required under 15 CFR Part 28, appendix B.
4. If applicable, require applicants/bidders for subgrants,
contracts, subcontracts, or other lower tier covered transactions at
any tier under the award to submit a completed Form CD-512,
``Certifications Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' and
disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form CD-
512 is intended for the use of recipients and should not be transmitted
to Commerce. An SF-LLL submitted by any tier recipient or subrecipient
should be submitted to Commerce in accordance with the instructions
contained in the award document. This requirement applies only to
applicants whose applications are recommended for funding. All required
forms will be provided to successful applicants.
5. Complete item 16 on Standard Form 424 (4-92) regarding clearance
by the State Point Of Contact (SPOC) established as a result of E.O.
12372. A list of SPOCs may be obtained from any of the NMFS offices
listed in this document (see ADDRESSES), and is also included in the
``Catalog of Federal Domestic Assistance.''
6. Complete Standard Form 424B (4-92), ``Assurances--Non-
construction Programs.''
B. Obligations of Successful Applicants (Recipients)
A recipient of a grant award 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 records for audit and examination by the
Secretary of Commerce, the Comptroller General of the United States, or
their authorized representatives; and, submit financial status reports
(SF 269) to GMD in accordance with the award conditions.
3. Submit semiannual project status reports on the use of funds and
progress of the project to NMFS within 30 days after the end of each 6-
month period. These reports will be submitted to the individual
specified 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 performed and the results
and benefits in sufficient detail to enable NMFS to assess the success
of the completed project.
NMFS is committed to using available technology to achieve the
timely and wide distribution of final reports to those who would
benefit from this information. Therefore, recipients are required to
submit final reports in electronic format, in accordance with the award
terms and conditions, for publication on the NMFS Home Page. Costs
associated with preparing and transmitting final reports to NMFS in
electronic format are appropriately funded from the grant award.
Requests for exemption from this requirement may be considered by NMFS
on a case-by-case basis.
Formats for the semiannual and final reports, which have been
approved by OMB, will be provided to successful applicants.
5. In order for NMFS to assist the grantee in disseminating
information, the grantee is requested to submit all publications
printed with grant funds (in addition to the final report in section
V.B.4. above) to the NMFS Program Officer. Either three hard copies or
an electronic version of any such publications should be submitted.
C. Other Requirements
1. Federal policies and procedures. Recipients and subrecipients
are subject to all Federal laws and Federal and Commerce policies,
regulations, and procedures applicable to Federal financial assistance
awards.
2. Name check review. All recipients are subject to a name check
review process. Name checks are intended to reveal if any key
individuals associated with the recipient have been convicted of, or
are presently facing, criminal charges such as fraud, theft, perjury,
or other matters that significantly reflect on the recipient's
management, honesty, or financial integrity.
3. Financial management certification/preaward accounting survey.
Successful applicants for S-K funding, at the discretion of the NOAA
Grants Officer, may be required to have their financial management
systems certified by an independent public accountant as being in
compliance with Federal standards specified in the applicable OMB
Circulars prior to execution of the award. Any first-time applicant for
Federal grant funds may be subject to a preaward accounting survey by
Commerce prior to execution of the award.
4. Past performance. Unsatisfactory performance under prior Federal
awards may result in an application not being considered for funding.
5. Delinquent Federal debts. No award of Federal funds shall be
made to an applicant or to its subrecipients who have an outstanding
delinquent Federal debt or fine until either:
a. The delinquent account is paid in full,
b. A negotiated repayment schedule is established and at least one
payment is received, or
c. Other arrangements satisfactory to Commerce are made.
6. Buy American. Applicants are hereby notified that they are
encouraged to the extent feasible to purchase American-made equipment
and
[[Page 10197]]
products with the funding provided under this program.
7. Preaward activities. If applicants incur any costs prior to an
award being made, they do so solely at their own risk of not being
reimbursed by the Government. Notwithstanding any verbal or written
assurance that may have been received, there is no obligation on the
part of Commerce to cover preaward costs.
8. False statements. A false statement on the application is
grounds for denial or termination of funds and grounds for possible
punishment by a fine or imprisonment (18 U.S.C. 1001).
Classification
Prior notice and an opportunity for public comments are not
required by the Administrative Procedure Act or any other law for this
notification concerning grants, benefits, and contracts.
Furthermore, a regulatory flexibility analysis is not required for
purposes of the Regulatory Flexibility Act.
This action has been determined to be not significant for purposes
of E.O. 12866.
Applications under this program are subject to Executive Order
12372, ``Intergovernmental Review of Federal Programs.''
This document contains collection-of-information requirements
subject to the Paperwork Reduction Act. The collection of this
information has been approved by OMB under control numbers 0348-0040,
0348-0043, 0348-0046, and 0648-0135.
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 unless that collection of information
displays a currently valid OMB Control Number.
A solicitation for applications will also appear in the ``Commerce
Business Daily.''
Dated: February 20, 1998.
Rolland A. Schmitten,
Assistant Administrator for Fisheries, National Marine Fisheries
Service.
[FR Doc. 98-5184 Filed 2-27-98; 8:45 am]
BILLING CODE 3510-22-P
