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Financial Assistance for Research and
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 960223046-1049-06; I.D. 011801D]
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.
SUMMARY: NMFS (hereinafter ``we'' or ``us'') issues this document to describe how to apply for funding under the Saltonstall-Kennedy (S-K)
Grant Program and how we will determine whether to fund a 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 the close of business May 7,
2001 in one of the offices listed in section I.F. 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.F. Application Addresses of this
document. You may also obtain the application package from the S-K Home
Page (see section I.G. Electronic Access ADDRESSES). However, we cannot
accept completed applications electronically.
FOR FURTHER INFORMATION CONTACT: Alicia L. Jarboe, S-K Program Manager,
(301) 713-2358.
SUPPLEMENTARY INFORMATION:
I. Introduction
We are soliciting applications for Federal assistance
pursuant to the Saltonstall-Kennedy Act (S-K Act), as amended (15 U.S.C. 713c-3).
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.
A. Background
The S-K Act 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.
fisheries\1\ include any fishery, 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.
\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.
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 program has evolved as Federal fishery management laws and
policies, and research needs, have evolved in response to changing
circumstances.
The original focus of the program was to develop
underutilized fisheries within the U.S. Exclusive Economic Zone (EEZ, i.e., 3-200
miles (4.8-320 kilometers) off the coast). This focus was driven in
part by the Magnuson-Stevens Fishery Conservation and Management Act
(Magnuson-Stevens Act). The Magnuson-Stevens Act, originally passed in
1976, directed us to give the domestic fishing industry priority access
to the fishery resources in the EEZ. In 1980, the American Fisheries
Promotion Act amended the S-K Act to stimulate commercial and
recreational fishing efforts in underutilized fisheries. The
competitive S-K Program initiated as a result included fisheries
development and marketing as funding priorities.
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 address conservation and management issues and aquaculture.
In 1996, the Sustainable Fisheries Act (SFA) (Public Law
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)). We have refocused the S-K Program to address the
needs of fishing communities as defined by the Magnuson-Stevens Act.
The NOAA Strategic Plan, updated in 1998, has also shaped
the S-K Program. The Strategic Plan has three goals under its Environmental
Stewardship Mission: Build Sustainable Fisheries (BSF), Recover
Protected Species, and Sustain Healthy Coasts. The fisheries research
and development mission of the S-K Program directly relates to the BSF
goal. There are three BSF objectives in the Strategic Plan:
1. Eliminate and prevent overfishing and
overcapitalization.
2. Attain economic sustainability in fishing communities.
3. Develop environmentally and economically sound marine
aquaculture.
For the FY 2001 S-K Grant Program announced in this
document, we have attempted to address the most important needs of fishing
communities in terms of the preceding BSF objectives. This goal is
reflected in the four 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 species currently under Federal jurisdiction or
explore the potential for development of new sustainable managed
fisheries; 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. We
encourage applications that involve collaboration between industry and
the other sectors listed.
B. Changes from the Last Solicitation Notice
We have changed some of the conditions in this document
from the last S-K Grant Program solicitation notice published on June 21, 1999
(64 FR 33050). For example, the scope of the FY 2001 program announced
in this document is limited to marine species under Federal
jurisdiction. Therefore, we encourage you to read the entire document
before preparing your application.
C. Comments and Responses
We published a notice in the Federal Register on February
25, 2000, (65 FR 10051) seeking comments on the proposed scope and priorities for
the FY 2001 S-K Program. We proposed limiting the scope of the program
to marine species under Federal management. Within the scope, we
proposed four priority areas for funding. The proposed scope and
priorities covered the issues we deemed to be the most important and
the most appropriate for the limited funds and time frame of the S-K
Program.
We received comments from one individual, two industry
associations, a research institute, and an aquaculture company by the
deadline date. We have combined similar comments here.
Comment 1: One individual called for proper legal analysis
and coordination among Federal agencies on legal, regulatory, and national
security issues as part of the proposed funding priority on developing
marine aquaculture in the off-shore environment. In addition, he recommended that we add specific criteria to the notice (knowledge and
experience) for successful applicants to address this priority area.
Response: We agree that applications should address all
relevant considerations and should demonstrate the knowledge and ability of the
investigator(s) to carry out the project, as well as familiarity with
related work. However, these requirements are not unique to the
aquaculture priority, but are evaluated for all applications in our
technical review process (see IV.B.1 of this document). Appropriate subject matter experts rate all
applications, regardless of their priority area, on ``Project
management and experience and qualifications of personnel,'' and the
other technical review criteria. Therefore, we do not agree that we
need to revise the aquaculture priority to include a criterion dealing
with the expertise of those applicants proposing to address off-shore
aquaculture.
Comment 2: A research laboratory director and a seafood
industry association commented that we should solicit proposals dealing with the
critical area of improved data for fisheries management, including
biological data for stock assessments, either as part of Priority A., Conservation Engineering, or as a separate priority.
Response: We agree that better data are essential to
successful management for sustainable fisheries. However, we do not believe that
the S-K Program is the best means to conduct such work, due to the
limited funding and the short term of S-K grants. Both NMFS and the
Regional Fishery Management Councils (Councils) receive funds for stock
assessments and related activities under their responsibilities for
implementing the Magnuson-Stevens Act.
Comment 3: An aquaculture company and a shellfish industry
group objected to our proposal to limit the program scope to federally
managed species, and the aquaculture priority to only the off-shore
marine environment, not land-based or near-shore aquaculture.
Response: In the past, we have accepted applications that
addressed Great Lakes species and species under state management plans as well as
federally managed species. While we have funded many worthy projects on
non-federally managed species in the past, current funding is
inadequate to cover every important and deserving project.
However, we have modified the scope somewhat. We recognize
that species that are not currently federally managed, i.e., under Federal
fishery management plans (FMPs), may be relevant to our fisheries
management mission. For example, such species could present an
opportunity to develop a sustainable managed fishery to substitute for
an overfished fishery. Therefore, the scope of the program for FY 2001
has been changed to species under Federal jurisdiction, i.e., in the
EEZ.
We have also modified the proposed funding priority for
aquaculture, in response to the comments received and in accordance
with the NMFS research plan for aquaculture. Although NOAA and NMFS
continue to support all aspects of aquaculture development through various efforts, marine aquaculture remains the appropriate focus for
NMFS and the S-K Program. While off-shore aquaculture development is
still a priority need, we have added language to clarify that for
projects that address off-shore aquaculture, the actual work does not
need to be conducted in the off-shore environment. We have also added
other priority areas, including the need to address environmental
issues, develop best management practices, and develop effective
enhancement strategies for wild stocks of marine and anadromous
species.
As we stated in the notice of proposed priorities, other
programs of the U.S. Department of Agriculture and NOAA's Office of Oceanic and
Atmospheric Research address land-based and near-shore aquaculture
operations. Another possible source of assistance for aquaculture is
our Fisheries Finance Program, which we have revised to make loans to
aquaculture ventures a priority.
D. Funding
We expect to have approximately $3.8 million available for
grant awards for Fiscal Year (FY) 2001, which began on October 1, 2000.
However, we cannot guarantee that sufficient funds will be available to
make awards for all proposals deserving of funding.
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, we will only consider it if it is directed to
a specific problem or need and has a fixed duration. Data collection
programs of a continuing nature will not be considered.
E. Eligibility
You are eligible to apply for a grant or a
cooperative agreement under the S-K Grant Program 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 are strongly committed to broadening the participation
of Minority Serving Institutions (MSIs), which include Historically Black
Colleges and Universities, Hispanic Serving Institutions, and Tribal
Colleges and Universities, in our programs. The DOC/NOAA/NMFS vision,
mission, and goals are to achieve full participation by MSIs, to advance the development of human potential, strengthen the Nation's
capacity to provide high-quality education, and increase opportunities
for MSIs to participate in and benefit from Federal financial
assistance programs. Therefore, we encourage all applicants to include
meaningful participation of MSIs.
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 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 (whether full-time, part-time, or
intermittent) are not allowed to help you prepare your application, except that S-K
Program staff may provide you with information
on program goals, funding priorities, application procedures, and
completion of application forms. Since this is a competitive program,
NMFS and NOAA employees will not provide assistance in conceptualizing,
developing, or structuring proposals, or write letters of support for a
proposal.
Unsatisfactory performance under prior Federal awards may
result in your application not being considered for funding.
F. 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.
G. 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 to you 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.
H. Catalog 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.
I. Application 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, N.E., 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.
J. Electronic Access Addresses
This solicitation and the application package are available
on the NMFS S-K Home Page at:
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.noaa.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:
II. Funding Priorities
Your proposal must address one of the priorities listed
here as
they pertain to species under Federal jurisdiction. 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 between fishing
operations and nontargeted, protected, or prohibited species, including the
inadvertent take, capture, or destruction of such species. These
include juvenile or sublegal-sized fish and shellfish, females of certain crabs, fish listed under the Endangered Species Act (ESA),
marine turtles, seabirds, or marine mammals.
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 (EFH) that adversely affect the sustainability of the fishery.
B. Optimum Utilization of Harvested Resources under Federal Jurisdiction
Reduce or eliminate factors such as diseases, human health
hazards,
and quality problems that limit the marketability of fish under Federal
jurisdiction and their products in the United States and abroad.
Increase public knowledge of the safe handling and use of
fish under Federal jurisdiction and their products.
Develop usable products from economic discards (defined in
the Magnuson-Stevens Act as ``fish which are the target of a fishery, but
which are not retained because they are of an undesirable size, sex, or
quality, or for other economic reasons'') and from byproducts of
processing of federally managed species.
Develop fishing data to be presented to the Council(s) to
determine the feasibility of a new sustainably managed fishery.
C. Planning for Fishing Community Transition
Help fishing communities to address the socioeconomic
effects of overfishing and overcapitalized fisheries through business, community,
or state planning activities, including business planning for fishing
capacity reduction. Activities may complement, but should not duplicate, programs available from other Federal, state, or local
agencies.
D. Marine Aquaculture
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. Although you are not required to conduct the actual work in
the EEZ, your application must demonstrate that the project will
contribute to the goal of off-shore industry development.
Reduce or eliminate legal and social barriers to off-shore
aquaculture development, e.g., legal constraints, use conflicts,
exclusionary mapping, and appropriate institutional roles.
Address environmental issues for marine aquaculture, e.g.,
measure and reduce water quality and benthic community impacts; evaluate and
reduce negative interactions between aquaculture and wild stocks,
protected resources, and EFH; develop best management practices with
scientific analysis and assessment of risk.
Develop effective enhancement strategies for marine and
anadromous species to help in the recovery of wild stocks.
III. How to Apply
You must follow the instructions in this document in order
to apply for a grant or cooperative agreement under the S-K Program. 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.
A. 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.)
B. 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).
C. 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 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.
D. 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:
1. 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.
2. 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.
3. 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.
4. 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.
5. 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; scientific permits under the ESA and/or the Marine Mammal Protection Act; or Magnuson-Stevens Act EFH consultation if the project
may adversely affect areas identified as EFH. Describe the relationship
between the project and these FMPs or activities, and list names and
addresses of persons providing this information. You can get
information on these activities from the NMFS Regions (see Section
I.F., Application ADDRESSES). If we select your project for funding,
you are responsible for complying with all applicable requirements.
6. 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:
(a) What is the project design? What specific work,
activities, procedures, statistical design, or analytical methods will you
undertake?
(b) Who will be responsible for carrying out the various
activities? (Highlight work that will be subcontracted and provisions
for competitive subcontracting.)
(c) What are the major products and how will project
results be disseminated? Describe products of the project, such as a manual,
video, technique, or piece of equipment. Indicate how project results
will be disseminated to potential users.
(d) What are the project milestones? List 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. 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.
7. 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.
8. Project management. Describe how the project will be
organized and managed. Identify the principal investigator and other 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 no more than
two pages long 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.
E. 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. A. of this document); were
submitted by an eligible applicant (see section I.E. of this document);
provide for at least a 10-percent cost share but not more than 50
percent (see section I.G. of this document); involve an eligible activity (see section I.D. of this document); address one of the
funding priorities for species under Federal jurisdiction (see section
II.A.-D. of this document); include a budget and a statement of work including milestones (see sections III.C. and III.D.6 of this
document); and identify the principal investigator (see section III
D.8. of this document). If your application does not 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), NOAA. 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
to which the project involves collaboration with fishing community
members and other appropriate collaborators, proposed means to disseminate project results, 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. Furthermore, if your application is not selected, 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.
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.
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(s), 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 for grants or cooperative agreements for
more than $100,000; and
d. Anti-lobbying disclosures. Any applicant who has paid or
will pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
4. If applicable, require applicants/bidders for subgrants,
contracts, subcontracts, or other lower tier covered transactions at
any tier under the award to submit a completed Form CD-512,
``Certifications Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' and
disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form CD-512 is intended for 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
Executive Order 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.G. 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 (see DATES).
6. Complete Standard Form 424B (4-92), ``Assurances--Non-construction Programs.'' B. Your Obligations as a Successful Applicant
(Recipient) If you are awarded a grant or cooperative agreement 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 NOAA's Grants Management Division 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.
You are encouraged to the extent feasible to purchase
American-made equipment and products with the funding provided under this program.
Note, 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, Commerce has no
obligation to cover preaward costs.
C. Other Requirements
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. 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 Executive Order 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 use of Standard Forms
424, 424B, and SF-LLL have been approved by OMB under the respective
control numbers 0348-0043, 0348-0040, and 0348-0046. NOAA-specific
requirements have been approved under OMB control number 0648-0135.
These requirements and their estimated response times are 1 hour for a project summary, 1 hour for a budget form, 2.5 hours for a semiannual
report, and 13 hours for a final report. These estimates include the
time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing
the collection of information. Send comments regarding these burden
estimates or any other aspect of this collection of information,
including suggestions for reducing this burden, to Alicia Jarboe, F/SF2, Room 13112, 1315 East West Highway, Silver Spring, MD 20910-3282.
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 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: February 28, 2001.
William T. Hogarth,
Acting Assistant Administrator for Fisheries, National Marine Fisheries
Service.
[FR Doc. 01-5560 Filed 3-6-01; 8:45 am]
BILLING CODE 3510-22-S
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