[Federal Register Volume 64, Number 118 (Monday, June 21, 1999)]
[Notices]
[Pages 33050-33056]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-15723]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 960223046-9151-04; I.D. 050799B]
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 (hereinafter referred to as ``we'' or ``us'') issues this
document to describe how you, the applicant, can apply for funding
under the Saltonstall-Kennedy (S-K) Grant Program and how we will
determine whether to fund your proposal.
Under the S-K Program, we provide financial assistance for 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: We must receive your application by close of business August 20,
1999, in one of the offices listed in section I.E. Applications
Addresses of this document. You must submit one signed original and
nine signed copies of the completed application (including supporting
information). We will not accept facsimile applications.
ADDRESSES: You can obtain an application package from, and send your
completed application(s) to, the NMFS Regional Administrator located at
any of the offices listed in section I.E. Applications Addresses of
this document.
FOR FURTHER INFORMATION CONTACT: Alicia L. Jarboe, S-K Program Manager,
(301) 713-2358.
SUPPLEMENTARY INFORMATION:
I. Introduction
A. Background
The Saltonstall-Kennedy Act (S-K Act), as amended (15 U.S.C. 713c-
3), established a fund (known as the S-K fund) that the Secretary of
Commerce uses 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. fisheries1
include any fishery,
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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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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.
The objectives of the S-K Grant Program, and therefore the funding
priorities, have changed over the years since the program began in
1980. The original focus of the program was to develop 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 us
to give the domestic fishing industry priority access to the fishery
resources in the EEZ.
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 following years, the efforts to Americanize the fisheries
were successful to the point that most nontraditional species were
fully developed and some traditional fisheries became overfished.
Therefore, we changed the emphasis of the S-K Program to resource
conservation and management. Funding priorities included a range of
conservation and management issues and aquaculture.
In 1996, the Sustainable Fisheries Act (SFA) (Pub. L. 104-297), was
enacted. The SFA amended the Magnuson-Stevens Act and supported further
adjustment to the S-K Program to address the current condition of
fisheries.
The Magnuson-Stevens Act, as amended by the SFA, requires us 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. It further requires that we
take into account the importance of fishery resources to fishing
communities; provide for the sustained participation of such
communities; and, to the extent possible, minimize the adverse economic
impacts of conservation and management measures on such communities.
The Magnuson-Stevens Act defines a ``fishing community'' 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 NOAA Strategic Plan, updated in 1998, has three goals under its
Environmental Stewardship Mission: Build Sustainable Fisheries (BSF),
Recover Protected Species, and Sustain Healthy Coasts. The S-K Program
supports fisheries research and development activities that directly
relate to the BSF goal.
The revised objectives for BSF, consistent with the Magnuson-
Stevens Act, are:
1. Eliminate and prevent overfishing and overcapitalization.
2. Attain economic sustainability in fishing communities.
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3. Develop environmentally and economically sound marine
aquaculture.
Our goal for the FY 2000 S-K Grant Program announced in this
document is to address the needs of fishing communities in terms of the
preceding BSF objectives. This goal is reflected in the funding
priorities listed in section II of this document. Successful
applications will be those aimed at helping fishing communities to
resolve issues that affect their ability to fish; make full use of
those species that are currently under Federal or state fishery
management plans (FMPs) and cultured species; and address the
socioeconomic impacts of overfishing and overcapitalization.
The S-K Program is open to applicants from a variety of sectors,
including industry, academia, and state and local governments. However,
the scope of this program is limited to marine species and Great Lakes
species.
B. Changes from the Last Solicitation Notice
We have changed some of the conditions and procedures in this
document from the last S-K Grant Program solicitation notice published
on March 2, 1998 (63 FR 10191). Therefore, we encourage you to read the
entire document before preparing your application.
C. Funding
We are soliciting applications for Federal assistance, pursuant to
15 U.S.C. 713c-3(c). This document describes how you can apply for
funding under the S-K Grant Program, and how we will determine which
applications we will fund.
Funding for projects depends on an allocation of funds by Congress
for the S-K Grant Program in Fiscal Year (FY) 2000, which begins on
October 1, 1999. We expect about $1.5 million to be available for FY
2000. We cannot guarantee that sufficient funds will be available to
make awards for all approved applications submitted under this program.
In order to be funded under the S-K Grant Program, applications
must propose activities that: address the funding priorities listed in
section II of this document; are expected to produce a direct benefit
(e.g., tool, information, service, or technology) to the fishing
community (as defined in section I.A. of this document); and can be
accomplished within 18 months. Acceptable research and development
activities include applied research, demonstration projects, pilot or
field testing, or business plan development. However, we will not fund
projects that primarily involve infrastructure construction, port and
harbor development, or start-up or operational costs for private
business ventures. Furthermore, if your proposed project primarily
involves data collection, it must be directed to a specific problem or
need and be of a fixed duration, not of a continuing nature, in order
to be considered.
D. Catalog 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.
E. Applications Addresses
Northeast Region, NMFS, One Blackburn Drive, Gloucester, MA 01930;
(978) 281-9267.
Southeast Region, NMFS, 9721 Executive Center Drive, North,
St. Petersburg, FL 33702-2432, (727) 570-5324.
Southwest Region, NMFS, 501 West Ocean Boulevard, Suite 4200, Long
Beach, CA 90802-4213, (562) 980-4033.
Northwest Region, NMFS, 7600 Sand Point Way, NE., BIN C15700,
Building 1, Seattle, WA 98115, (206) 526-6115.
Alaska Region, NMFS, P.0. Box 21668, Juneau, AK 99802 or
Federal Building, 709 West 9th Street, 4th Floor,
Juneau, AK 99801-1668, (907) 586-7224.
F. Electronic Access Addresses
This solicitation and the application package are available on the
NMFS S-K Home Page at: www.nmfs.gov/sfweb/skhome.html.
The 1998 updated Executive Summary of the NOAA Strategic Plan is
available at: www.strategic.noaa.gov/ and the Magnuson-Stevens Act is
available at: www.nmfs.gov/sfa/magact/.
The list of species that are currently under Federal FMPs
is in the publication, Status of Fisheries of the United States,
available at: www.nmfs.gov/sfa/reports.html.
II. Funding Priorities
Your proposal must address one of the priorities listed below as
they pertain to marine or Great Lakes species. If you select more than
one priority, you should list first on your application the priority
that most closely reflects the objectives of your proposal.
If we do not receive proposals that adequately respond to the
priorities listed, we may use S-K funds to carry out 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.
The priorities are not listed in any particular order and each is
of equal importance.
A. Conservation Engineering
Reduce or eliminate adverse interactions (that affect fishing
activity) between fishing operations and nontargeted, protected, or
prohibited species (e.g., juvenile or sublegal-sized fish and
shellfish, females of certain crabs, Endangered Species Act (ESA)-
listed fish, marine turtles, seabirds, or marine mammals), including
the inadvertent take, capture, or destruction of such species.
Improve the survivability of fish discarded or intentionally
released and of protected species released in fishing operations.
Reduce or eliminate impacts of fishing activity on essential fish
habitat that adversely affect the sustainability of the fishery.
B. Optimum Utilization of Fishery Resources Currently under Federal or
State Management, and Cultured Species
Reduce or eliminate technical barriers to trade.
Minimize harvest losses.
Develop usable products from economic discards (whole fish
discarded because they are an undesirable species, size, or sex, or
parts of fish discarded as not commercially useful) and byproducts of
processing.
C. Fishing Community Transition
Help fishing communities to address the socioeconomic effects of
overfishing and overcapitalized fisheries through such activities as
planning and demonstration projects. Specific areas for these
activities could include retraining of fishermen for alternative
employment, alternative uses for existing fishing industry
infrastructure, and planning for fishing capacity reduction. Activities
may complement, but should not duplicate, programs available from other
Federal, state, or local agencies.
D. Marine Aquaculture in the Off-Shore Environment
Advance the implementation of marine aquaculture in the off-shore
environment (i.e., the EEZ) by addressing technical aspects such as
systems engineering, environmental compatibility, and culture
technology. Applications should demonstrate that
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the goal is to support off-shore industry development.
Reduce or eliminate legal and social barriers to off-shore
aquaculture development, e.g., legal constraints, use conflicts,
exclusionary mapping, appropriate institutional roles.
III. How to Apply
A. Eligibility
To apply for grants or cooperative agreements, you must follow the
instructions in this document. You are eligible to apply if:
1. You are a citizen or national of the United States;
2. You are 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. You are a citizen of the Republic of the Marshall Islands,
Republic of Palau, or the Federated States of Micronesia; or
4. You represent an entity that is a corporation, partnership,
association, or other non-Federal entity, non-profit or otherwise
(including Indian tribes), 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).
We support cultural and gender diversity in our programs and
encourage women and minority individuals and groups to submit
applications. Furthermore, we recognize 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, so we also
encourage applications from individuals, government entities, and
businesses in U.S. insular areas.
We encourage applications from members of the fishing community,
and applications that involve fishing community cooperation and
participation. We will consider the extent of fishing community
involvement when evaluating the potential benefit of funding a
proposal.
You are not eligible to submit an application under this program if
you are an employee of any Federal agency; a Regional Fishery
Management Council (Council); or an employee of a Council. However,
Council members who are not Federal employees can submit an application
to the S-K Program.
Our employees, including full-time, part-time, and intermittent
personnel, are not allowed to help you prepare your application, except
to provide you with information on program goals, funding priorities,
application procedures, and completion of application forms. Since this
is a competitive program, we will not provide assistance in
conceptualizing, developing, or structuring proposals, or write letters
of support for a proposal.
B. Duration and Terms of Funding
We will award grants or cooperative agreements for a maximum period
of 18 months.
We do not fund multi-year projects under the S-K Program. If we
select your application for funding and you wish to continue work on
the project beyond the funding period, you must submit another proposal
to the competitive process for consideration, and you will not receive
preferential treatment.
If we select your application for funding, we have no obligation to
provide any additional future funding in connection with that award.
Renewal of an award to increase funding or extend the period of
performance is totally at our discretion.
Even though we are publishing this announcement we are not required
to award any specific grant or cooperative agreement, nor are we
required to obligate any part or the entire amount of funds available.
C. Cost Sharing
We are requiring cost sharing in order to leverage the limited
funds available for this program and to encourage partnerships among
government, industry, and academia to address the needs of fishing
communities. You must provide a minimum cost share of 10 percent of
total project costs, but your cost share must not exceed 50 percent of
total costs. (For example, if the proposed total budget for your
project is $100,000, you must contribute at least $10,000, but no more
than $50,000, toward the total costs. Accordingly, the Federal share
you apply for would range from $50,000 to $90,000.) If your application
does not comply with these cost share requirements, we will return it
to you and will not consider it for funding. The funds you provide as
cost sharing may include funds from private sources or from state or
local governments, or the value of in-kind contributions. You may not
use Federal funds to meet the cost sharing requirement except as
provided by Federal statute. In-kind contributions are non-cash
contributions provided by you as the applicant or by non-Federal third
parties. In-kind contributions may include but are not limited to,
personal services volunteered to perform tasks in the project, and
permission to use, at no cost, real or personal property owned by
others.
We will determine the appropriateness of all cost sharing
proposals, including the valuation of in-kind contributions, on the
basis of guidance provided in 15 CFR parts 14 and 24. In general, the
value of in-kind services or property you use to fulfill your cost
share will be the fair market value of the services or property. Thus,
the value is equivalent to the cost for you to obtain such services or
property if they had not been donated. You must document the in-kind
services or property you will use to fulfill your cost share.
If we decide to fund your application, we will require you to
account for the total amount of cost share included in the award
document.
D. Format
Your application must be complete and must follow the format
described here. Your application should not be bound in any manner and
must be printed on one side only. You must submit one signed original
and nine signed copies of your application.
1. Cover Sheet
You must use Office of Management and Budget (OMB) Standard Form
424 and 424B (4-92) as the cover sheet for each project. (In order to
complete item 16 of Standard Form 424, see section V.A.5. of this
document.)
2. Project Summary
You must complete NOAA Form 88-204 (10-98), Project Summary, for
each project. You must list on the Project Summary the specific
priority to which the application responds (see section II. of this
document).
3. Project Budget
You must submit a budget for each project, using NOAA Form 88-205
(10-98), Project Budget and associated instructions. You must provide
detailed cost estimates showing total project costs. Indicate the
breakdown of costs between Federal and non-Federal shares, divided into
cash and in-kind contributions. To support the budget, describe briefly
the basis for estimating the value of the cost sharing derived from in-
kind contributions. Specify estimates of the direct costs in the
categories listed on the Project Budget form.
You may also include in the budget an amount for indirect costs if
you have an established indirect cost rate with the Federal government.
For this solicitation, the total dollar amount of the indirect costs
you propose in your application 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
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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. If you have an approved indirect cost rate above
25 percent of the total proposed direct cost, you may use the amount
above the 25-percent level up to the 100-percent level as part of the
non-Federal share. You must include a copy of the current, approved,
negotiated indirect cost agreement with the Federal government with
your application.
We will not consider fees or profits as allowable costs in your
application.
The total costs of a project consist of all allowable costs you
incur, 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 you and an authorized
representative of the U.S. Government and ends on the date specified in
the award. Accordingly, we cannot reimburse you for time that you
expend or costs that you incur in developing a project or preparing the
application, or in any discussions or negotiations you may have with us
prior to the award. We will not accept such expenditures as part of
your cost share.
4. Narrative Project Description
You must provide a narrative description of your project that may
be up to 15 pages long. The narrative should demonstrate your knowledge
of the need for the project, and show how your proposal builds upon any
past and current work in the subject area, as well as relevant work in
related fields. You should not assume that we already know the relative
merits of the project you describe. You must describe your project as
follows:
a. Project goals and objectives. Identify the specific priority
listed earlier in the solicitation to which the proposed project
responds. Identify the problem/opportunity you intend to address and
describe its significance to the fishing community. State what you
expect the project to accomplish.
If you are applying to continue a project we previously funded
under the S-K Program, describe in detail your progress to date and
explain why you need additional funding. We will consider this
information in evaluating your current application.
b. Project impacts. Describe the anticipated impacts of the project
on the fishing community in terms of reduced bycatch, increased product
yield, or other measurable benefits. Describe how you will make the
results of the project available to the public.
c. Evaluation of project. Specify the criteria and procedures that
you will use to evaluate the relative success or failure of a project
in achieving its objectives.
d. Need for government financial assistance. Explain why you need
government financial assistance for the proposed work. List all other
sources of funding you have or are seeking for the project.
e. 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;
section 404 or section 10 permits issued by the Corps of Engineers;
experimental fishing or other permits under FMPs; environmental impact
statements to meet the requirements of the National Environmental
Policy Act; or scientific permits under ESA and/or the Marine Mammal
Protection Act. Describe the relationship between the project and these
FMPs or activities, and list names and addresses of persons providing
this information. If we select your project for funding, you are
responsible for complying with all applicable requirements.
f. Project statement of work. The statement of work is an action
plan of activities you will conduct during the period of the project.
You must prepare a detailed narrative, fully describing the work you
will perform to achieve the project 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 you
undertake?
(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?
You must include milestones, describing the specific activities and
associated time lines to conduct the scope of work. Describe the time
lines in increments (e.g., month 1, month 2), rather than by specific
dates. You must identify the individual(s) responsible for the various
specific activities.
This information is critical for us to conduct a thorough review of
your application, so we encourage you to provide sufficient detail.
g. Participation by persons or groups other than the applicant.
Describe how government and non-government entities, particularly
members of fishing communities, will participate in the project, and
the nature of their participation. We will consider the degree of
participation by members of the fishing community in determining which
applications to fund.
h. Project management. Describe how the project will be organized
and managed. Identify the principal participants in the project. If you
do not identify the principal investigator, we will return your
application without further consideration. Include copies of any
agreements between you and the participants 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, you
must follow procurement guidance 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.'' If you select a consultant and/
or a subcontractor prior to submitting an application, indicate the
process that you used for selection.
5. Supporting Documentation
You should include any relevant documents and additional
information (i.e. maps, background documents) that will help us to
understand the project and the problem/opportunity you seek to address.
IV. Screening, Evaluation, and Selection Procedures
A. Initial Screening of Applications
When we receive applications at any of the NMFS Regional Offices,
we will first screen them to ensure that they were received by the
deadline date (see DATES); include OMB form 424 signed and dated by an
authorized representative (see section III.D. of this document); were
submitted by an eligible applicant (see section III.A. of this
document); provide for at least a 10-percent cost share but not more
than 50 percent (see section III.C. of this document); involve an
eligible activity (see section I.C. of this document); address one of
the funding priorities in this document for marine and Great Lakes
species (see section II.A.-D. of this document); and include a budget,
statement of work, and milestones, and identify the principal
investigator (see sections III.D.3. and III.D.4. of this document). If
your application does not
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conform to these requirements and the deadline for submission has
passed, we will return it to you without further consideration.
We do not have to screen applications before the submission
deadline, nor do we have to give you an opportunity to correct any
deficiencies that cause your application to be rejected.
B. Evaluation of Proposed Projects
1. Technical Evaluation
After the initial screening, we will solicit individual evaluations
of each project application from three or more appropriate private and
public sector experts to determine the technical merit. These reviewers
will be required to certify that they do not have a conflict of
interest concerning the application(s) they are reviewing. They will
assign scores ranging from a minimum of 60 (poor) to a maximum of 100
(excellent) to applications based on the following criteria, with
weights shown in parentheses:
a. Soundness of project design/conceptual approach. Applications
will be evaluated on the conceptual approach; the likelihood of project
results in the time frame specified in the application; whether there
is 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 will be evaluated. The project's principal
investigator and other personnel, including consultants and contractors
participating in the project, will be evaluated in terms of related
experience and qualifications. Applications that include consultants
and contractors will be reviewed to determine if your involvement, as
the primary applicant, is necessary to the conduct of the project and
the accomplishment of its objectives. (25 percent)
c. Project evaluation. The effectiveness of your 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)
Following the technical review, we will determine the weighted
score for each individual review and average the individual technical
review scores to determine the final technical score for each
application. Then, we will rank applications in descending order by
their final technical scores and determine a ``cutoff'' score that is
based on the amount of funds available for grants. We will eliminate
from further consideration those applications that scored below the
cutoff.
2. Constituent Panel(s)
For those applications at or above the cutoff technical evaluation
score, we will solicit individual comments and evaluations from a panel
or panels of three or more representatives selected by the Assistant
Administrator for Fisheries (AA). Panel members will be chosen from the
fishing industry, state government, non-government organizations, and
others, as appropriate. We will provide panelists with a summary of the
technical evaluations, and, for applications to continue a previously
funded project, information on progress on the funded work to date.
Each panelist will evaluate the applications in terms of the
significance of the problem or opportunity being addressed, the degree
of fishing community involvement in conducting the project, and the
merits of funding each project. Each panelist will provide a rating
from 0-4 (poor to excellent) for each project, and provide comments if
they wish. Panel members will be required to certify that they do not
have a conflict of interest and that they will maintain confidentiality
of the panel deliberations.
Following the Constituent Panel meeting, we will average the
individual ratings for each project. We will then develop a ranking of
projects based on the individual ranks within each of the priority
areas.
C. Selection Procedures and Project Funding
After projects have been evaluated and ranked, we will use this
information, along with input from the NMFS Regional Administrators
(RAs) and Office Directors (ODs), to develop recommendations for
project funding. RAs/ODs will prepare a written justification for any
recommendations for funding that fall outside the ranking order, or for
any cost adjustments.
The AA will review the funding recommendations and comments of the
RAs/ODs and determine the projects to be funded. In making the final
selections, the AA may consider costs, geographical distribution, and
duplication with other federally funded projects. Awards are not
necessarily made to the highest ranked applications.
We will notify you in writing whether your application is selected
or not. If your application is unsuccessful, we will return it to you.
Successful applications will be incorporated into the award document.
The exact amount of funds, the scope of work, and terms and
conditions of a successful award will be determined in preaward
negotiations between you and NOAA/NMFS representatives. The funding
instrument (grant or cooperative agreement) will be determined by NOAA
Grants. You should not initiate your project in expectation of Federal
funding until you receive a grant award document signed by an
authorized NOAA official.
V. Administrative Requirements
A. Your Obligations as an Applicant
You 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 to respond to questions during the review and
evaluation of the proposal(s).
3. Submit a completed 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 26.105) 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 26.605) 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 28.105) 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 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,
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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
your use and should not be sent to the Department of Commerce
(Commerce). You should send an SF-LLL submitted by any tier recipient
or subrecipient to Commerce only if your application is recommended for
funding. Instructions will be contained in the award document. We will
provide you with all required forms.
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. You can get the list of SPOCs from any of the NMFS offices
listed in this document or from the S-K Home Page (see section I.F.
Electronic Access Addresses of this document). It is also included in
the ``Catalog of Federal Domestic Assistance.'' You must contact the
SPOC, if your state has one, to see if applications to the S-K Program
are subject to review. If SPOC clearance is required, you are
responsible for getting that clearance in time to submit your
application to the S-K Program by the deadline.
6. Complete Standard Form 424B (4-92), ``Assurances--Non-
construction Programs.''
B. Your Obligations as a Successful Applicant (Recipient)
If you are selected to receive a grant award for a project, you
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 GMD in accordance with the award conditions.
3. Submit semiannual project status reports on the use of funds and
progress of the project to us within 30 days after the end of each 6-
month period. You will submit these reports to the individual
identified 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 you 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, you are required to submit
final reports in electronic format, in accordance with the award terms
and conditions, for publication on the NMFS S-K Home Page. You may
charge the costs associated with preparing and transmitting your final
reports in electronic format to the grant award. We will consider
requests for exemption from the electronic submission requirement on a
case-by-case basis.
We will provide you with OMB-approved formats for the semiannual
and final reports.
5. In addition to the final report in section V.B.4. of this
document, we request that you submit any publications printed with
grant funds (such as manuals, surveys, etc.) to the NMFS Program
Officer for dissemination to the public. Submit either three hard
copies or an electronic version of any such publications.
C. Other Requirements of Recipients
1. Federal Policies and Procedures
If you receive Federal funding, you are subject to all Federal laws
and Federal and Commerce policies, regulations, and procedures
applicable to financial assistance awards. You must comply with general
provisions that apply to all recipients under Commerce grant and
cooperative agreement programs.
2. Name Check Review
You may be subject to a name check review process. We use name
checks to determine if you or any key individuals named in your
application have been convicted of, or are presently facing, criminal
charges such as fraud, theft, perjury, or other matters that
significantly reflect on your management, honesty, or financial
integrity.
3. Financial Management Certification/Preaward Accounting Survey
You may, at the discretion of the NOAA Grants Officer, be required
to have your 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. If you are a first-time applicant for Federal grant funds, you
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
We will not award any Federal funds to you or any 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
You are encouraged to the extent feasible to purchase American-made
equipment and products with the funding provided under this program.
7. Preaward activities
If you incur any costs prior to receiving an award agreement signed
by an authorized NOAA official, you do so solely at your own risk of
not being reimbursed by the Government. Notwithstanding any verbal or
written assurance that you may have 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.
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 (PRA). 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
[[Page 33056]]
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 PRA 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: June 15, 1999.
Penelope D. Dalton,
Assistant Administrator for Fisheries, National Marine Fisheries
Service.
[FR Doc. 99-15723 Filed 6-18-99; 8:45 am]
BILLING CODE 3510-22-F
