DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 940972-4272; I.D. 101194A]

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.

SUMMARY: NMFS issues this notice 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 1995. The S-K Grant Program assists eligible applicants in carrying out research and development projects that address aspects of U.S. fisheries involving the U.S. fishing industry (commercial or recreational) including, but not limited to, harvesting, processing, marketing, and associated infrastructures.

DATES: Applications must be received by [insert date 60 days from date of publication in Federal Register]. Applicants must submit one signed original and two 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.

Director, Office of Trade and Industry Services,

National Marine Fisheries Service, 1315 East-West Highway,

Room 12660, Silver Spring, MD 20910,

Telephone: (301) 713-2358.

One Blackburn Drive, Gloucester, MA 01930,

Telephone: (508) 281-9267.

Koger Bldg., 9721 Executive Center Drive, North, St. Petersburg, FL 33702,

Telephone: (813) 893-3720.

501 West Ocean Boulevard, Suite 4200, Long Beach, CA 90802- 4213,

Regional Director, National Marine Fisheries Service,

BIN C15700, 7600 Sand Point Way, N.E., Seattle, WA 98115,

Telephone: (206) 526-6117.

P.0. Box 21668, Juneau, AK 99802,

or Federal Building, 709 W. 9th Street, 4th Floor, Juneau, AK 99801,

Telephone: (907) 586-7425.

SUPPLEMENTARY INFORMATION:

I. Introduction.

A. Background.

The Saltonstall-Kennedy (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, including, but not limited to harvesting, processing, marketing, and associated infrastructures. U.S. fisheries include any fishery that is or may be engaged in by U.S. citizens or nationals, or citizens of the Northern Mariana Islands, the Republic of the Marshall Islands, Republic of Palau, and the Federated States of Micronesia.

Passage of the Magnuson Fishery Conservation and Management Act in 1976 gave the domestic fishing industry priority access to the fishery resources in the U.S. Exclusive Economic Zone (EEZ) while restricting the direct participation by foreign harvesting and processing vessels. In 1979, a Prospectus for Development of the United States Fisheries was prepared for the Department of Commerce to support its efforts concerning policy for strengthening the Nation's seafood industry. The prospectus concluded that significant benefits would be gained by society from developing underutilized fish and shellfish resources available within the EEZ, and that Federal Government support was needed to realize such benefits.

In May 1979, the Carter Administration adopted a fisheries development policy and program that advocated a government/industry partnership for the accelerated development of U.S. fisheries. In support of that policy, the Congress passed the American Fisheries Promotion Act in December 1980 which authorized the S-K Grant Program.

The initial focus of the S-K Grant Program, consistent with its legislative mandate, was on development of nontraditional species, such as North Pacific groundfish and East Coast squid. In the ensuing years, as most nontraditional species were fully developed and traditional fisheries became overfished, S-K program priorities evolved to include a wide range of resource conservation and management issues and aquaculture.

In 1993, NOAA developed a long-range Strategic Plan that included a focus on rebuilding U.S. fisheries for sustainable use. By addressing such issues as overfishing and wasteful bycatch of nontarget species, optimum utilization, and development of aquaculture, NOAA will assist the fishing industry in remaining competitive while supporting sustainable and healthy fisheries. This Strategic Plan, along with input from the public, has guided the development of the priorities contained in this solicitation notice.

B. Funding.

NMFS issues this notice 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.

In FY 1995, funding for the S-K Program will be approximately $7.1 million.

C. Catalogue of Federal Domestic Assistance.

The S-K Grant Program is listed in the Catalogue of Federal Domestic Assistance under number 11.427, Fisheries Development and Utilization Research and Demonstration Grants and Cooperative Agreements Program.

II. Funding Priorities.

The priorities listed below are fewer in number and more general in scope than in previous years. Past solicitations defined priorities with a high degree of precision in an attempt to focus narrowly potential applications. The priorities contained in this solicitation are intended to provide potential applicants with a general sense of program focus and are not intended to limit or further constrain the development of proposals by potential applicants.

If proposals received do not adequately respond to these priorities, NMFS may 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.

Proposals submitted in response to the priorities must build upon or take into account any past and current work in the area, as well as relevant research in related fields. Information on ongoing and past studies is available from NMFS at addresses listed.

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.

Consideration will be given to applications that address the

 following priorities, which are listed in no particular
order.
      A.  Optimum Utilization of Harvestable Marine

B. Sustainable Resource Recovery and Conservation.

1. 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.

2. Fisheries Management. Conduct biological, economic, social, and other studies to improve fisheries management, including but not limited to, assessment of alternative management systems and resolution of user conflicts. 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.

C. Aquaculture. Develop or demonstrate cost- effective approaches for advancing environmentally sound private aquaculture development, including those associated with culturing systems, disease control, and regulatory requirements.

D. 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 notice, by:

1. Any individual who is a citizen or national of the United States;

2. Any individual who is a citizen of the Northern Mariana Islands (NMI), being an individual who qualifies as such under section 8 of the Schedule on Transitional Matters attached to the constitution of the NMI;

3. Any individual who is a citizen of the Republic of the Marshall Islands, Republic of Palau, or the Federated States of Micronesia; or

4. Any corporation, partnership, association, or other entity, non-profit or otherwise, if such entity is a citizen of the United States 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, assistance will not be provided in conceptualizing, developing, or structuring competitive proposals.

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, it 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 424 (4-92) as the cover sheet for each project. (In completing item 16 of Standard Form 424, see section V.A.5. of this notice.)

2. Project Summary: An applicant must complete NOAA Form

88-204 (10-92), Project Summary, for each project.

3. Project Budget: A budget must be submitted for each project, using NOAA Form 88-205 (10-92), Project Budget. The applicants must submit 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. Estimated or provisional indirect cost rates may be included pending approval of negotiated Federal indirect cost rates by the applicant's cognizant agency. However, this program limits the indirect cost rate that may be charged to 25 percent of the Federal share of total direct costs or the applicant's negotiated indirect cost rate, whichever is less. Applicants with indirect cost rates above 25 percent of the Federal share 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.

NOAA will not consider fees or profits as allowable costs for applicants.

The total costs of a project consist of all costs incurred in the performance of project tasks, including the value of in- kind contributions, to accomplish the objectives of the project during the period the project is conducted. A project begins on the effective date of an award agreement between the applicant and an authorized representative of the U.S. Government and ends on the date specified in the award. Accordingly, the time expended and costs incurred in either the development of a project or the financial assistance application, or in any subsequent discussions or negotiations prior to award, are neither reimbursable nor recognizable as part of the cost-

share.    

     4.   Narrative Project Description:  As a
guideline, the  narrative project description may be up to 15
pages in length.  NMFS will make all portions of the project
description available to the public and members of the fishing
industry for review and comment; therefore, NMFS will not
guarantee the confidentiality of any information submitted as
part of any project, nor will NMFS accept for consideration any
project requesting confidentiality of any part of the project.

a. Identification of Problem(s): For new projects, identify and completely describe the problem(s) the project addresses. As appropriate, in this description include: (1) The fisheries involved, (2) the specific problem(s) being addressed, (3) the sectors of the fishing industry that are affected, and (4) the specific priority(ies) to which the project responds. If the application is for the continuation of an existing S-K funded project, describe in detail progress to date and explain why continued funding is necessary.

b. Project Goals and Objectives: State what the proposed project is expected to accomplish, and describe how this will eliminate or reduce the problem(s) described in 4.a. above.

c. 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.

d. Participation by Persons or Groups Other Than the Applicant: Describe: (1) The participation by government and non-government entities, particularly members of the fishing industry, required in the project(s); and (2) the nature of such participation. In addition, list names and addresses of the members of the fishing industry consulted during the preparation of the project description.

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 Programs, 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.

f. 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. A milestone chart that outlines major goals, supporting work activities, timeframe, and individuals responsible for various work activities must be included. The narrative should include information that responds to the following questions:

(1) How will the project be designed?

(2) What major products (e.g., research, services, or reports) will result and what are their specific purposes?

(3) What work, activities, procedures, statistical design or analytical methods (be as specific as possible) will be undertaken to produce major products?

(4) Who will be responsible for carrying out the various activities? (Highlight work that will be subcontracted and provisions for competitive subcontracting.)

The milestone chart should graphically illustrate:

(1) Steps to accomplish the major products, research, services and/or activities;

(2) Supporting activities and associated timelines, e.g., month 1, month 2; and

(3) The individual(s) responsible for the various activities.

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.

g. 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, their qualifications, experience, and level of involvement in the project. If any portion of the project will be conducted through consultants and/or subcontracts, applicants, as appropriate, 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.

h. Project Impacts: Describe the anticipated impacts of the project in terms of landings, production, sales, improvement in product quality or safety, or other measurable factors.

Describe how the results of the project will be made available to the public.

i. 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. Information presented in this section should be clearly referenced in the project description, where appropriate.

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 notice. Applications which do not conform to the requirements may not be considered for further evaluation.

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. Public Review and Comment: Applications that are regional in nature may be inspected at the appropriate regional office (see ADDRESSES). All applications will be available for inspection at the NMFS Office of Trade and Industry Services, 1315 East-West Highway, Room 12550, Silver Spring, MD, from [insert date 67 days from date of publication in the Federal Register] to [insert date 81 days from date of publication in the Federal Register]. Written comments will be accepted at the Silver Spring, MD office or at a regional office until [insert date 81 days from date of publication in the Federal Register].

4. Technical Evaluation: NMFS will solicit individual written technical evaluations of each project application from three or more appropriate private and public sector experts. Point scores will be given to project applications based on the following evaluation criteria:

a. Problem Description and Conceptual Approach for

Resolution. Both the applicant's comprehension of the problem(s) and the overall concept proposed to resolve the problem(s) will be evaluated. (25 points).

b. Soundness of Project Design/Technical Approach. Applications will be evaluated to determine whether or not the applicant provided sufficient information to evaluate the project technically and, if so, the strengths and/or weaknesses of the technical design proposed for problem resolution. (25 points).

c. 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. (20 points).

d. Project Evaluation. The effectiveness of the applicant's proposed methods to evaluate the project in terms of meeting its original objectives will be evaluated. (10 points).

e. 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. (20 points).

f. In addition to the above criteria, in reviewing applications that include consultants and contracts, NMFS will make a determination regarding the following:

(1) Is the involvement of the primary applicant necessary to the conduct of the project and the accomplishment of its objectives?

(2) Is the proposed allocation of the primary applicant's time reasonable and commensurate with the applicant's involvement in the project?

(3) Are the proposed costs for the primary applicant's involvement in the project reasonable and commensurate with the benefits to be derived from the applicant's participation?

5. Technical Panel: Upon completion of the initial screening of applications, consultations with interested parties, the public review and the written technical evaluations, if deemed necessary, NMFS may convene a panel of three or more technical experts to provide independent advice as to which proposals have sufficient scientific and technical merit to be further considered.

6. Constituent Panel: After the technical evaluation(s), 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 to each project and the merits and benefits 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 project.

2. Be available, upon request, in person or by designated representative, to respond to questions during the review and

 evaluation of the project(s).  
     3. Primary Applicant Certification.  Applicants whose
applications are recommended for funding will be required to
complete Form CD-511, "Certification Regarding Debarment,
Suspension and Other Responsibility Matters; Drug-Free Workplace
Requirements and Lobbying," and the following explanations
are

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. Lower Tier Certifications. Applicants whose applications are recommended for funding shall require applicants/bidders for subgrants, contracts, subcontracts, or other lower tier covered transactions at any tier under the award to submit, if applicable, 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 the Department of Commerce (DOC). SF-LLL submitted by any tier recipient or subrecipient should be submitted to DOC in accordance with the instructions contained in the award document.

All required forms discussed in sections V.A.3. and 4. will be provided to successful applicants.

5. Intergovernmental Review of Federal Programs. This program is covered by E.O. 12372. Any applicant submitting an application for funding is required to complete item 16 on Standard Form 424 (4-92) regarding clearance by the State Point Of Contact (SPOC) established as a result of E.O. 12372. A list of SPOCs may be obtained from any of the NMFS offices listed in this notice (see ADDRESSES).

B. Other Requirements.

1. Federal Policies and Procedures. Recipients and subrecipients are subject to all Federal laws and Federal and DOC 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 the DOC 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

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 DOC 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 in accordance with Congressional intent as set forth in the resolution contained in P.L. 103-317, sections 607 (a) and (b).

7. Preaward Activities. If applicants incur any costs prior to an award being made, they do so solely at their own risk of not being reimbursed by the Government. Notwithstanding any verbal or written assurance that may have been received, there is no obligation on the part of DOC 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).     

This action has been determined to be not significant for

 purposes of E.O. 12866.
     Applications under this program are subject to
Executive

This notice contains a collection-of-information requirement subject to the Paperwork Reduction Act. The collection of this information has been approved by the 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: October 12, 1994.

Gary Matlock,

Program Management Officer, National Marine Fisheries Service.