[Federal Register Volume 62, Number 82 (Tuesday, April 29, 1997)]
[Notices]
[Pages 23222-23228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-10997]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 960223046-7083-02; I.D. 031897A]
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: Notice 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. Some
of the conditions and procedures have changed significantly from the
last S-K Program solicitation notice of March 19, 1996.
The S-K Grant Program assists eligible applicants in carrying out
research and development projects that address 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 June 30,
1997. 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, NMFS, One Blackburn Drive, Gloucester, MA
01930; telephone: (508) 281-9267.
Regional Administrator, NMFS, Koger Bldg., 9721 Executive Center
Drive, North, St. Petersburg, FL 33702; telephone: (813) 570-5324.
Regional Administrator, NMFS, 501 West Ocean Boulevard, Suite 4200,
Long Beach, CA 90802-4213; telephone: (310) 980-4033.
Regional Administrator, NMFS, BIN C15700, 7600 Sand Point Way, NE.,
Seattle, WA 98115; telephone: (206) 526-6117.
Regional Administrator, NMFS, P.0. Box 21668, Juneau, AK 99802, or
Federal Building, 709 W. 9th Street, 4th Floor, Juneau, AK 99801;
telephone: (907) 586-7224.
This solicitation notice may also be retrieved from the NMFS Home
Page.
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 for fisheries research and development projects
addressed to any aspect of United States fisheries, including, but not
limited to, harvesting, processing, marketing, and associated
infrastructures. U.S. fisheries1 include
[[Page 23223]]
any fishery 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 such issues as overfishing and bycatch.
Passage in 1996 of the Sustainable Fisheries Act (Public Law 104-
297), which amended the Magnuson-Stevens Act, supports 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 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 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 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.)
The 1998 S-K Grant Program announced under this notice 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 notice identify
areas of research and development that relate to these needs.
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 notice is published subject to, and funding of projects is
contingent upon, the appropriation of funds by Congress for this
program in Fiscal Year (FY) 1998, which begins on October 1, 1997. The
Administration's request for the S-K Grant Program for FY 1998 is $4
million, which will be used to support projects solicited under this
document.
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 ensure that their proposals address one or more
of the following priorities, which are listed 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, in order to
facilitate the design of gear and practices to actively avoid nontarget
organisms.
Develop methods to improve the survivability of fish discarded and
protected species released in fishing operations, including
modifications in gear, fishing practices, and handling practices to
reduce the detrimental effects of capture, and develop methods to
assess both the immediate and delayed mortality associated with
capture.
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
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.
Develop innovative approaches to address the transition of fishing
communities affected by declines in traditional fisheries toward
alternate
[[Page 23224]]
employment or new business opportunities. NMFS is not soliciting
proposals solely involving start-up or operational costs for
individuals or individual businesses.
C. Maintain Healthy Fish Stocks
Conduct biological, economic, social, and other studies to support
the development of sound management practices for important
recreational and commercial species.
Develop innovative approaches to improve fisheries management,
including but not limited to, assessment of alternative management
systems and resolution of user conflicts.
D. 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 available to the
fishing industry through innovations in how such resources are
harvested, processed, or marketed.
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.
E. Promote Aquaculture Development
Develop or demonstrate cost-effective approaches for advancing
environmentally sound public and private aquaculture for food,
enhancement, industrial, and other purposes.
Develop and evaluate strategies for culturing systems, disease
control, and reducing the potential for negative interactions between
cultured and wild stocks.
Develop models for aquaculture regulation that address the
impediments to development caused by current regulatory processes.
F. Conserve and Enhance Essential Fish Habitat
Develop information needed by fisheries managers on the
identification and status of essential fish habitat.
Develop scientific approaches to assess and reduce human induced
impacts on 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 or extend the period
of performance is at the total 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.
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
[[Page 23225]]
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 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(ies)
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(ies) 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. 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.
c. 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.
d. 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.
e. Project statement of work: The statement of work is an action
plan of activities to be conducted during the 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.
f. 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
[[Page 23226]]
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.
g. 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.
h. Evaluation of project: Describe the procedures for evaluating
the relative success or failure of a project in achieving its
objectives.
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,
Department 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 NOAA Assistant Administrator for
Fisheries (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 program
and grants management representatives. The funding instrument (grant or
cooperative agreement) will be determined by the NOAA Grants Management
Division. Projects should not be initiated in expectation of Federal
funding until a notice of award document is received.
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
[[Page 23227]]
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, or the single family
maximum mortgage limit for affected programs, whichever is greater; 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.''
7. Complete the Financial Audit Information form.
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, the Comptroller General of the United States, or their
authorized representatives.
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 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 the Department of Commerce
(Commerce) are made.
6. Buy American. Applicants are hereby notified that they are
encouraged to the extent feasible to purchase American-made equipment
and 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
notice concerning grants, benefits, and contracts. Therefore, a
regulatory flexibility analysis is not required for purposes of the
Regulatory Flexibility Act.
This action has been determined to be not significant for purposes
of E.O. 12866.
Applications under this program are subject to Executive Order
12372, ``Intergovernmental Review of Federal Programs.''
This document contains a collection-of-information requirement
subject to the Paperwork Reduction Act. The collection of this
information has been approved by OMB under control
[[Page 23228]]
number 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: April 23, 1997.
Gary C. Matlock,
Acting Assistant Administrator for Fisheries, National Marine Fisheries
Service.
[FR Doc. 97-10997 Filed 4-28-97; 8:45 am]
BILLING CODE 3510-22-F
