[Federal Register Volume 61, Number 54 (Tuesday, March 19, 1996)]
[Notices]
[Pages 11189-11194]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-6490]
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DEPARTMENT OF COMMERCE
[Docket No. 960223046-6046-1; I.D. 020696E]
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 availability of Federal assistance.
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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 in FY
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 May 20, 1996
in one of the offices listed in ADDRESSES. Applicants must submit one
signed original and two signed copies of the completed application. No
facsimile applications will be accepted. Generally, the time required
to process applications is 120 days from the closing date of the
solicitation.
ADDRESSES: Application packages can be obtained from, and completed
applications sent to any office listed below:
Regional Director, National Marine Fisheries Service, One Blackburn
Drive, Gloucester, MA 01930; telephone: (508) 281-9267.
Regional Director, National Marine Fisheries Service, Koger Bldg.,
9721 Executive Center Drive, North, St. Petersburg, FL 33702;
telephone: (813) 570-5324.
Regional Director, National Marine Fisheries Service, 501 West
Ocean Boulevard, Suite 4200, Long Beach, CA 90802-4213; telephone:
(310) 980-4033.
Regional Director, National Marine Fisheries Service, BIN C15700,
7600 Sand Point Way, NE., Seattle, WA 98115; telephone: (206) 526-6117.
Regional Director, National Marine Fisheries Service, P.0. Box
21668, Juneau, AK 99802, or Federal Building, 709 W. 9th Street, 4th
Floor, Juneau, AK 99801; telephone: (907) 586-7224.
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 to provide grants for fisheries
research and development projects. The Secretary of Commerce makes such
funds, as appropriated, available each year for grants and cooperative
agreements to assist persons in carrying out research and development
projects that address aspects of U.S. commercial and recreational
fisheries. U.S. fisheries1 include any fishery that is or may be
engaged in by citizens or nationals of the United States, or citizens
of the Northern Mariana Islands.
\1\ 1For 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, and New England whiting.
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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.
The Fiscal Year 1996 base funding for this program is approximately
$7.0 million which will be used to support projects solicited under
this document. The funding cycle will be contingent upon the
appropriation of funds by the Congress of the United States.
C. Catalogue of Federal Domestic Assistance
The S-K Grant Program is listed in the ``Catalog of Federal
Domestic Assistance'' under number 11.427, Fisheries Development and
Utilization Research and Development Grants and Cooperative Agreements
Program.
II. Funding Priorities
The following priorities, which are in no particular order, were
developed with input from the public and in consideration of the NOAA
Strategic Plan, which includes a focus on rebuilding U.S. fisheries for
sustainable use.
Funding will not be provided for projects primarily involving
infrastructure construction, port and harbor development, and start-up
or operational costs for private business ventures.
Proposals submitted in response to this notice should build upon or
take into account any past and current work in the area, as well as
relevant research in related fields.
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.
If proposals received do not adequately respond to the 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.
A. Bycatch
Develop methods for eliminating or reducing the inadvertent take,
capture, or destruction of nontargeted, protected, or prohibited
species (e.g., juvenile or sublegal-sized fish and shellfish, females
of certain crabs, marine turtles, marine mammals) in fishing operations
through the technical development, demonstration, or evaluation of
fishing gear or harvesting strategies.
B. Fisheries Utilization
Optimize the utilization of harvestable resources available to the
fishing industry through innovations in how such resources are
harvested, processed, or marketed.
C. Fisheries Management
Develop innovative approaches to improve fisheries management,
including but not limited to, assessment of alternative management
systems and resolution of user conflicts.
D. Aquaculture
Develop or demonstrate cost-effective approaches for advancing
environmentally sound private aquaculture development, including those
associated with culturing systems, disease control, and meeting
regulatory requirements.
E. Product Quality and Safety
Develop improved approaches to control seafood processing and
environmentally induced hazards associated with fish and shellfish and
their products.
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;
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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 fisheries development foundation or other private non-profit
corporation located in Alaska; 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 Northern Mariana Islands, within the meaning of
section 2 of the Shipping Act, 1916, as amended (46 App. U.S.C. 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
that meet such needs are also encouraged.
DOC/NOAA/NMFS employees, including full-time, part-time, and
intermittent personnel (or their spouses or blood relatives who are
members of their immediate households) 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 members and 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. Renewal of an award to increase funding or extend the
period of performance is at the total discretion of the agency.
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
Although the S-K Act, as amended, does not require that applicants
share in the total costs of a project, such sharing is encouraged.
Cost-sharing will not be a factor in the technical evaluation of an
application. However, the degree of cost-sharing may be taken into
account in the final selection of projects to be funded. If applicants
choose to cost-share, and if their applications are selected for
funding, those applicants will be obligated to account for the amount
of cost-share reflected in the award documents.
If project costs are shared, NMFS must provide at least 50 percent
of total project costs, as provided by statute. The percentage of the
total project costs provided from non-Federal sources may be up to 50
percent of the costs of the project. 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 noncash 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.
D. Format
Applications for project funding must be complete. They must
identify the principal participants and include copies of any
agreements between the participants and the applicant describing the
specific tasks to be performed. Project applications must identify the
specific priority(ies) contained in section II of this document to
which the application responds. If an application does not respond to a
priority, it should be so stated. Project applications must be clearly
and completely submitted in the format that follows.
1. Cover sheet: An applicant must use OMB Standard Form 424A and B
(4-92) as the cover sheet for each project. (In completing item 16 of
Standard Form 424A, 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.
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 is discretionary, but if
applicants choose to cost-share, both the Federal and non-Federal
shares must be shown, divided into cash and in-kind contributions. To
support the budget, the applicant must describe briefly the basis for
estimating the value of the matching funds 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 the applicant's cognizant Federal
agency prior to the proposed effective date of the award, or 25 percent
of the Federal share of the total proposed direct costs dollar amount
in the application, whichever is less. Applicants with indirect cost
rates above 25 percent of the Federal share of total direct costs may
use the amount above the 25-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.
NMFS will not consider fees or profits as allowable costs for
applicants.
The total costs of a project consist of all 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
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nor recognizable as part of the cost-share.
4. Narrative Project Description: The narrative project description
may be up to 15 pages in length. Each project must be described as
follows:
a. Project goals and objectives: State the need for the proposed
project and what it is expected to accomplish. Identify the specific
priority(ies) to which the project responds. As appropriate, include
the fisheries involved and the sectors of the fishing industry
affected. If the application is for the continuation of an existing S-K
funded project, describe in detail the progress to date and explain why
continued 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 the fishing industry, 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, and what are the major products?
(2) Who will be responsible for carrying out the various
activities? (Highlight work that will be subcontracted and provisions
for competitive subcontracting.)
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 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. List all persons directly employed by the applicant who
will be involved in the project. Provide a statement of their
qualifications and experience (e.g., resume or curriculum vitae), 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,
include the name and qualifications of the consultant and/or
subcontractor and the process used for selection.
g. Project impacts: Describe the anticipated impacts of the project
in terms of reduced bycatch, increased product yield, improvement in
product quality or safety, 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 which 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 statement of need for 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. Those projects
that do not identify the principal investigator with his or her
qualifications will receive a lower point score. (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
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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: After the technical evaluation, individual
comments will be solicited from a panel of three or more
representatives selected by the Assistant Administrator for Fisheries,
NOAA (AA), from the fishing industry, state government, and others, as
appropriate, to rank the projects. Considered in the rankings, along
with the technical evaluation, will be the significance of the problem
or opportunities addressed in the project. Each panelist will rank each
project 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.
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, 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. 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 424A (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. 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-made equipment or products. Applicants are hereby
notified that they are encouraged, to the extent feasible, to purchase
American-made equipment and products with funding 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
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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
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, OMB control number 0648-0135.
A notice of availability of financial assistance for fisheries
research and development projects will also appear in the ``Commerce
Business Daily.''
Dated: April 12, 1996.
Gary Matlock,
Program Management Officer, National Marine Fisheries Service.
[FR Doc. 96-6490 Filed 3-18-96; 8:45 am]
BILLING CODE 3510-22-F