[Federal Register Volume 59, Number 81 (Thursday, April 28, 1994)]
[Unknown Section]
[Page ]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10085]
[Federal Register: April 28, 1994]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 930532-3329]
RIN 0648-AF59
Guidelines for Nondiscretionary Financial Assistance
AGENCY: National Oceanic and Atmospheric Administration, Commerce.
ACTION: Notice.
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SUMMARY: The National Oceanic and Atmospheric Administration (NOAA) is
issuing guidelines to ensure that applications for financial assistance
under nondiscretionary assistance programs will be processed and
approved or disapproved within 75 days after submission of the
application; and that applicants will be notified within 14 days after
receipt of an application whether or not the application is complete.
DATES: The provisions of this notice become effective April 28, 1994.
FOR FURTHER INFORMATION CONTACT:
David Litton, Chief, Policy & Planning Branch, Grants Management
Division, room 5440, 1325 East-West highway, Silver Spring MD, 20910;
telephone (301) 713-0942.
SUPPLEMENTARY INFORMATION: The authority for these guidelines is the
NOAA Authorization Act of 1992, Public Law No. 102-567, Sec. 404, 15
U.S.C. 1539 (Supp. IV 1992), which directed that the Secretary develop,
and after notice and after notice and opportunity for comment,
promulgate guidelines for processing nondiscretionary assistance awards
within 75 days after submission of the application to the responsible
program office of NOAA. In the case of a program for which the
recipient of a grant, contract, or other financial assistance is
specified by statute to be, or has customarily been, a State or an
interstate fishery commission, such financial assistance may be
provided by the Secretary to that recipient on a sole-source basis,
notwithstanding any other provision of law. These final guidelines
include revisions based on comments received on draft guidelines
published in the Federal Register on August 30, 1993 (58 FR 45487).
Comments and Changes to the Proposed Guidelines
Following is a summary of the major comments, and a response to
each comment.
Concurrent Review
Comment: Concurrent review of applications to the National Marine
Fisheries Service, as proposed in the draft guidelines, would not be
practical, because proposals are frequently modified by the program
office prior to approval for funding.
Response: Since the program office frequently modifies proposals,
concurrent review by the program office and the Grants Management
Divisions will not be provided. Instead, when a application is
determined by the program office to be complete and acceptable, the
original application will be forwarded to the Grants Management
Division as soon as the applicant is notified (within 14 days after
receipt), to permit prompt administrative review and issuance of an
award within 75 days after submission. Since applications will not
receive concurrent review, applications should be submitted only to the
appropriate program office.
Clarifications
Comment: The guidelines should define ``Complete application''.
Response: ``Complete application'' has been defined in the
guidelines.
Comment: Will applications be processed in 75 calendar days or work
days?
Response: The intent is to process award within 75 calendar days.
Applicability
Comment: The guidelines should apply to Fishery Management Councils
and other applicants.
Response: The guidelines implement a law which defined the
categories of applications to which it applies. This would not include
Fishery Management Councils or other applicants unless they fall within
the definition established by section 404.
Budget Detail
Comment: Less budget detail should be required for applications
from States, Commissions, and Councils because they must comply with
Federally mandated accounting and fiscal procedures.
Response: Our position is that we require only sufficient detail to
carry out our responsibility to determine the adequacy and
reasonableness of proposed costs.
Role of Grants Office
Comment: Is there duplication of functions between the program
office and the grants office in reviewing grant applications?
Response: We do not believe there is duplication between program
and grants office functions. The program office assures that proposed
project activities are technically sound and allowable under program
regulations and that proposed costs are adequate. The Grants Management
Division assures that financial and administrative requirements are
met, and that costs are reasonable, allocable, and necessary.
Avilability of Funds
Comment: The National Marine Fisheries Service should notify
applicants of the amount of funding available prior to submission of
applications. Another comment requested a specific time frame after
funding authorizations become available, within which applicants would
be notified of the amount of funding available.
Response: The National Marine Fisheries Service notifies
applications as soon as possible after it determines how much will be
available for nondiscretionary awards.
Paperwork Reduction
Comment: Applicants with more than one award should be required to
submit certain documents, such as audit and indirect cost information,
only once a year, instead of once per application.
Response: To expedite processing, the Grants Management Division
currently requires a copy of each document for each grant file. We will
keep this comment in mind for possible future implementation.
Guidelines for National Oceanic and Atmospheric Administration
Nondiscretionary Assistance
1. Definitions
``Complete application'' for a non-construction program means one
that includes an original and two signed copies of the following
correctly completed documents: SF-424 ``Application for Federal
Assistance'', SF-424A ``Budget Information Non-Construction Programs'',
SF-424B ``Assurances--Non-Construction Programs'', Form CD-511
``Certifications Regarding Debarment, Suspension and Other
Responsibility Matters; Drug-Free Workplace Requirements; and
Lobbying'', Statement of Work, and Detailed Budget and Budget
Justification. It must also include the following documents, if
applicable; SF-LLL ``Disclosure of Lobbying Activities'', SF-LLLA
``Disclosure of Lobbying Activities (Continuation Sheet)'', and current
Negotiated Indirect Cost Rate Agreement. Administrative or program-
related requirements for specific programs are published annually in
program announcements, application packages, or other documentation.
``Nondiscretionary assistance program'' means any NOAA program for
providing financial assistance: (1) Under which the amount of funding
for, and the intended recipient of, the financial assistance is
specified by Congress; or (2) the recipients of which have customarily
been a State or an interstate fishery commission.
Programs whose recipients have customarily been a State or an
interstate fishery commission are:
Anadromous Fish Conservation Act Program (CFDA 11.405)
Interjurisdictional Fisheries Act of 1986 (CDFA 11.407)
Cooperative Fishery Statistics (CFDA 11.434)
Southeast Area Monitoring & Assessment Program (CFDA 11.435)
Columbia River Fisheries Development Program (CFDA 11.436)
West Coast Fisheries Data Program (CFDA 11.437)
Pacific Salmon Treaty Program (CFDA 11.438)
Marine Mammal Data Program (CFDA 11.439)
Alaska Salmon Enhancement (CFDA 11.458)
2. Notification of Applicant
A NOAA program office will notify eligible applicants for
nondiscretionary assistance programs of application requirements and
deadlines. A complete and acceptable application must be submitted by
the applicant to the appropriate program office at least 75 days prior
to the proposed effective date of the award. The applicant must write
``Nondiscretionary'' in block 8 of the Standard Form 424, Application
for Federal Assistance, to identify applications subject to these
guidelines. Within 14 days after receipt of the application, the
program office will notify the applicant in writing whether the
application is complete; if it is not, the notification will specify
what additional material must be provided before the application will
be considered complete and processing initiated.
3. Processing of Application
Within 75 calendar days after a complete and acceptable application
is received, the NOAA Grants Management Division will notify the
applicant of approval or disapproval of the application.
Classification
This notice of guidelines was not subject to review by the Office
of Management and Budget under Executive Order 12866. The Standard
Forms 424, 424A, 424B and LLL have been approved by the Office of
Management and Budget pursuant to the Paperwork Reduction Act under OMB
Control Nos. 0348-0043, 0348-0044, 0348-0040, and 0348-0046. This
notice does not contain policies with sufficient federalism
implications to warrant preparation of a federalism assessment under
E.O. 12612. The General Counsel of the Department of Commerce certified
to the Chief Counsel for Advocacy of the Small Business Administration
that these guidelines, if adopted, will not have a significant
economical impact on a substantial number of small entities because
they specify only internal procedures for ensuring that NOAA meets the
deadlines established by section 404 of the NOAA Authorization Act.
Dated: April 19, 1994.
Diana H. Josephson,
Deputy Under Secretary for Oceans and Atmosphere.
[FR Doc. 94-10085 Filed 04-26-94; 8:45 am]
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