**[National marine fisheries service]{.smallcaps}**

![](media/image1.png){width="6.3in" height="5.135416666666667in"}

**2007**

**COOPERATIVE ENFORCEMENT PROGRAM**

**JOINT ENFORCEMENT AGREEMENTS**

**PROGRAM MANUAL**

**[TABLE OF CONTENTS]{.underline}**

**Introduction
..............................................................................
3**

**Ch. 1 Statutory Authority
............................................................. 4**

**Ch. 2 Program Goals and Objectives
............................................... 5**

**Ch. 3 Enforcement
Priorities...........................................................
6**

**Ch. 4 Funding Guidance .
.............................................................. 10**

**Ch. 5 Evaluation
Criteria.........................................................\...\...
12**

**Ch. 6 Roles and
Responsibilities...................................................\...
14**

**Ch. 7 JEA Application Package
Requirements....................................16**

**Ch. 8 Allocation of
Funds...............................................................20**

**Ch. 9 JEA Application Steps
.......................................................\... 26**

**Ch. 10 Performance Review
........................................................... 27**

**Ch. 11. Program Evaluation
........................................................... 28**

**Ch. 12 OLE JEA Contacts
............................................................ 31**

**APPENDIX
................................................................................................36**

**1. JEA Template
............................................................\...\...\...\...\....
37**

**2. JEA Template Instructions
........................................................ 46**

**3. Operations Plan Template
......................................................... 59**

**4. Operations Plan Template Instructions
.......................................... 65**

**5. Costing Plan Template
............................................................. 75**

**6. Costing Plan Template
Instructions................................................ 79**

**7. Vendor Profile Information Template
............................................ 90**

**8. Vendor Profile Information Template
Instructions............................ 94**

**9. Costing
Policy..........................................................................103**

**INTRODUCTION**

In March 2003, the US Department of Commerce, Office of the Inspector
General (OIG) issued a report, No. IPE-15154/March 2003, and made
specific recommendations regarding the Office for Law Enforcement's
(OLE) Cooperative Enforcement Program (CEP), and in particular, the
Joint Enforcement Agreements (JEA) that OLE manage. (See, pp. 20-27)
Specifically, the report noted that "OLE needs to prepare clear and
specific guidance for the JEA program that sets forth program goals,
priorities, and requirements; spending guidelines; agreement approval
and evaluation criteria; and federal and state agency rules and
responsibilities. OLE also needs to increase its verification of
state-level reporting and conduct site visits to evaluate program
activities."

This Program Manual is intended to address those and other OIG
recommendations and to provide information and guidance to OLE personnel
and OLE's state and territorial partners.

**BASIC ELEMENTS OF JEA PROCESS**

NMFS/OLE OLE States OLE Reviews NMFS/OLE States OLE

Establishes \-\-\-\--Communicates\-\-\--Submit\-\-\-\-\-- Proposals
&\-\-\-\-\-\-\-\-\--Distributes\-\-\--Submit \-\-\--Monitors

Priorities Priorities Proposals Determines Funding Funding Reports
Performance

**Source:** OIG Report p. 21

> **CHAPTER ONE**
>
> **STATUTORY AUTHORITY**

OLE is authorized to enter into Cooperative Enforcement and Joint
Enforcement agreements based upon the authority granted under the
following federal laws:

-   **The Magnuson-Stevens Fishery Conservation and Management Act (16
    U.S.C. §1801, et seq.)**

-   **The Endangered Species Act of 1973 (16 U.S.C. §1531, et seq.)**

-   **The Lacey Act Amendments of 1981 (U.S.C. §3371, et seq.)**

-   **The Atlantic Coastal Fisheries Cooperative Management Act (16
    U.S.C. § 5101, et seq.)**

-   **The Atlantic Tunas Convention Act of 1975 (16 U.S.C. §971, et
    seq.)**

-   **The National Marine Sanctuaries Act (16 U.S.C. §1431, et seq.)**

-   **The Northern Pacific Halibut Act of 1982 (16 U.S.C. §773, et
    seq.)**

Each of these laws is slightly different from the others in language and
applicability, but all serve the central purpose to allow the Secretary
of Commerce to enter into Agreements to secure the enforcement of
federal maritime conservation and protect our nation's living marine
resources.

**CHAPTER TWO**

**PROGRAM GOALS AND OBJECTIVES**

The Cooperative Enforcement Program (CEP), operated by the National
Marine Fisheries Service, Office for Law Enforcement (NMFS/OLE or OLE)
has, since its inception aimed to increase federal marine resource
conservation, and endangered species and critical habitat enforcement
while simultaneously strengthening state and territorial enforcement
resources. This program utilizes two main tools to execute this mission.
First, is the Cooperative Enforcement Agreement (CEA) which deputizes
state and U.S. territorial marine conservation law enforcement officers
as federal law enforcement agents. The second is the Joint Enforcement
Agreement (JEA) which is the actual vehicle through which funds are
transferred to State and U.S. territorial law enforcement agencies to
perform law enforcement services in support of federal marine
conservation regulations, endangered species, and critical habitats and
to also enhance their ability to conduct both Federal and local
enforcement.

**OBJECTIVES:**

-   Establish OLE policies and procedures for administering CEP and
    JEA's

-   Identify and describe the types of agreements that OLE enters into
    with State and territorial entities

-   Identify and describe the responsibilities and functions of OLE
    officials in administering agreements

-   Achieve operational priorities identified by NMFS/OLE supervisors by
    State/territorial entities.

-   Supplement federal and state marine resource conservation and
    endangered species and critical habitat enforcement mission.

-   Provide meaningful analysis and measurement of CEP goals and
    objectives.

-   Encourage cooperation and flexibility in administration of program.

-   Identify best practices.

-   Collect and analyze data in order to enhance program and achievement
    of federal priorities

-   Provide meaningful feedback to NMFS/OLE supervisors and state/U.S.
    territorial entities as to whether enforcement efforts are
    consistent with purposes and goals of CEP.

**CHAPTER THREE**

**ENFORCEMENT PRIORITIES**

OLE must make the most effective use of its limited staff resources. All
enforcement activities do not contribute equally to marine conservation.
OLE division heads and managers must be able to accomplish NMFS
enforcement priorities and initiate appropriate enforcement action that
will have the greatest impact.

**OLE enforcement efforts and those covered by a JEA should focus on
those illegal activities having the greatest negative impact on
federally protected fisheries, sanctuaries, endangered species, and
protected habitats.**

Enforcement priorities and needs are driven by OLE's mission and
obligations, and by state and territorial resources. These priorities
and needs, however, vary from one geographical area to the next.
Depending upon the complexity and breadth of a particular enforcement
need, OLE may have sufficient manpower and resources to commit the
proper level of attention to the matter or they may need assistance from
outside sources. JEA's are intended to fill that need by providing
financial and material incentives to State and territorial partners to
provide the resources the OLE lacks. This section will help OLE managers
and state and territorial partners to identify priorities that will be
addressed in a JEA.

OLE division heads must actively seek opportunities to efficiently and
economically accomplish the OLE mission by entering into advantageous
relationships with State and territorial entities. The OLE will
formalize and document these relationships through Cooperative
Enforcement Agreements, Joint Enforcement Agreements and Operations
Plans which will explain how the relationships are managed. The
foundation of these various devices is the enforcement priorities
identified by NMFS and OLE division heads. OLE division heads are
responsible for insuring that the enforcement priorities of the division
are dealt with by OLE resources or JEA with state or territorial
involvement. Below are some helpful hints to identify and implement
enforcement priorities.

**IDENTIFY PRIORITIES**

Priorities can be developed from a range of sources---OLE's local
partners, local intelligence gatherers, other government or national
bodies, and from OLE sources itself.

**Engage Local Partners**

The best source of information about the types of marine conservation
issues involving local jurisdictions is the state and territorial law
enforcement agencies themselves. Very often the OLE division already has
an excellent and close working relationship with those agencies. This
includes working jointly on enforcement initiatives, sharing information
and intelligence, partnering on training, and communicating regularly.

These relationships have been used to identify federal enforcement
issues that become priorities and the means to accomplish those needs.
But, they also operate to gather feedback on draft priorities to make
sure the priorities are attainable through the partnership.

**Use Local Intelligence**

Most successful OLE divisions have good local intelligence gatherers in
their areas and communities. These can be the councils and commissions
who oversee marine conservation efforts in the region. Or,
informants---insiders in the fishing industry---can provide valuable
information that leads to the identification of an enforcement need or
priority. Open lines of communication are invaluable. Intelligence is
worthless if it does not reach OLE.

**Incorporate National Priorities**

Much of OLE's mission is dictated by National Marine Fisheries Service
(NMFS) mandate. Effective managers are aware of the priorities of the
region that have been established by NMFS. Those priorities are usually
detailed and specific and provide a framework from which all enforcement
priorities stem.

**Identify Region's Priorities**

Aside from the national perspective, local councils and commissions,
usually through regulation, determine their own priorities. Effective
councils and commissions are aware of OLE's enforcement priorities. And,
the reverse is true for effective OLE managers. This is particularly
important for those priorities that relate to the quality of the
fisheries and resources of the region, which cut across the missions of
OLE and the goals of the region's resource managers. Shared priorities
have a better chance of being achieved.

**Gather OLE Priorities**

Setting enforcement priorities within the division is an important step
to understand the marine conservation issues that affect an area and to
identify what goals are achievable. Most often the highest priority goes
to the activity with the greatest impact on the resource or what will
garner the most public attention or support. Those activities are often
prioritized based on the availability of human, environmental, or
financial resources needed to achieve them or external threats or
pressures such as pending legislation or an upcoming event. Like issues,
timing is also

a consideration. Some goals will need to be worked on over a period of
time while others can be achieved relatively quickly.

**SAC Responsibilities**:

-   Keep a list of enforcement issues that come up during the year

-   Attend meetings of councils and commissions

-   Analyze internal data

-   Speak to local partners regularly about enforcement needs and
    successes

-   Write down what you want to achieve

-   Break those goals into manageable targets

-   Incorporate national priorities and goals

-   Establish a process---engage DSAC's, ASACS, field agents

-   Develop a manageable, reasonable list of priorities and goals that
    can be accomplished within a set period of time.

-   Identify which priorities will be handled by OLE

-   Identify which priorities can be handled jointly with state or
    territorial partners

-   Identify those priorities that can only be achieved by a state or
    territorial partner through a JEA

-   ***Priorities can be identified and adjusted anytime according to
    needs, resources and opportunities.***

**PRIORITIZE THE PRIORITIES**

Once the division manager has identified what the needs of the division
are, the manager will have to put these needs into some type of order.
It is important to be realistic---can all of the priorities be achieved
at the same time? A common obstacle is that the division may identify
too many priorities without a clear idea of how they would all be
delivered. Better divisions will, however, prioritize the needs and
establish reasonable timetables to accomplish them in stages. By doing
this, divisions will be able to accomplish more.

**Be Specific**

Especially when dealing with priorities that will be handled jointly or
by state or territorial partners, it helps if the priorities are not
just broad generic areas such as "inspect seafood processing plants."
This is more of vision than a priority. This vision could be better
stated "inspect seafood processing plants to insure compliance with
species limits." In this way, the priority can be backed up with
specific, measurable, achievable, relevant, and time-bound targets that
can be measured by a number of performance indicators. In this example,
the enforcement targets might be "to ensure that during the months of
June and July, fishing vessels are meeting and not exceeding take limits
for Atlantic Tuna, by inspecting fish processing plants on a daily
basis."

**Balance Local with National Priorities**

Once priorities have been identified the next step is to develop a
balance between competing ones. Will the NMFS priorities take precedence
over state/territorial priorities? OLE managers will have to achieve the
proper balance in determining which priorities will receive the most
attention. Consultation with NMFS leaders, OLE leadership, and local
partners will most often lead to a proper balance.

**Align Priorities with State or Territorial Partners**

Once priorities have been identified and prioritized, divisional
managers should work with their state and territorial partners to create
as wide a resource base as possible so that the priorities can be met.
Understanding the abilities and limitations of state and territorial
partners will also ensure that priorities, once relegated, can be
achieved as expected.

**MAINTAIN FOCUS**

**Use JEA Processes to Ensure Focus**

The best way to maintain focus for enforcement priorities is to
negotiate an agreed-upon plan with state and territorial partners who
will do the work that will achieve the priority. OLE has, for 5 years,
operated under joint enforcement agreements with various coastal states
to meet the enforcement needs of the agency that cannot be met through
internal resources. This program manual is intended to provide the means
and processes by which the JEA is negotiated and implemented.

**Communicate Priorities**

Keeping everyone in the region and the key partnerships aware of the
priorities and progress on these is an important factor in maintaining
focus. Division managers should use a variety of methods, such as staff
briefings, council and commission meetings, local partnership meetings,
newsletters, and email. Key messages need to be championed by the OLE
leadership and SAC's, with the priorities stated and restated.

**Review Priorities**

It is important to revisit and review priorities at regular intervals,
assessing progress and making changes to them as appropriate. This is
usually accomplished by analysis of monthly reports submitted by the
partner. If the aims have been achieved then it is important to focus on
more pressing priorities. There is an important role for scrutiny to
keep an overview of progress against priorities, and to investigate and
identify any blockages that are preventing progress from being made.

**Source:** Audit Commission: Setting Priorities and Maintaining Focus

**CHAPTER FOUR**

**FUNDING GUIDANCE**

OLE is responsible to provide a program guide that explains JEA funding
disbursement options and allowable uses of funds.

**THE JEA IS A UNIQUE FUNDING INSTRUMENT AND IS NOT SUBJECT TO THE
REGULATIONS THAT GOVERN TRADITIONAL FINANCIAL ASSISTANCE AWARDS (GRANTS
AND COOPERATIVE AGREEMENTS).**

**Source:** OIG, Final Report, IPE-15154, p.23.

**MULTI-YEAR DISBURSEMENTS**

JEA funds are usually distributed in one lump sum. However, recipients
have the option of receiving JEA funds in several disbursements spread
out over the term of the JEA.

-   States/Territories may receive JEA funds in one lump sum

-   Or, States/Territories may receive JEA funds spread over 2 or 3
    years, if permissible.

-   JEA must provide for disbursement terms.

-   JEA funds must be obligated and spent during the life of the term.
    Otherwise, any unspent funds must be returned to OLE.

**IMPORTANT**

**JEA FUNDS MAY BE SPREAD OUT OVER MULTIPLE YEARS, BUT THE JEA MUST
SPECIFICALLY STATE THE PAYMENT TERMS. DIFFERENT JEA TERMS APPLY FOR
MULTIPLE YEAR AGREEMENTS. FOR MORE INFORMATION, SEE JEA TEMPLATE AND
INSTRUCTIONS, APPENDIX 1 AND 2.**

**ALLOWABLE COSTS**

Another area that requires guidance is the allowable uses of JEA funds.
JEA's are not subject to the traditional regulations regarding allowable
and non-allowable costs that will be covered by federal funding.
Therefore, there exists little guidance as to what will be considered an
allowable cost under the JEA. OLE generally will allow all reasonable
costs for personal services, including wages and fringe benefits.

Additionally, OLE permits direct purchases of equipment and supplies
that support the State/Territories marine conservation efforts. Those
costs are explained in the Costing Policy also.

Although not a definitive source or mandatory in the sense that it is
authority for JEA purposes, it is helpful to look to the provisions of
OMB Circular A-87 for examples of allowable and non-allowable costs.

**IMPORTANT**

**FINAL DETERMINATION OF ALLOWABLE COSTS WILL BE MADE BY NMFS/OLE.
NOTHING IN THIS SECTION IS INTENDED TO IMPLY THAT THE PROVISIONS OF OMB
CIRCULAR A-87 GOVERN THE ALLOWABLE USES OF JEA FUNDS. THE INFORMATION IS
PROVIDED ONLY AS A GUIDE.**

CHAPTER FIVE

EVALUATION CRITERIA

In the third element of the JEA process, states and territories may
submit a funding proposal under a JEA. This process is the culmination
of negotiations between the OLE regional managers and the state
enforcement officials. The goal of the negotiations is for OLE to
outline the federal enforcement needs for the immediate and foreseeable
future and the identification of resources that might be available or
might be needed at the state level to meet those needs, whether those
needs are manpower or material or both.

The state may seek JEA funding for manpower and material resources to
assist it in completing not only those federal JEA obligations, but also
its own state-mandated duties. An application package is prepared by the
state and submitted through the regional OLE division for approval.

**IMPORTANT**

**FUNDING IS ALWAYS DEPENDENT UPON CONGRESSIONAL APPROPRIATIONS AND IS
SUBJECT TO CHANGE OR MODIFICATION. BEST EFFORTS WILL BE MADE TO TIMELY
NOTIFY ELIGIBLE STATES AND TERRITORIES OF THE AVAILABILITY AND
APPROPROXIMATE AMOUNT OF ALLOTMENT FOR EACH STATE OR TERRITORY.**
**NMFS/OLE DOES NOT AND CANNOT GUARANTEE THAT APPROPRIATIONS WILL NOT BE
MODIFIED OR THAT THE AMOUNT AWARDED TO A STATE OR TERRITORY WILL NOT BE
MODIFIED AFTER IT IS INITIALLY OFFERED.**

Application packages are evaluated on:

-   Have adequate funds been appropriated?

-   Completeness of application, i.e. are all documents attached? Are
    all questions answered?

-   Timeliness of application? Was it submitted within the proper time
    frame?

-   Does the application contain the essential elements of the agreement
    with the regional OLE office?

-   Does the application accurately describe the federal enforcement
    priorities as determined by the OLE region?

-   Does the application adequately describe the work to be done as it
    relates to the priorities?

-   Does the application otherwise meet all of the required-language
    requirements of the program?

-   Have any extraneous provision been added? If so, why and what
    relevance does it have to the JEA?

-   Are the terms of the work to be performed adequately described to
    permit proper reporting and tracking?

-   Has the OLE SAC reviewed the application package and concurred with
    the request?

-   Are the financial terms in line with OLE's allotment?

-   Are all of the cost calculations accurate?

-   Is there adequate supporting documentation for the figures entered
    in the cost calculations?

-   Are the cost calculations understandable?

-   Do the cost calculations for direct services roughly equal those of
    the direct purchases?

-   Will the designated work be done within the available period of
    funding?

-   Are there any other relevant issues to be considered?

**IMPORTANT**

**JEA COST CALCULATIONS SHOULD HAVE AN APPROXIMATE 50/50 RATIO OF DIRECT
SERVICE COSTS TO DIRECT PURCHASE COSTS. THOSE WHO DO NOT MEET THIS
GUIDELINE MAY BE DELAYED PENDING FURTHER EXPLANATION AND REVIEW. FOR
MORE INFORMATION, SEE APPENDIX 6, INSTRUCTIONS FOR COMPLETING COST
CALCULATIONS.**

JEA's meeting these requirements and criteria will be approved for
further processing, provided adequate funds are available to fund the
JEA.

**CHAPTER SIX**

**ROLES AND RESPONSIBILITIES**

**SAC'S (Some duties may be delegated)**

-   Meet quarterly with the NMFS regional administrator and NOAA General
    Counsel to discuss federal fisheries enforcement issues

-   Meet with councils, commissions, and state partners as necessary to
    discuss and identify federal fisheries enforcement issues

-   Develop a system for identifying federal enforcement priorities and
    needs

-   Identify federal enforcement priorities and needs

-   Communicate those enforcement priorities to the appropriate NMFS
    officials, OLE leadership, councils and commissions, and state
    marine conservation officials.

-   Determine what level of assistance will be required to meet the
    priorities and needs.

-   Negotiate with state enforcement partners to determine if the state
    is willing to participate and, if so, what resources can be brought
    by or will be needed by the state to meet those needs

-   Determine, in conjunction with the state, the appropriate plan of
    operations to accomplish OLE's goals

-   Assist the state in preparing the JEA application package

-   Review the completed application package using the evaluation
    criteria

-   Note approval of the application

-   Follow-up to insure that application is received at Headquarters

-   Assist Headquarters staff as needed

-   Supervise JEA technician or representative

-   Review JEA progress

-   Analyze JEA reporting

-   Communicate with NMFS/OLE/state on
    deficiencies/problems/achievements

-   Take responsibility for overall performance of JEA

**JEA TECHNICIANS/REPRESENTATIVES**

-   Maintain competency and familiarity with JEA program

-   Maintain JEA records

-   Maintain JEA contacts list

-   Communicate as needed with state JEA counterpart/officials

-   Assist as needed in preparing JEA application packages

-   Insure accuracy and completeness of application package

-   Receive reporting

-   Evaluate reporting for compliance with terms of JEA

-   Complete internal tracking/data entry

-   Issue reports as needed

-   Conduct periodic reviews

-   Assist Headquarters as needed

**HEADQUARTERS PERSONNEL**

-   Maintain JEA records

-   Accept and review JEA application packages

-   Evaluate application packages

-   Notify applicants and OLE divisional staff each completed review
    step

-   Forward completed packages for final approval

-   Ensure that payments are made according to JEA

-   Monitor funding levels to ensure adequate funding

-   Adjust allotments as necessary

-   Prepare and conduct review of state and territorial partners

**STATE/TERRITORIAL PARTNERS**

-   Meet regularly with OLE divisional managers

-   Discuss local and federal enforcement strategies and priorities with
    OLE

-   Determine whether JEA program will assist in meeting state needs
    while providing a valuable service to the federal government

-   Determine what resources are available or are needed to meet state
    needs

-   Determine what resources are available or are needed to support
    federal priorities if JEA is sought

-   Determine manpower requirements for state needs and JEA, if sought

-   Discuss manpower and resource capabilities with OLE divisional
    manager to determine whether it is feasible to enter into JEA

-   If appropriate, prepare JEA application package and submit

-   Maintain proper JEA records

-   Maintain and prepare internal controls to ensure that federal
    resources are used properly and adequate controls are in place to
    ensure accountability

-   Use federal funds as appropriate and called for in JEA

-   Submit reports and purchase vouchers as appropriate

-   Cooperate with OLE review process

**CHAPTER SEVEN**

**JEA APPLICATION PACKAGE REQUIREMENTS**

.

**JOINT ENFORCEMENT AGREEMENT**

The JEA is the main vehicle through which Cooperative Enforcement is
implemented. A state or U.S. Territory agrees to conduct specific
maritime saltwater enforcement work on Behalf of the federal government,
in exchange for a corresponding level of financial support.

> ![](media/image2.jpeg){width="5.022222222222222in"
> height="6.240277777777778in"}

**OPERATIONS PLAN**

The operational details of the agreed upon strategy between the SAC and
the agency are set forth in the Operation Plan. Its purpose is to
provide detailed information about the types of programs targeted for
increased enforcement, the resources the agency will provide in support
of the JEA, and the equipment or property that will be purchased with
JEA funds. Further, the Operations Plan is intended to explain,
describe, and elaborate upon the work to be performed.

![](media/image3.jpeg){width="4.280555555555556in"
height="5.611111111111111in"}

**COST CALCULATIONS**

In 2004, NMFS/OLE endeavored to create a standardized method with which
its state/territorial partners would estimate their costs incurred under
the proposed JEA for doing federal enforcement work. The aim of this
policy was to ensure fairness not only among the state/territories, the
state/territory and the federal governments, but also to the federal
taxpayer as well. It sought to create a consistent standard to allocate
funds equitably and fairly to OLE's partners in exchange for federal
work.

The Costing Policy breaks down a federal award into two parts; the
Direct Operations Component and the Direct Purchase Component. Together,
these two values ultimately determine the amount of funding a state or
U.S. Territory will receive in exchange for their federal commitment.

Cooperative Enforcement Program

2007 Costing Plan

**\[State/Territory\]**

  ---------------------------------- ------------------ --------- ---------
  **2007 JEA Direct Operations                                    
  Component**                                                     

  **Step 1: Man Hour Cost                                         
  Calculation**                                                   

                                                                  

  [Law Enforcement Officer (LEO)                                  
  labor cost]{.underline}                                         

  1\. Yearly max salary of                                        
  Journeyman                                                      

  Hourly / 2080                                                   

  Overtime x1.5 (75% of time)                                     

  2\. Government benefits cost                                    
  reduced to hourly cost                                          

  FICA                                                            

  Employee retirement                                             

  Employee health and life insurance                              

  Workers\' compensation insurance                                

  Unemployment insurance                                          

  **Total LEO Hourly Labor Cost**                                 

  **Total LEO Overtime Labor Cost**                               

  [Administrative Support/Specialist                              
  labor cost]{.underline}                                         

  1\. Yearly max salary of                                        
  \[Position\]                                                    

  Hourly / 2080                                                   

  2\. Government benefits cost                                    
  reduced to hourly cost                                          

  FICA 7.65%                                                      

  Employee retirement 9.25%                                       

  Employee health and life insurance                              
  \$0.0                                                           

  Workers\' compensation insurance                                

  Unemployment insurance                                          

  **Total Admin/Support Hourly Labor                              
  Cost**                                                          

                                                                  
  ---------------------------------- ------------------ --------- ---------

**VENDOR PROFILE INFORMATION FORM**

In order to receive payment of JEA funds, States and Territories must
complete and submit a Vendor Profile Information form with the
application package.

Number range CHAPTER**VENDOR PROFILE INFORMATION**

The purpose of this form is to provide mandatory award and payment
information for NOAA. This information is required as set forth in FAR
52.232-33, *Mandatory Information for* *Electronic Funds Transfer
Payment*, the Debt Collection Improvement Act of 1996, and the Taxpayer
Relief Act of 1997. NOAA will use the information only for the purposes
stated in the references cited above and will restrict access to the
data to authorized personnel who will use it only for the specified
purposes. Until this information is received, our payment office will
not make any payments.

Please check one: \_\_\_\_ NEW \_\_\_\_ CHANGE (please complete bolded
areas only, along with your changes)

**NAME: Legal
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Parent Company Name (if
applicable)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Acronym or shortened
name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (8
characters/digits or less)

What type of Vendor are you (select one):

\_\_\_\_ Small Disadvantaged Business \_\_\_\_ Individual

\_\_\_\_ Other Small Business \_\_\_\_ State/Local Government - Hospital

\_\_\_\_ Large Business \_\_\_\_ Other State/Local Government

\_\_\_\_ JWOD Non-Profit Agency \_\_\_\_ Foreign Contractor

\_\_\_\_ Non-Profit Educational Organization \_\_\_\_ Domestic
Contractor Performing Outside US

\_\_\_\_ Non-Profit Hospital \_\_\_\_ Tribal Government

\_\_\_\_ Federal Government \_\_\_\_ HBC/U or Mi

\_\_\_\_ Other Non-Profit Organization \_\_\_\_ Private University

\_\_\_\_ State/Local Government - Educational

DOC/NOAA customer account
number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(if any)

Foreign Corporation Yes\_\_\_\_ No\_\_\_\_

Minority Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

Women Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

**Taxpayer Identification Number (TIN)\***

**SSN (individual/sole
proprietorship)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**EIN (Corporation/partnership/sole proprietorship with one or more
employees) \# of parent
company\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**\# of Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**DUNS \# (commercial vendors
only)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\* The Taxpayer Identification Number (TIN) is required by law. If you
fail to provide us with this information, your payments may be subject
to income tax withholding.

Type of Entity/Account applicable to the TIN. (See Form W-9 Request for
Taxpayer Identification Number & Certification, Specific Instructions
Section). Select One:

 Broker or Registered Nominee  Corporation  Individual

 Partnership  Sole Proprietorship  Federal Government

 Revocable Savings Trust  Custodian Account of a minor  Valid Trust,
Estate, Pension

 Association, Club, Religious,  Account with the Dept of Agriculture
Trust

Charitable, Educational, or other in the name of a public entity (such 
Joint Account (Two/more

tax exempt organization as State/Local Government, School Individuals)

District, or Prison)

**CHAPTER EIGHT**

**ALLOCATION OF FUNDS**

Allocation of funding is a difficult task. The Director determines the
amount of JEA funds to be offered to each eligible State/Territory based
upon congressional appropriations. Although Congress has funded JEA's
for several years and is expected to continue, OLE cannot and does not
warrant that JEA funds will be available and will not and cannot fund
JEA's without congressional support.

To assist the Director in determining appropriate amounts, various
sources may be used, including official state, territory, NOAA, National
Marine Fisheries Service, or other documents. In addition, the Director
may use surveys to gather pertinent information.

**SAMPLE SURVEY:**

**[COOPERATIVE ENFORCEMENT PROGRAM SURVEY]{.underline}**

**PART A**

**To Be Completed by State/Territory**

This is a two-part survey. Part A is completed by the State/Territory;
Part B is completed by the Office for Law Enforcement. Except where
specifically exempted, please provide the information requested below.
Any information that does not apply or is not available should be noted
appropriately. If exact numbers are not available, please note on the
form if the numbers supplied are approximated. Though not the sole basis
for funding allocations, the information you provide may be considered
during the allocation process. **Forward this form to the Office for Law
Enforcement Division Special Agent-In-Charge in your area for
completion.** For questions concerning this survey, call S/A Michael
Fry, at (301) 427-2300

**Agency Profile**

Name of
Agency\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone Number (
)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Sworn\_\_\_\_\_\_\_\_ (Total Marine Enforcement
Dedicated\_\_\_\_\_\_\_) Total Civilian \_\_\_\_\_\_\_\_\_\_\_

Total Near Shore Vessels \_\_\_\_\_\_\_ Total Off-Shore
Vessels\_\_\_\_\_\_\_\_ Total Aircraft \_\_\_\_\_\_\_\_\_\_\_

Name and Title of Head of
Agency\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address (if
different)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone (
)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

E-mail Of Head of
Agency\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Principle JEA Contact
Person\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone \# of Contact Person ( )\_\_\_\_\_\_\_\_\_\_\_\_\_ E-mail of
Contact Person \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Percentage of Enforcement Activities Devoted to Marine Resource
Conservation\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_%

Fiscal Year
\_\_\_\_\_\_\_\_\_\_[to]{.underline}\_\_\_\_\_\_\_\_\_\_\_\_\_

**About Your State/Territory**

Commercial Landings, in pounds, each of last 5 years and value:

State: Federal (To Be Completed by OLE)

2001 \_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 2001
\_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2002 \_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 2002
\_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2003 \_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 2003
\_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2004 \_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 2004
\_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2005 \_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 2005
\_\_\_\_\_\_\_\_\_\_ \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Source:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Source:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**About Your State/Territory (continued)**

Recreational Landings, in pounds, each of last 5 years:

State: Federal (To be completed by OLE):

2001 \_\_\_\_\_\_\_\_\_\_\_ 2001 \_\_\_\_\_\_\_\_\_\_

2002 \_\_\_\_\_\_\_\_\_\_ 2002 \_\_\_\_\_\_\_\_\_\_

2003 \_\_\_\_\_\_\_\_\_\_ 2003 \_\_\_\_\_\_\_\_\_\_

2004 \_\_\_\_\_\_\_\_\_\_ 2004 \_\_\_\_\_\_\_\_\_\_

2005 \_\_\_\_\_\_\_\_\_\_ 2005 \_\_\_\_\_\_\_\_\_\_

Source:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Source:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Number of Angler Trips: 2001 \_\_\_\_\_\_\_\_\_\_\_

2002 \_\_\_\_\_\_\_\_\_\_\_

2003 \_\_\_\_\_\_\_\_\_\_\_

2004 \_\_\_\_\_\_\_\_\_\_\_

2005 \_\_\_\_\_\_\_\_\_\_\_

Source:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Number of Processing Plants \_\_\_\_\_\_\_
Wholesalers/Dealers\_\_\_\_\_\_\_ Auction Houses\_\_\_\_\_\_

Tidal Shoreline, (Outer coast, offshore islands, sounds, rivers, bays,
and creeks) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_miles

General Coastline, in Miles (General outline of seacoast)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_miles

Area(s) of Responsibility (State Waters) \_\_\_\_\_\_\_\_\_\_\_\_square
miles

Mileage limit of State/Territory Waters
\_\_\_\_\_\_\_\_\_\_\_\_\_\_miles

**[Fishing Permits Commercial Recreational]{.underline}**

State \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_

Federal \_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_ (To be completed by OLE)

Number of State Registered Recreational
Vessels\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Number of Commercial Fishing Vessels: State\_\_\_\_\_\_\_
Federal\_\_\_\_\_\_\_\_(To be completed by OLE)

Number of Regulated Fishing
Tournaments\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Number of \_\_\_\_\_\_International Airports \_\_\_\_\_\_Ports
\_\_\_\_\_\_Border Control Points

Number of [Federal]{.underline} Sanctuaries/Protected Areas (To be
completed by OLE)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Number of [State/Territory]{.underline} Sanctuaries/Protected
Areas\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Identify Top Three Sanctuaries/Areas Needing Proactive Enforcement and
Issue:

**In the following section, please list the main areas of concern for
your State/Territory, first by the subject and second, up to five of
your concerns. Examples are provided**

+--------------------------+--------+----------+---------+-------+---+
| **Commercial Fisheries** | **1**  | **2**    | **3**   | **4** | * |
|                          |        |          |         |       | * |
| **(pelagic,              |        |          |         |       | 5 |
| bottom/rockfish,         |        |          |         |       | * |
| scallop, etc.)**         |        |          |         |       | * |
|                          |        |          |         |       |   |
| **List Top 5 Areas of    |        |          |         |       |   |
| Concern**                |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Example: *Halibut      | ***P   | ***Area  | ***     | **    | * |
| Fishery***               | ossess | Cl       | Harvest | *Trip | * |
|                          | ion*** | osure*** | L       | Limi  | G |
|                          |        |          | imit*** | ts*** | e |
|                          |        |          |         |       | a |
|                          |        |          |         |       | r |
|                          |        |          |         |       | * |
|                          |        |          |         |       | * |
+--------------------------+--------+----------+---------+-------+---+
| **1**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **2**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **3**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **4**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **5**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Recreational           |        |          |         |       |   |
| Fisheries**              |        |          |         |       |   |
|                          |        |          |         |       |   |
| **(sport fishing         |        |          |         |       |   |
| tournaments, etc.)**     |        |          |         |       |   |
|                          |        |          |         |       |   |
| **List Top 5 Areas of    |        |          |         |       |   |
| Concern**                |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Example: *Fishing      | ***P   | **       |         |       |   |
| tournaments***           | ossess | *Sale*** |         |       |   |
|                          | ion*** |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **1**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **2**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **3**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **4**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **5**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Protected Marine       |        |          |         |       |   |
| Species**                |        |          |         |       |   |
|                          |        |          |         |       |   |
| **(cetaceans, sea        |        |          |         |       |   |
| turtles, etc.)**         |        |          |         |       |   |
|                          |        |          |         |       |   |
| **List Top 3 Areas of    |        |          |         |       |   |
| Concern**                |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Example: *Green Sea    | ***P   | **       | ***Area |       |   |
| Turtles***               | ossess | *Take*** | Clos    |       |   |
|                          | ion*** |          | ures*** |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **1**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **2**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **3**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Habitat**              |        |          |         |       |   |
|                          |        |          |         |       |   |
| **(marine protected      |        |          |         |       |   |
| areas, sanctuaries,      |        |          |         |       |   |
| etc.)**                  |        |          |         |       |   |
|                          |        |          |         |       |   |
| **List Top 3 Areas of    |        |          |         |       |   |
| Concern**                |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Example: *Monterey Bay | ***Oil | **       |         |       |   |
| NMS***                   | Disca  | *Illegal |         |       |   |
|                          | rge*** | Du       |         |       |   |
|                          |        | mping*** |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **1**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **2**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **3**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
|                          |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Other (i.e. not        |        |          |         |       |   |
| covered above)**         |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **Example:**             |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **1**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **2**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+
| **3**                    |        |          |         |       |   |
+--------------------------+--------+----------+---------+-------+---+

**Any Other Information OLE Should Consider**

**(Attach Additional Pages if Needed)**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PLEASE FORWARD TO OLE DIVISION OFFICE FOR COMPLETION**

**SAMPLE SURVEY CONTINUED:**

**[COOPERATIVE ENFORCEMENT PROGRAM SURVEY]{.underline}**

**PART B**

**TO BE COMPLETED BY OLE**

*Place an "x" in the appropriate space.*

1.  *Yes; completely agree; highest priority*

2.  *Probably yes; most likely agree; priority is high, but not highest*

3.  *Neither yes nor no; no opinion as to agreement or disagreement;
    neither a high priority nor a low priority; don't know answer to
    question.*

4.  *Probably no; probably don't agree; priority is low.*

5.  *No; completely disagree; not a priority.*

  ----------------------------------------------------- ------- ------- ------- ------- -------
  **Rate the Following**                                **1**   **2**   **3**   **4**   **5**

  State/Territory Need for Funding for Personnel?                                       

  State/Territory Need for Additional Equipment?                                        

  Quality of Current State/Territory Resources?                                         

  Adequate St/Terr Resources to Meet Federal Needs?                                     

  Adequacy/Quality of JEA Work Performed?                                               

  JEA Work Consistently Performed As Agreed?                                            

  Accurate JEA Reports Consistently Submitted on Time?                                  

  State/Territory is a Valuable Enforcement Partner?                                    

  Generally a Positive Relationship with                                                
  State/Territory?                                                                      

  Need for State/Territory to Take on Additional JEA                                    
  Work?                                                                                 
  ----------------------------------------------------- ------- ------- ------- ------- -------

List what you expect to be the top 5 enforcement priorities for the
Division and this State/Territory for the upcoming year:

1.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

For each priority listed above, provide a brief description of the
extent that you expect the State/Territory will assist the Division in
meeting these enforcement goals. Attach additional pages if necessary.

1.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Comments: (Attach Additional Pages if Necessary):

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SPECIAL AGENT-IN-CHARGE:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_

Signature Date

**COMPLETE THIS PART, COMPLETE THE FEDERAL PORTION OF PART A AND FORWARD
COMPLETED SURVEY. PARTS A AND B, TO OLE HEADQUARTERS**

**CHAPTER NINE**

**JEA APPLICATION STEPS**

1.  OLE Chief determines amount of funds appropriated for JEA program
    and determines what funds will be offered to each State/Territory.

2.  OLE Chief mails correspondence to State/Territorial agencies
    soliciting their participation in the Cooperative Enforcement
    Program. Copies of the solicitation are sent to the SAC.

3.  Agency contacts the SAC to express interest in participating.

4.  SAC and agency meet and discuss federal enforcement priorities that
    agency will concentrate upon during the agreement term. In addition,
    the SAC and the agency will identify equipment and property that
    will be sought.

5.  Agency submits a proposal (JEA, Ops Plan, including Costing Plan,
    and all required documentation) to the SAC.

6.  Proposal reviewed by divisional Cooperative Enforcement Technician,
    who makes any necessary changes with the concurrence of the agency.

7.  Once completed, JEA is passed on to the SAC for final OLE Divisional
    Review.

8.  SAC forwards complete application to Headquarters Cooperative
    Enforcement Program Coordinator or Headquarters Program Manager, who
    performs HQ review, making any necessary changes with the
    concurrence of the division and agency.

9.  JEA is then forwarded to GCEL Headquarters for review of legal
    sufficiency. Upon approval, JEA is returned to OLE HQ.

10. OLE HQ notifies applicants and divisional staff of completion of
    each review step.

11. OLE then forwards JEA to Department of Commerce, Office of the
    General Counsel through NMFS Management and Budget. Once approved,
    JEA is returned to OLE HQ.

12. JEA is signed by OLE Chief, and sent to agency signatory for
    endorsement. Once signed, JEA is returned to OLE HQ.

13. OLE HQ processes payment pursuant to JEA, posting to state/U.S.
    territory account within 5-7 business days. This process is
    explained further in the next section.

**CHAPTER TEN**

**PERFORMANCE REVIEW**

Consistent with sound management practices, periodic reviews and
inspections must be performed in order to ensure that the Cooperative
Enforcement Program (CEP), program meets the needs of the OLE mission,
doesn't unduly burden state resources and efforts, and provides a
valuable supplement to OLE's personnel.

In March 2003, the Department of Commerce, Office of the Inspector
General, Office of Inspections and Program Evaluations, (OIG) issued a
report titled *NMFS Should Take a Number of Actions to Strengthen
Fisheries Enforcement,* Final Inspection Report No. IPE-15154, March
2003. One of the central issues identified regarding the Cooperative
Enforcement Program (CEP) was the need for periodic review of the
program\--"NMFS should develop guidance for and conduct periodic,
on-site program reviews to measure and verify internal program controls
and program accomplishments." In addition, to this broad, sweeping
program review, the OIG recommended more frequent, less comprehensive
monitoring by OLE Special Agents in Charge---"In an ongoing monitoring
program, special agents in charge would be responsible for periodically
preparing and submitting a written report to headquarters on state
performance."

A Performance Review Guide has been prepared and forms the basis for
reviews of states/territories receiving JEA funds. For a copy of the
Guide, contact OLE Headquarters.

**CHAPTER ELEVEN**

**PROGRAM EVALUATION**

**DESCRIPTION.**

Program evaluations are evaluations of program operations, usually at
more than one organizational level, to measure actual outcomes and
results against program goals and objectives, including OLE priority
objectives; assess application of OLE policy; and examine program
execution against established standards.

**PURPOSE.**

The purpose of program evaluations is to establish a process to ensure
that programs are operated and executed OLE-wide in accordance with
established standards, such as OLE priority objectives, laws and
regulations, management controls, and program policies, procedures,
goals, and objectives.

**EVALUATION CRITERIA.**

The following core elements will be used by evaluation teams to design
and plan program evaluations. The evaluation team may supplement these
criteria with additional areas for analysis to meet other specific
purposes. Suggested coverage within these elements can be amended based
on the nature and scope of the evaluation.

**Headquarters:**

Headquarters formulates OLE policy, guidance, and plans; sets
priorities; coordinates program activities; and assesses program
performance. Within this context, the criteria for Headquarters program
evaluations are:

\* **Development of policy, guidance, and plans;** e.g., timeliness,
clarity, and adequacy of policy and implementing regulations, program
guidance, and memoranda; OLE-wide consistency in
interpretation/application of OLE policy.

\* **Coordination of program activities** with other OLE and Division
offices and outside organizations; e.g., timeliness, significance, and
impact on program effectiveness.

\* **Program assessment;** e.g., type, frequency, results.

\* **Effectiveness in meeting goals and objectives;** e.g.,
accomplishment of program goals and objectives, annual plans,
Secretary\'s and OLE priority objectives, and OLE mission; deviations to
plans; impediments to meeting goals.

\* **Improvements in program execution;** e.g., completion of corrective
actions from previous evaluations; increase in program efficiency; cost
savings.

\* **Ability to meet the needs of the program\'s customers;** e.g.,
knowledge of the program\'s customers and their needs; responsiveness;
feedback from customers.

\* **Processes,** if required, e.g., system operations, workflow,
timeliness, impediments.

**Division/Regional Offices**

Division/Regional offices implement national policies; appraise and
monitor their operations to assure effectiveness and goal attainment;
and recommend to Headquarters revisions in national policies, plans, and
procedures. Within this context, the criteria for Division/Regional
Office program evaluations are:

**\* Implementation of policy and guidance;** e.g., Division/Region-wide
consistency in interpretation and application.

**\* Effectiveness of program** execution and compliance with laws,
regulations, policies, and procedures; e.g., timeliness and adequacy of
program activities; coordination with other OLE and Department offices
and outside organizations; Division/Region-wide consistency in program
execution; outcomes and accountability.

**\* Effectiveness in meeting goals and objectives;** e.g.,
accomplishment of Division/Regional work plans, OLE priority objectives,
and OLE mission; deviations to plans; impediments to meeting goals.

**\* Improvements in program execution;** e.g., program review and
corrective actions; recommendations to Headquarters for revisions in
policies, plans, and procedures; increase in program efficiency; cost
savings.

**\* Ability to meet the needs of the program\'s customers;** e.g.,
knowledge of the program\'s customers and their needs; responsiveness;
feedback from customers.

**\* Processes,** if required, e.g., system operations, workflow,
timeliness, impediments.

**Other Criteria.**

In addition, programs may be evaluated by:

\* Alternative Program Evaluations required by program authorities, OLE
policy other than this Part, and the Departmental Manual;

\* Comparison of actual program results with performance goals
established in the annual performance plan;

\* and Special evaluations, the criteria for which may be determined by
the Director.

**Process Evaluations.**

A program evaluation may include an examination of the processes of a
program.

**Evaluation Schedule.**

The CEP should be scheduled for a program evaluation each year. A report
detailing the evaluation should be prepared in a timely fashion.

**CHAPTER TWELVE**

**NMFS/OLE JEA CONTACTS**

**Office for Law Enforcement Headquarters**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

8484 Georgia Avenue

Suite 415

Silver Spring, MD. 20910

\(301\) 427-2300

\(301\) 427-2055 (Fax)

<http://www.nmfs.noaa.gov/ole/>

Dale Jones, Director

<Dale.jones@noaa.gov>

Mark Spurrier, Deputy Director

<Mark.spurrier@noaa.gov>

Mark Paterni, Branch Chief

<Mark.paterni@noaa.gov>

Michael A. Fry, Special Agent

National Cooperative Enforcement Program Manager

<Michael.fry@noaa.gov>

**Northeast Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

1 Blackburn Drive

Room 206

Gloucester, MA 01930

\(978\) 281-9213

\(978\) 281-9317 (Fax)

<http://www.nmfs.noaa.gov/ole/ne_northeast.html>

Andy Cohen, Special Agent in Charge

<Andy.cohen@noaa.gov>

\(978\) 281-9213

Todd Dubois, Deputy Special Agent in Charge

<Todd.dubois@noaa.gov>

\(508\) 994-7008

Mark Micele, Deputy Special Agent in Charge

<Mark.micele@noaa.gov>

\(978\) 281-9261

Leta Etheridge, Enforcement Technician

<Leta.etheridge@noaa.gov>

\(978\) 281-9160

**Southeast Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

263 13^th^ Avenue South, Suite 109

St. Petersburg, FL 33701

\(727\) 824-5344

\(727\) 824-5355 (Fax)

<http://www.nmfs.noaa.gov/ole/se_southeast.html>

Hal Robbins, Special Agent in Charge

<Hal.robbins@noaa.gov>

\(727\) 824-5344

Tracy Dunn, Deputy Special Agent in Charge

<Tracy.dunn@noaa.gov>

\(727\) 551-5765

David McKinney, Deputy Special Agent in Charge

<Dave.mckinney@noaa.gov>

\(727\) 423-0641

Magda Hodge, Enforcement Technician

<Magda.hodge@noaa.gov>

\(727\) 824-5395

**Southwest Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

501 W. Ocean Boulevard

Suite 4300

Long Beach, CA 90802

\(562\) 980-4050

\(562\) 980-4058 (Fax)

<http://www.nmfs.noaa.gov/ole/sw_southwest.html>

Don Masters, Special Agent in Charge

<Don.masters@noaa.gov>

\(562\) 980-4050

Otha Easley, Deputy Special Agent in Charge

<Otha.easley@noaa.gov>

\(562\) 980-4051

Donald Tanner, Special Agent

<Don.tanner@noaa.gov>

\(916\) 930-3658

**Northwest Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

7600 Sand Point Way, NE

Seattle, WA 98115

\(206\) 526-6133

\(206\) 526-6528 (Fax)

<http://www.nmfs.noaa.gov/ole/nw_northwest.html>

Vicki Nomura, Special Agent in Charge

<Vicki.nomura@noaa.gov>

\(206\) 526-6133

Scot Yamashita, Deputy Special Agent in Charge

<Scot.yamashita@noaa.gov>

\(206\) 526-6725

Frank Bonadonna, Enforcement Technician

<Frank.bonadonna@noaa.gov>

\(206\) 526-4616

**Alaska Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

P.O. Box 21767

709 W. 9^th^ Street

Room M90C

Juneau, AK 99802-1767

((07) 586-7225

\(907\) 586-7200 (Fax)

<http://www.nmfs.noaa.gov/ole/ak_alaska.html>

Jeff Passer, Special Agent in Charge

<Jeff.passer@noaa.gov>

\(907\) 586-7225

John Kingeter, Deputy Special Agent in Charge

<John.kingeter@noaa.gov>

\(907\) 586-7552

Mike Gonzales, Deputy Special Agent in Charge

<Mike.gonzales@noaa.gov>

\(907\) 271-3026

Eliza Stevens, Program Analyst

<Eliza.stevens@noaa.gov>

\(907\) 271-4968

**Pacific Island Division, Main Office**

National Oceanographic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

300 Ala Moana Boulevard 7-118

P.O. Box 5024

Honolulu, HI 96850

\(808\) 541-2727

\(808\) 541-3166 (Fax)

<http://www.nmfs.noaa.gov/ole/pi_pacificislands.html>

Judith Fogarty, Special Agent in Charge

<Judith.fogarty@noaa.gov>

\(808\) 541-2727

Marc Cline, Deputy Special Agent in Charge

<Marc.cline@noaa.gov>

\(808\) 541-2745

Sherrie Tinsley-Myers

<Sherrie.myers@noaa.gov>

\(808\) 541-2728

Jeff Pollack, Special Agent

<Jeff.pollack@noaa.gov>

\(808\) 541-2730

**APPENDIX**

1.  **JEA
    TEMPLATE........................................................37**

2.  **JEA TEMPLATE INSTRUCTIONS................................46**

3.  **OPERATIONS PLAN TEMPLATE................................59**

4.  **OPERATIONS PLAN TEMPLATE INSTRUCTION.........65**

5.  **COSTING PLAN TEMPLATE.....................................75**

6.  **COSTNG PLAN TEMPLATE INSTRUCTIONS............. .79**

7.  **VENDOR PROFILE INFORMATION TEMPLATE.........90**

8.  **VENDOR PROFILE INFORMATION INSTRUCTIONS...94**

9.  **COSTING POLICY
    ................................................103**

> **APPENDIX 1**
>
> **JOINT ENFORCEMENT AGREEMENT TEMPLATE**

2007 JOINT ENFORCEMENT AGREMENT

Between

\[AGENCY\]

And

The U.S. Department of Commerce

National Oceanic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

**I. PURPOSE**

The purpose of this Joint Enforcement Agreement (JEA) between the U.S.
Department of Commerce, (DOC), National Oceanic and Atmospheric
Administration, (NOAA), National Marine Fisheries Service, (NMFS) Office
for Law Enforcement, hereafter "OLE," and the \[Name of State/Territory
and AGENCY\], hereafter "AGENCY," is to facilitate the operations,
administration, and funding of the AGENCY to enforce Federal laws and
regulations under the Magnuson-Stevens Fishery Conservation and
Management Act (16 U.S.C. §1801, et seq.)(Magnuson-Stevens Act), the
Endangered Species Act of 1973 (16 U.S.C. §1531, et seq.)(ESA), the
Lacey Act Amendments of 1981 (U.S.C. §3371, et seq.)(Lacey Act), the
Atlantic Coastal Fisheries Cooperative Management Act (16 U.S.C. §5101,
et seq.)(ACFCMA), the Atlantic Tunas Convention Act of 1975 (16 U.S.C.
§971, et seq.)(ATCA), the National Marine Sanctuaries Act (16 U.S.C.
§1431, et seq.) (NMSA), and the Northern Pacific Halibut Act of 1982 (16
U.S.C. §773, et seq.)(Halibut Act).

**II. BACKGROUND AND SCOPE**

The OLE has had a long-term relationship with the AGENCY**,** beginning
in \[Year\] with the signing of a Memorandum of Understanding. That
agreement was updated and amended in \[Year\] as a contractual agreement
and on \[Year\] that agreement was updated and amended, becoming a
Cooperative Enforcement Agreement (CEA). A previous JEA was entered into
in \[Year(s)\]**.**

Federally regulated marine fisheries occur on a year-round basis in the
Exclusive Economic Zone (EEZ) offshore of the State \[Territory\] of
\[Name\], hereafter "State" \["Territory"\]**.**

This JEA provides a framework plan for the enforcement of Federal and
State fisheries regulations in the Exclusive Economic Zone (EEZ)
offshore of the AGENCY, between the OLE and the State**.** Central to
this JEA is the prevention and detection of violations by federally
deputized officers from the AGENCY. Key features of this jointly
administered plan include an increased overt presence by the AGENCY to
achieve higher levels of voluntary compliance with Federal regulations,
the issuance of Federal funds by the OLE, and the processing through
resolution of certain specified cases, which could be handled under
either Federal or State or Territorial law, by the State \[Territory\]
under State \[Territory\] law.

**III. AUTHORITY**

DOC/NOAA has authority to protect the Nation's fisheries and engage in
fishery conservation and management activities under the
Magnuson-Stevens Fishery Conservation Management Act (Magnuson-Stevens
Act) generally. DOC/NOAA is further authorized, under 16 U.S.C. §1861(a)
to enforce provisions of the Magnuson-Stevens Act and, in conducting
such enforcement, to utilize the personnel, services, equipment
(including aircraft and vessels), and facilities of such State agencies
on a reimbursable basis or otherwise.

DOC/NOAA has authority to protect the Nation's threatened and endangered
species and engage in their conservation under the Endangered Species
Act (ESA) generally. DOC/NOAA is further authorized, under 16 U.S.C.
§1540(e) (1) to enforce provisions of the ESA and, in conducting such
enforcement, to utilize the personnel, services, and facilities of such
State agencies with or without reimbursement.

DOC/NOAA has authority to prevent illegal trafficking of fish and
wildlife taken and/or possessed in violation of state, Federal, Indian
tribal and foreign laws and engage in conservation and management
activities under the Lacey Act Amendment (Lacey Act) generally. DOC/NOAA
is further authorized, under 16 U.S.C. §3375(a) to enforce provisions of
the Lacey Act and, in conducting such enforcement, to utilize the
personnel, services, and facilities of such state agencies with or
without reimbursement.

DOC/NOAA has authority to protect the Nation's fisheries and engage in
fishery conservation and management activities under the Atlantic
Coastal Fisheries Cooperative Management Act (ACFCMA) generally.
DOC/NOAA is further authorized, under 16 U.S.C. §5106(h) to enforce
provisions of the ACFCMA and, in conducting such enforcement, to utilize
the personnel, services, and facilities of such state agencies on a
reimbursable basis or otherwise.

DOC/NOAA has the authority to protect the Nation's highly migratory
species fisheries and engage in fishery conservation and management
activities under the Atlantic Tunas Convention Act of 1975 (ATCA)
generally. DOC/NOAA is further authorized, under 16 U.S.C. §971d (a), to
utilize, with the concurrence of the Secretary of the department in
which the Coast Guard is operating (insofar as utilization involves
enforcement at sea), with or without reimbursement and by agreement with
any agency of any state, the personnel, services, and facilities of that
agency for the enforcement purposes of the ATCA.

DOC/NOAA has authority to protect the Nation's national marine
sanctuaries and engage in conservation and management activities under
the National Marine Sanctuaries Act (NMSA) generally. DOC/NOAA is
further authorized under 16 U.S.C. §1437(h), to enforce provisions of
the NMSA and, in conducting such enforcement, to utilize the personnel,
services, and facilities of such State agencies on a reimbursable basis
or otherwise.

DOC/NOAA has authority to protect the Nation's Pacific halibut and
engage in their conservation and management activities under the
Northern Pacific Halibut Act (Halibut Act) generally. DOC/NOAA is
further authorized, under 16 U.S.C. §773(i)(a) to enforce provisions of
the Halibut Act and, in conducting such enforcement, to utilize the
personnel, services, and facilities of such State agencies on a
reimbursable basis or otherwise.\]

The State \[Territory\] has authority to conduct the activities
contemplated by this agreement under \[State/Territory statutory
reference\]**.**

**IV. TERMS**

A. All enforcement activities under this JEA shall be conducted in
compliance with the CEA between the NMFS and AGENCY effective on
\[date\]. Section I of the CEA provides for the "Deputization of
State/Territory officers as Federal Enforcement Agents." Said CEA
further states that:

> All Officers, while acting as Federal law enforcement agents under
> this agreement, shall possess the powers and authorities set forth in
> the MSFCMA, ESA, MMPA, and the Lacey Act . . .

In Section III A, the CEA states that:

> To meet its law enforcement responsibilities under any of the Acts
> listed in this agreement, and consistent with the provisions of these
> Acts, OLE may execute contracts and other agreements with the State to
> provide funds in exchange for the use or services of the State's law
> enforcement personnel, vessels, aircraft, vehicles and/or other
> equipment. These contracts and other agreements shall be negotiated
> separate from this Agreement.

B. AGENCY agrees to provide, on a reimbursable basis and/or otherwise,
the following personnel, services, equipment, and facilities:

> 1\. Trained, equipped, and federally deputized officers to patrol
> offshore, near shore, and
>
> dock-side in AGENCY patrol boats and vehicles as defined in the
> Operations Plan (attached). Their focus will be to determine
> compliance with Federal fishing regulations as specified in the
> Operations Plan.

2.  AGENCY will provide \[total number\] hours under this agreement. The
    minimum hours of patrol time and officers deployed for each patrol
    are specified in the Operations Plan. Operational considerations
    will dictate the number of officers deployed for each patrol. AGENCY
    will be available to provide these vessels with crews for operations
    requested by the OLE.

> a\. The ability of AGENCY to operate within the Operations Plan will
> be subject to limitations which include but are not limited to:
> weather conditions, mechanical problems, compliance with the Federal
> Fair Labor and Standards Act, and emergency deployment due to natural
> disasters or civil disturbances.
>
> b\. During these patrols, AGENCY officers will log all contacts made
> with fishing vessels. Boarding forms will include date of check,
> location of boarding, vessel name and/or registration/documentation
> number, vessel captain, and number of persons onboard. The boarding
> forms will be available to the NMFS/OLE for purposes of determining
> compliance of the user groups with Federal fishing regulations and to
> monitor AGENCY performance under the terms of this JEA.

3\. AGENCY will purchase the following equipment, services, or propery
for use under this agreement:

> a\. \[describe\]

b\. \[describe\]

> 4\. a. AGENCY officers will enforce Federal fisheries laws guided by
> the jointly agreed upon priorities as outlined in the Operations Plan.
> Those cases whose resolution will be handled by the State, e.g., by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, are referenced in paragraph 5 below and further outlined in
> the Operations Plan.
>
> b\. Through the contacts provided in the Operations Plan, AGENCY will
> immediately contact the OLE upon the detection of any other case
> involving Federal laws under which OLE has authority, including but
> not limited to the Magnuson-Stevens Act, the Endangered Species Act,
> the Lacey Act, the Marine Mammal Protection Act, the Atlantic Coastal
> Fisheries Cooperative Management Act, the Atlantic Tunas Convention
> Act, and the National Marine Sanctuaries Act, Northern Pacific Halibut
> Act, and upon the documentation of those cases outlined in the
> Operations Plan that involve aggravating circumstances.
>
> 5\. a. AGENCY will handle as appropriate through resolution, *e.g.*,
> by administrative, civil and/or criminal prosecution, restitution, or
> otherwise, in its court system, or in any subordinate court or
> administrative system with appropriate jurisdiction within the State,
> all cases which may be handled under State law only, and certain
>
> cases which may be handled under either Federal or State law, whether
> such cases originate in State or Federal waters, as specified in the
> Operations Plan. The parties anticipate that these types of cases
> comprise many, if not most, of the violations that will be detected.
>
> b\. Additionally, AGENCY will handle as appropriate all cases which do
> not comply with Federal procedures and guidelines, practices, laws,
> and regulations, which are outlined in the Operations Plan.
>
> c\. The State \[Territory\] hereby certifies that it has the authority
> and jurisdiction to so handle such cases as outlined in paragraphs 5 A
> and B, above.
>
> d\. Upon contact/notification as outlined in paragraph 4 B above, a
> determination of whether the State or OLE will handle the case will be
> made jointly with the regional NOAA General Counsel for Enforcement
> and Litigation and the appropriate State \[Territory\] attorney.
>
> 6\. For those cases involving violations of Federal fisheries laws
> detected by AGENCY officers that will be prosecuted federally, whether
> administratively, civilly, or criminally, the basic procedures are as
> follows:
>
> a\. The cases will be documented using AGENCY forms or other forms as
> jointly agreed to by AGENCY and the OLE and then provided to the OLE
> at the earliest practical date and within statutory and regulatory
> guidelines as outlined in the Operations Plan. The OLE will accept for
> review those cases which are properly prepared for Federal action and
> meet all applicable Federal procedures and guidelines, practices, law,
> and regulations as outlined in the Operations Plan.
>
> b\. To the extent agreed upon in advance or as requested by the OLE
> Special Agent(s), AGENCY officers will conduct follow-up
> investigations of any Federal violation forwarded for Federal action.
> These investigations may include obtaining documents, researching
> records, conducting surveillance and conducting interviews. AGENCY
> will work closely with the local OLE Special Agent(s) to ensure a good
> flow of information and to address current areas of concern by the OLE
> and/or the Federal administrative, civil and/or criminal attorney(s).
>
> c\. When necessary, AGENCY officers will be made available to testify
> in Federal administrative and judicial proceedings. The OLE will pay
> the approved cost of travel for all AGENCY officers to assist the OLE
> in any Federal administrative or judicial proceeding.
>
> 7\. AGENCY will incorporate JEA funding to develop and distribute
> promotional and educational material for their community oriented
> policing project. The materials will inform the public of the problems
> the various living marine resources are encountering. It will also
> inform the public of the importance of reporting suspected abuses and
> possible violations of existing state and Federal laws and
> regulations. AGENCY officers will distribute the material at
> tournaments, public appearances, sportsmen and boat shows, fishing
> tackle shops, and through their programs.
>
> 8\. AGENCY will incorporate JEA funding to supervise, plan, implement,
> monitor, and develop required documentation for this JEA.
>
> 9\. AGENCY will cooperate with the OLE to produce a complete annual
> report of the JEA. JEA funds will be utilized to develop annual
> reports, quarterly reports, provide monthly summaries, and invoices
> for activities.
>
> 10\. The points of contact for the OLE and for AGENCY for all issues
> arising in conjunction with the performance of this JEA are specified
> in the Operations Plan.

**V. MEASUREMENT OF PERFORMANCE OBJECTIVES**

The AGENCY will record all patrol and enforcement activity using the OLE
web-based database on at least a monthly basis. In addition, an annual
report will be produced, published, and forwarded to OLE within 90 days
after the expiration of this Agreement.

**VI. FUNDING**

The OLE transfers \$\[Amount\] to State. All responsibilities under this
JEA are subject to the availability of appropriated funds. AGENCY will,
within 30 days of the purchase of any equipment, service, or property,
provide copies of proof of purchase to OLE for direct purchases agreed
to in Art. IV, Section 3. Funds transferred pursuant to this JEA are
available until September 30, \[year\].

**\*IF MULTIPLE YEARS DISBURSEMENT RQUESTED USE THIS LANGUAGE:** The OLE
obligates \$\[amount\] to State. The funds will be dispersed in AGENCY
installments as follows: the first year \$\[amount\] will be
transferred; the second year \$\[amount\] will be transferred; and the
third year \$\[amount\] will be transferred. Interest earned on the
disbursed monies belongs to the State \[Territory\]. All
responsibilities under this JEA are subject to the availability of
appropriated funds. AGENCY will, within 30 days of the purchase of any
equipment, service, or property, provide copies of proof of purchase to
the OLE for direct purchases agreed to in Art. IV, Section 3. Funds
transferred pursuant to this JEA are available until September 30,
\[year\].

**VII. PERIOD**

Any funds not obligated before expiration or termination of this JEA
must be returned to the NMFS/OLE. In the alternative, AGENCY may request
OLE, at least 30 days prior to the expiration or termination of this
JEA, to extend the term of this JEA.

OLE may, at its sole discretion and so long as this JEA has not expired
and the money is still available, agree to extend the term of the JEA to
any date up to \[DATE\], the expiration of the availability of the
funds. Any funds remaining after that date not expended must be promptly
returned to OLE.

VIII. **RECORD RETENTION/ACCESS**

AGENCY shall keep such records that relate to work conducted under this
agreement as deemed necessary by the Department of Commerce, National
Marine Fisheries Service, Office for Law Enforcement. Upon written
request, AGENCY will make available to the OLE, within three (3)
business days, copies of all records, invoices or other evidence of
payments to third parties for all work and services performed for
NMFS/OLE under this agreement.

**IX. AUDIT, EXAMINATION, AND REVIEW**

Representatives of the Department of Commerce, its Office of Inspector
General, and the Office for Law Enforcement shall have access, for the
purpose of audit, examination, and review, to any books, documents,
papers, and records of AGENCY that relate to the work conducted under
this agreement.

**X. MODIFICATION AND CANCELLATION**

The provisions of this JEA may be modified by amendment subject to
written agreement of both parties. Modifications relating to increased
funding require a detailed account.

Within the rate structure attached, and in furtherance of the overall
goal to maximize the efficiency of enforcement operations, both parties
to this JEA recognize that the AGENCY may have to increase the amount of
hours expended in one category and correspondingly decrease operations
in another category. It may, for example, be necessary to increase
offshore patrol hours and decrease dockside hours to properly address a
particular poaching threat from violators determined to steal the living
marine resources this JEA is dedicated to protect. Estimates for the
amount of legal assistance may increase or decrease. This JEA recognizes
and encourages that flexibility.

**XI. OTHER PROVISIONS**

Nothing herein is intended to conflict with any current DOC**,** NOAA,
NMFS, or State directives. If any provisions of this JEA are
inconsistent with such directives, those portions of this JEA that are
inconsistent shall be invalid, but the remaining terms and conditions
shall remain in full force and effect. At the first opportunity for
review of the JEA, all necessary changes will be accomplished by either
an amendment to this JEA or by entering into a new agreement, whichever
is deemed expedient to the interest of both parties.

Should disagreements arise on the interpretation of the provisions of
this JEA, or amendments, and/or revisions thereto, that cannot be
resolved at the operating unit level, the area(s) of disagreement shall
be stated in writing by each party and presented to the other party for
consideration. If agreement on interpretation is not reached within
thirty days, the parties shall forward the written presentation of the
disagreement to respective higher officials for appropriate resolution.

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Dale J. Jones Date

Chief, Office for Law Enforcement

National Marine Fisheries Service

National Oceanic & Atmospheric Administration

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\[Name\] Date

\[Rank or Title\]

\[Agency

**APPENDIX 2**

**JEA TEMPLATE**

**INSTRUCTIONS**

**JEA TEMPLATE INSTRUCTIONS**

The Joint Enforcement Agreement (JEA) template is provided as a guide
for States and Territories, in conjunction with the regional SAC, to
develop a Joint Enforcement Agreement application.

**The 2007 JEA template is different from previous versions. Be sure to
read over the template and these instructions to understand all of the
changes.**

**THE 2007 JOINT ENFORCEMENT AGREEMENT AND ALL ASSOCATED DOCUMENTS
SHOULD FOLLOW THE FOLLOWING CONVENTIONS:**

**Times New Roman Font, 12 pt.**

**Single Spaced**

**Justified Right and Left Margins**

**Page Numbers at bottom center of each page after the first (i.e., no
page number on the first page, the second page contains the number "2"
and so on.**

**1. HEADER/FOOTER CHANGES**

The template includes a header that identifies the document as the 2007
Joint Enforcement Agreement. It should appear at the top of each page.
To add this information to a header, complete these steps.

Step 1. Click the mouse arrow on your menu bar above the Word document
that says "View."

Step 2. Scroll down to "Header and Footer."

Step 3. Click on "Header and Footer." A box will appear at the top and
bottom of the page.

Step 4. In the box that appears at the top, select the "center" icon,
and then type, in bold and in caps, "**2007 JOINT ENFORCEMENT
AGREEMENT**."

Step 5. To exit, point the arrow at the "close" on the blue dialogue box
titled "Header and Footer" and click.

Step 6. Changes will be made to the Header.

Note: To change a footer, simply follow Steps 1-3 above, make the
changes in the box at the bottom of the page, and follow Step 5 to make
the changes and exit from that function.

2.  **NAME OF AGENCY**

2007 JOINT ENFORCEMENT AGREEMENT

Between

\[AGENCY\]

And

The U.S. Department of Commerce

National Oceanic and Atmospheric Administration

National Marine Fisheries Service

Office for Law Enforcement

-   Where **\[AGENCY\]** is called for, list the full name of the agency
    that is completing the JEA. For example, "State of California,
    Department of Fish and Game," or "State of Maryland, Department of
    Natural Resources." Use whatever name is commonly used to identify
    the particular agency.

3.  **SECTION 1---PURPOSE**

The purpose of this Joint Enforcement Agreement (JEA) between the U.S.
Department of Commerce, (DOC), National Oceanic and Atmospheric
Administration, (NOAA), National Marine Fisheries Service, (NMFS) Office
for Law Enforcement, hereafter "OLE," and the \[Name of State/Territory
and AGENCY\], hereafter "AGENCY," is to facilitate the operations,
administration, and funding of the AGENCY to enforce Federal laws and
regulations under the Magnuson-Stevens Fishery Conservation and
Management Act (16 U.S.C. §1801, et seq.)(Magnuson-Stevens Act), the
Endangered Species Act of 1973 (16 U.S.C. §1531, et seq.)(ESA), the
Lacey Act Amendments of 1981 (U.S.C. §3371, et seq.)(Lacey Act), the
Atlantic Coastal Fisheries Cooperative Management Act (16 U.S.C. §5101,
et seq.)(ACFCMA), the Atlantic Tunas Convention Act of 1975 (16 U.S.C.
§971, et seq.)(ATCA), the National Marine Sanctuaries Act (16 U.S.C.
§1431, et seq.) (NMSA), and the Northern Pacific Halibut Act of 1982 (16
U.S.C. §773, et seq.)(Halibut Act).

Include only this boilerplate, with the additions or deletions called
for. Nothing additional need, or should be, included. Make these
additions or deletions:

-   Where the **\[ Name of State/Territory and AGENCY\]** is called for,
    insert the name of the state or territory. Delete "/Territory" if a
    state is completing the Operations Plan. Delete "State/" if a
    territory is completing the template.

-   List only the statutory provisions that apply to the JEA. Not all
    provisions may apply. Delete the Acts that do not apply to the JEA.

-   The term "AGENCY" will be used throughout the document instead of
    the initials of the agency as has been done in the past.

4.  **SECTION II---BACKGROUND AND SCOPE**

The OLE has had a long-term relationship with the AGENCY**,** beginning
in \[Year\] with the signing of a Memorandum of Understanding. That
agreement was updated and amended in \[Year\] as a contractual agreement
and on \[Year\] that agreement was updated and amended, becoming a
Cooperative Enforcement Agreement (CEA). A previous JEA was entered into
in \[Year(s)\]**.**

Federally regulated marine fisheries occur on a year-round basis in the
Exclusive Economic Zone (EEZ) offshore of the State \[Territory\] of
\[Name\], hereafter "State" \["Territory"\]**.**

This JEA provides a framework plan for the enforcement of Federal and
State fisheries regulations in the Exclusive Economic Zone (EEZ)
offshore of the AGENCY, between the OLE and the State**.** Central to
this JEA is the prevention and detection of violations by federally
deputized officers from the AGENCY. Key features of this jointly
administered plan include an increased overt presence by the AGENCY to
achieve higher levels of voluntary compliance with Federal regulations,
the issuance of Federal funds by the OLE, and the processing through
resolution of certain specified cases, which could be handled under
either Federal or State or Territorial law, by the State \[Territory\]
under State \[Territory\] law.

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where **\[Year\]** is called for, insert the correct year that
    applies. If a sentence in the first paragraph does not apply to a
    particular state, delete that sentence.

-   Where the name of a State or Territory is called for, insert the
    correct name.

5.  **SECTION III---AUTHORITY**

DOC/NOAA has authority to protect the Nation's fisheries and engage in
fishery conservation and management activities under the
Magnuson-Stevens Fishery Conservation Management Act (Magnuson-Stevens
Act) generally. DOC/NOAA is further authorized, under 16 U.S.C. §
1861(a) to enforce provisions of the Magnuson-Stevens Act and, in
conducting such enforcement, to utilize the personnel, services,
equipment (including aircraft and vessels), and facilities of such State
agencies on a reimbursable basis or otherwise.

DOC/NOAA has authority to protect the Nation's threatened and endangered
species and engage in their conservation under the Endangered Species
Act (ESA) generally. DOC/NOAA is further authorized, under 16 U.S.C. §
1540(e) (1) to enforce provisions of the ESA and, in conducting such
enforcement, to utilize the personnel, services, and facilities of such
State agencies with or without reimbursement.

DOC/NOAA has authority to prevent illegal trafficking of fish and
wildlife taken and/or possessed in violation of state, Federal, Indian
tribal, and foreign laws and engage in conservation and management
activities under the Lacey Act Amendment (Lacey Act) generally. DOC/NOAA
is further authorized, under 16 U.S.C. § 3375(a) to enforce provisions
of the Lacey Act and, in conducting such enforcement, to utilize the
personnel, services, and facilities of such state agencies with or
without reimbursement.

DOC/NOAA has authority to protect the Nation's fisheries and engage in
fishery conservation and management activities under the Atlantic
Coastal Fisheries Cooperative Management Act (ACFCMA) generally.
DOC/NOAA is further authorized, under 16 U.S.C. § 5106(h) to enforce
provisions of the ACFCMA and, in conducting such enforcement, to utilize
the personnel, services, and facilities of such state agencies on a
reimbursable basis or otherwise.

DOC/NOAA has the authority to protect the Nation's highly migratory
species fisheries and engage in fishery conservation and management
activities under the Atlantic Tunas Convention Act of 1975 (ATCA)
generally. DOC/NOAA is further authorized, under 16 U.S.C. § 971d (a),
to utilize, with the concurrence of the Secretary of the department in
which the Coast Guard is operating (insofar as utilization involves
enforcement at sea), with or without reimbursement and by agreement with
any agency of any state, the personnel, services, and facilities of that
agency for the enforcement purposes of the ATCA.

DOC/NOAA has authority to protect the Nation's national marine
sanctuaries and engage in conservation and management activities under
the National Marine Sanctuaries Act (NMSA) generally. DOC/NOAA is
further authorized under 16 U.S.C. §1437(h), to enforce provisions of
the NMSA and, in conducting such enforcement, to utilize the personnel,
services, and facilities of such State agencies on a reimbursable basis
or otherwise.

DOC/NOAA has authority to protect the Nation's Pacific halibut and
engage in their conservation and management activities under the
Northern Pacific Halibut Act (Halibut Act) generally. DOC/NOAA is
further authorized, under 16 U.S.C. §773(i)(a) to enforce provisions of
the Halibut Act and, in conducting such enforcement, to utilize the
personnel, services, and facilities of such State agencies on a
reimbursable basis or otherwise.

The State \[Territory\] has authority to conduct the activities
contemplated by this agreement under \[State/Territory statutory
reference\].

**Some of the boilerplate, however, may not apply. Paragraphs that do
not apply may be deleted**.

Include only this boilerplate. Make these additions:

-   Include only those provisions that are applicable to the work to be
    completed.

-   In the last sentence delete "Territory" if the JEA is being
    completed by a State. Delete the word "State" if the JEA is being
    completed by a Territory.

-   Where **\[State/Territory statutory reference\]** is called for,
    insert the correct statutory provision in the proper form of the
    State or Territory that is applicable.

6.  **SECTION IV---TERMS**

A. All enforcement activities under this JEA shall be conducted in
compliance with the CEA between the NMFS and AGENCY effective on AGENCY.
Section I of the CEA provides for the "Deputization of State/Territory
officers as Federal Enforcement Agents." Said CEA further states that:

All Officers, while acting as Federal law enforcement agents under this
agreement, shall possess the powers and authorities set forth in the
MSFCMA, ESA, MMPA, and the Lacey Act . . .

In Section III A, the CEA states that:

To meet its law enforcement responsibilities under any of the Acts
listed in this agreement, and consistent with the provisions of these
Acts, OLE may execute contracts and other agreements with the State to
provide funds in exchange for the use or services of the State's law
enforcement personnel, vessels, aircraft, vehicles and/or other
equipment. These contracts and other agreements shall be negotiated
separate from this Agreement.

B. AGENCY agrees to provide, on a reimbursable basis and/or otherwise,
the following personnel, services, equipment, and facilities:

> 1\. Trained, equipped, and federally deputized officers to patrol
> offshore, near shore, and dockside in AGENCY patrol boats and vehicles
> as defined in the Operations Plan. (attached). Their focus will be to
> determine compliance with Federal fishing regulations as specified in
> the Operations Plan.
>
> 2\. AGENCY will provide \[total number\] hours under this agreement.
> The minimum hours of patrol time and officers deployed for each patrol
> are specified in the Operations Plan. Operational considerations will
> dictate the number of officers deployed for each patrol. AGENCY will
> be available to provide these vessels with crews for operations
> requested by the OLE.
>
> A. The ability of AGENCY to operate within the Operations Plan will be
> subject to limitations which include but are not limited to: weather
> conditions, mechanical problems, compliance with the Federal Fair
> Labor and Standards Act, and emergency deployment due to natural
> disasters or civil disturbances.
>
> B. During these patrols, AGENCY officers will log all contacts made
> with fishing vessels. Boarding forms will include date of check,
> location of boarding, vessel name and/or registration/documentation
> number, vessel captain, and number of persons onboard. The boarding
> forms will be available to the OLE for purposes of determining
> compliance of the user groups with Federal fishing regulations and to
> monitor AGENCY performance under the terms of this JEA.

3\. AGENCY will purchase the following equipment, services, or property
for use under this agreement:

> A. \[describe\];
>
> B. \[describe\];
>
> 4\. A. AGENCY officers will enforce Federal fisheries laws guided by
> the jointly agreed upon priorities as outlined in the Operations Plan.
> Those cases whose resolution will be handled by the State, e.g., by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, are referenced in paragraph 5 below and further outlined in
> the Operations Plan.
>
> B. Through the contacts provided in the Operations Plan, AGENCY will
> immediately contact the OLE upon the detection of any other case
> involving Federal laws under which OLE has authority, including but
> not limited to the Magnuson-Stevens Act, the Endangered Species Act,
> the Lacey Act, the Marine Mammal Protection Act, the Atlantic Coastal
> Fisheries Cooperative Management Act, the Atlantic Tunas Convention
> Act, the National Marine Sanctuaries Act, Northern Pacific Halibut
> Act, and upon the documentation of those cases outlined in the
> Operations Plan that involve aggravating circumstances.
>
> 5\. A. AGENCY will handle as appropriate through resolution, *e.g.*,
> by administrative, civil and/or criminal prosecution, restitution, or
> otherwise, in its court system, or in any subordinate court or
> administrative system with appropriate jurisdiction within the State,
> all cases which may be handled under State law only, and certain cases
> which may be handled under either Federal or State law, whether such
> cases originate in State or Federal waters, as specified in the
> Operations Plan. The parties anticipate that these types of cases
> comprise many, if not most, of the violations that will be detected.
>
> B. Additionally, AGENCY will handle as appropriate all cases which do
> not comply with Federal procedures and guidelines, practices, laws,
> and regulations, which are outlined in the Operations Plan.
>
> C. The State hereby certifies that it has the authority and
> jurisdiction to handle such cases as outlined in paragraphs 5 A and B,
> above.
>
> D. Upon contact/notification as outlined in paragraph 4 B above, a
> determination of whether the State or OLE will handle the case will be
> made jointly with the regional NOAA General Counsel for Enforcement
> and Litigation and the appropriate State \[Territory\] attorney.
>
> 6\. For those cases involving violations of Federal fisheries laws
> detected by AGENCY officers that will be prosecuted federally, whether
> administratively, civilly, or criminally, the basic procedures are as
> follows:
>
> A. The cases will be documented using AGENCY forms or other forms as
> jointly agreed to by AGENCY and the OLE and then provided to the OLE
> at the earliest practical date and within statutory and regulatory
> guidelines as outlined in the Operations Plan. The OLE will accept for
> review those cases which are properly prepared for Federal action and
> meet all applicable Federal procedures and guidelines, practices, law,
> and regulations as outlined in the Operations Plan.
>
> B. To the extent agreed upon in advance or as requested by the OLE
> Special Agent(s), AGENCY officers will conduct follow-up
> investigations of any Federal violation forwarded for Federal action.
> These investigations may include obtaining documents, researching
> records, conducting surveillance and conducting interviews. AGENCY
> will work closely with the local OLE Special Agent(s) to ensure a good
> flow of information and to address current areas of concern by the OLE
> and/or the Federal administrative, civil and/or criminal attorney(s).
>
> C. When necessary, AGENCY officers will be made available to testify
> in Federal administrative and judicial proceedings. The OLE will pay
> the approved cost of travel for all AGENCY officers to assist the OLE
> in any Federal administrative or judicial proceeding.
>
> 7\. AGENCY will incorporate JEA funding to develop and distribute
> promotional and educational material for their community oriented
> policing project. The materials will inform the public of the problems
> the various living marine resources are encountering. It will also
> inform the public of the importance of reporting suspected abuses and
> possible violations of existing state and Federal laws and
> regulations. AGENCY officers will distribute the material at
> tournaments, public appearances, sportsmen and boat shows, fishing
> tackle shops, and through their programs.
>
> 8\. AGENCY will incorporate JEA funding to supervise, plan, implement,
> monitor, and develop required documentation for this JEA.
>
> 9\. AGENCY will cooperate with the OLE to produce a complete annual
> report of the JEA. JEA funds will be utilized to develop annual
> reports, quarterly reports, provide monthly summaries, and invoices
> for activities.
>
> 10\. The points of contact for the OLE and for AGENCY for all issues
> arising in conjunction with the performance of this JEA are specified
> in the Operations Plan.

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   In B(2), where **\[total number\] of hours** is called for, insert
    the total number of man hours to be provided under the terms of the
    JEA.

-   In B (3), if equipment is to be purchased as part of the JEA, and
    where JEA calls for listing equipment, services, or property is to
    be purchased, provide a brief description of each item. Add as many
    additional spaces as is required.

-   In B (6)(D), delete the word "Territory" if the JEA is being
    completed by a State. Delete State if the JEA is being completed by
    a Territory.

7.  **SECTION V---MEASUREMENT OF PERFORMANCE OBJECTIVES**

The AGENCY will record all patrol and enforcement activity using the OLE
web-based database on at least a monthly basis. In addition, an annual
report will be produced, published, and forwarded to OLE within 90 days
after the expiration of this Agreement.

> Include only this boilerplate. Nothing additional need, or should be,
> included.

8.  **SECTION VI---FUNDING**

**FOR SINGLE YEAR AGREEMENTS, USE THIS LANGUAGE**

The OLE transfers \$\[Amount\] to State \[Territory\]. All
responsibilities under this JEA are subject to the availability of
appropriated funds. AGENCY will, within 30 days of the purchase of any
equipment, service, or property, provide copies of proof of purchase to
OLE for direct purchases agreed to in Art. IV, Section 3. Funds
transferred pursuant to this JEA are available until September 30,
\[year\].

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where **\[Amount\]** is called for, insert the total dollar amount
    of the JEA award from the Costing Plan.

-   Where a State is completing the JEA, delete "Territory." Where a
    Territory is completing the JEA, delete "State."

-   Where **\[year\]** is called for, insert the final day on which the
    money is available. This date may be obtained from OLE Headquarters,
    budget staff. Usually, it is the last day of the last fiscal year in
    which Congress has declared the money available.

**FOR MULTI-YEAR AGREEMENTS, USE THIS LANGUAGE:**

The OLE obligates \$\[amount\] to State \[Territory\]. The funds will be
dispersed in AGENCY installments as follows: the first year \$\[amount\]
will be transferred; the second year \$\[amount\] will be transferred;
and the third year \$\[amount\] will be transferred. Interest earned on
the disbursed monies belongs to the State \[Territory\]. All
responsibilities under this JEA are subject to the availability of
appropriated funds. AGENCY will, within 30 days of the purchase of any
equipment, service, or property, provide copies of proof of purchase to
the OLE for direct purchases agreed to in Art. IV, Section 3. Funds
transferred pursuant to this JEA are available until September 30,
\[year\].

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where **\[amount\]** is called for, insert the total dollar amount
    of the JEA award from the Costing Plan that will be distributed each
    year.

-   Where a State is completing the JEA, delete "Territory." Where a
    Territory is completing the JEA, delete "State."

-   Where **\[year\]** is called for, insert the final day on which the
    money is available. This date may be obtained from OLE Headquarters,
    budget staff. Usually, it is the last day of the last fiscal year in
    which Congress has declared the money available.

9.  **SECTION VII---PERIOD**

Any funds not obligated before expiration or termination of this JEA
must be returned to the OLE. In the alternative, AGENCY may request OLE,
at least 30 days prior to the expiration or termination of this JEA, to
extend the term of this JEA.

OLE may, at its sole discretion and so long as this JEA has not expired
and the money is still available, agree to extend the term of the JEA to
any date up to \[DATE\], the expiration of the availability of the
funds. Any funds remaining after that date not expended must be promptly
returned to OLE.

-   Include only this boilerplate. Nothing additional need, or should
    be, included.

10. **SECTION VIII---RECORDS RETENTION/ACCESS**

AGENCY shall keep such records that relate to work conducted under this
agreement as deemed necessary by the Department of Commerce, National
Marine Fisheries Service, Office for Law Enforcement. Upon written
request, AGENCY will make available to the OLE, within three (3)
business days, copies of all records, invoices or other evidence of
payments to third parties for all work and services performed for OLE
under this agreement.

-   Include only this boilerplate. Nothing additional need, or should
    be, included.

11. **SECTION IX---AUDIT, EXAMINATION, AND REVIEW**

Representatives of the Department of Commerce, its Office of Inspector
General, and the Office for Law Enforcement shall have access, for the
purpose of audit, examination, and review, to any books, documents,
papers, and records of AGENCY that relate to the work conducted under
this agreement.

-   Include only this boilerplate. Nothing additional need, or should
    be, included.

**12. Section X---MODIFICATION AND CANCELLATION**

The provisions of this JEA may be modified by amendment subject to
written agreement of both parties. Modifications relating to increased
funding require a detailed account.

Within the rate structure attached, and in furtherance of the overall
goal to maximize the efficiency of enforcement operations, both parties
to this JEA recognize that the AGENCY may have to increase the amount of
hours expended in one category and correspondingly decrease operations
in another category. It may, for example, be necessary to increase
offshore patrol hours and decrease dockside hours to properly address a
particular poaching threat from violators determined to steal the living
marine resources this JEA is dedicated to protect. Estimates for the
amount of legal assistance may increase or decrease. This JEA recognizes
and encourages that flexibility.

Include only this boilerplate. Nothing additional need, or should be,
included.

**13. SECTION XI---OTHER PROVISIONS**

Nothing herein is intended to conflict with any current DOC**,** NOAA,
NMFS, or State directives. If any provisions of this JEA are
inconsistent with such directives, those portions of this JEA that are
inconsistent shall be invalid, but the remaining terms and conditions
shall remain in full force and effect. At the first opportunity for
review of the JEA, all necessary changes will be accomplished by either
an amendment to this JEA or by entering into a new agreement, whichever
is deemed expedient to the interest of both parties.

Should disagreements arise on the interpretation of the provisions of
this JEA, or amendments, and/or revisions thereto, that cannot be
resolved at the operating unit level, the area(s) of disagreement shall
be stated in writing by each party and presented to the other party for
consideration. If agreement on interpretation is not reached within
thirty days, the parties shall forward the written presentation of the
disagreement to respective higher officials for appropriate resolution.

Include only this boilerplate. Nothing additional need, or should be,
included.

14. **SIGNATURE BLOCKS**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Dale J. Jones Date

Chief, Office for Law Enforcement

National Marine Fisheries Service

National Oceanic & Atmospheric Administration

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\[Name\] Date

\[Rank or Title\]

\[Agency\]

Insert the signing official's full name, rank or title, and agency. The
Signature line and date will be filled in at a later time.

**NOTE: Add additional signature blocks as required for additional
officials who are required to sign.**

**APPENDIX 3**

**OPERATIONS PLAN TEMPLATE**

OPERATIONS PLAN

STATE \[TERRITORY\] OF \[ \]

**2007 JOINT ENFORCEMENT AGREEMENT**

**I. PURPOSE**

> The purpose of this Operations Plan is to set forth the specific
> operational requirements necessary to carry out the provisions of the
> Joint Enforcement Agreement (JEA) between the U.S. Department of
> Commerce, National Oceanic and Atmospheric Administration, National
> Marine Fisheries Service, Office for Law Enforcement, hereafter "OLE,"
> and the State \[Territory\] of \[Name\], \[AGENCY\], hereafter
> "AGENCY". Further, this Operations Plan explains the methods by which
> compliance is to be accomplished.

**II. SCOPE OF PLAN**

> This Operations Plan identifies the federal priorities targeted for
> increased enforcement under the JEA, explains, describes, and
> elaborates upon the work to be performed by the AGENCY, describes the
> equipment, services, or property that will be purchased with JEA
> funds, mandates reporting requirements, sets forth enforcement
> guidelines, and identifies points of contact for the AGENCY and OLE.

**III. DESCRIPTION OF WORK TO BE PERFORMED**

> Subject to the availability of appropriate funding, the AGENCY will
> provide OLE with fully trained, equipped and federally deputized
> officers to patrol offshore, nearshore and dockside using AGENCY
> equipment to determine compliance with federal law and regulations.
> The OLE and the AGENCY have identified the following federal
> enforcement priorities that will be addressed and the work that will
> be performed during the term of the JEA (or attach separate
> explanation of detailed work to be performed). *A detailed explanation
> of direct personnel costs is contained in the Costing Plan attached
> hereto.*

A.  Priority 1 \[Identify\]

> Off Shore/At Sea Activities:
>
> Schedule/Season
>
> Near Shore Activities:
>
> Schedule/Season
>
> Dockside Activities:
>
> Schedule/Season
>
> Aviation Support Activities
>
> Schedule/Season

B. Priority 2 \[Identify\]

> Off Shore/At Sea Activities:
>
> Schedule/Season
>
> Near Shore Activities:
>
> Schedule/Season
>
> Dockside Activities:
>
> Schedule/Season
>
> Aviation Support Activities
>
> Schedule/Season

NOTE: Add as many Priorities as required

C.  Dealers

> Activities
>
> Schedule/Season

D.  Markets

> Activities
>
> Schedule/Season

E.  Outreach

> Activities
>
> Schedule/Season

F.  Clerical

> Hours

G.  Other (Specify)

> Activities
>
> Schedule/Season

H.  Total Man Hours:

    a.  Off Shore/At Sea

    b.  Near Shore

    c.  Dockside

    d.  Aviation

    e.  Community Oriented Policing

    f.  Clerical

**IV. ADDITIONAL OPERATIONAL DETAILS**

> A. Allocating patrol hours to a particular vessel or geographic
> location will be made on the basis of operational needs with the
> overall goal of achieving the highest possible compliance with federal
> fishing regulations. Operational considerations will dictate the
> number of officers deployed for each patrol.

B.  OLE and the AGENCY recognize that federal enforcement priorities may
    change during the course of the JEA. In the event that a change in
    enforcement strategy is required, and so long as the AGENCY has the
    resources and is capable of performing the additional duties, OLE
    and the State may, by amendment, modify the work to be performed or
    equipment, services, or property to be purchased under the JEA and
    this Operations Plan.

C.  AGENCY will submit monthly and yearly reports of activities using a
    web-based reporting system provided by OLE. In addition, the AGENCY
    will begin tracking and incidents in which AGENCY officers
    performing work under this JEA use any degree of force in the course
    of their duties.

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V.  **EQUIPMENT, SERVICES, OR PROPERTY**

AGENCY will purchase the following equipment, services, or property with
JEA funds. *A detailed explanation is set forth in the Costing Plan
attached hereto.*

A.  Equipment:

B.  Services:

C.  Property:

**VI. ENFORCEMENT GUIDELINES**

> A. The patrols will occur on a year-round basis according to a
> schedule agreed to by AGENCY and OLE. During the patrols, AGENCY
> officers will log all contacts made with fishing vessels, including
> the date, location, name of the vessel, activity, number of persons
> aboard the vessel and, if obtained, the names of any persons who were
> aboard the vessels that were contacted. This log will be made
> available to OLE at the conclusion of each patrol for purposes of
> determining compliance by fishers with federal fishing regulations,
> and to monitor AGENCY performance under the terms of this contract.
>
> B. The resolution of cases documented by AGENCY is a key element of
> the JEA and Operations Plan. As outlined in the JEA, AGENCY officers
> will enforce Federal fisheries laws guided by the mission statement
> and the jointly agreed upon priorities as outlined above. Those cases
> whose resolution will be handled by the AGENCY, e.g., by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, are referenced below. Through the contacts provided below,
> AGENCY will immediately contact the OLE upon the detection of any
> other case involving Federal laws under which OLE has authority,
> including but not limited to the Magnuson-Stevens Act, the Endangered
> Species Act, the Lacey Act, the Marine Mammal Protection Act, the
> Atlantic Tunas Convention Act, and the National Marine Sanctuaries
> Act, and upon the documentation of those cases.
>
> B. AGENCY will handle as appropriate through resolution, *e.g.*, by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, in its court system, or in any subordinate court or
> administrative system with appropriate jurisdiction within the State,
> all cases which may be handled under State law only, and certain cases
> which may be handled under either Federal or State law, whether such
> cases originate in State or Federal waters. The parties anticipate
> that these types of cases comprise many, if not most, of the caseload
> of violations that may be detected.
>
> C. Additionally, AGENCY will handle as appropriate all cases which do
> not comply with Federal procedures and guidelines, practices, law, and
> regulations.
>
> D. The State \[Territory\] hereby certifies that it has the authority
> and jurisdiction to so handle such cases as outlined above.
>
> E. AGENCY will immediately contact the OLE upon documentation of any
> other case involving Federal laws under with NOAA has authority,
> including but not limited to the Magnuson-Stevens Act, the Endangered
> Species Act, the Lacey Act, the Marine Mammal Protection Act, the
> Atlantic Tunas Convention Act, and the National Marine Sanctuaries
> Act, and upon the documentation of those cases that involve
> aggravating circumstances. A determination of whether the State or OLE
> will handle the case will be made jointly with the regional NOAA
> General Counsel for Enforcement and Litigation and the appropriate
> State attorney.
>
> F. For those cases involving violations of Federal fisheries laws
> detected by AGENCY officers that will be prosecuted federally, whether
> administratively, civilly, or criminally, the basic procedures are as
> follows:
>
> 1\) The cases will be documented using forms or other forms as jointly
> agreed to by AGENCY and the OLE and then provided to the OLE at the
> earliest practical date and within statutory and regulatory
> guidelines. The OLE will accept for review those cases which are
> properly prepared for Federal action and meet all applicable Federal
> procedures and guidelines, practices, law, and regulations.
>
> 2). To the extent agreed upon in advance or as requested by the OLE
> Special Agent(s), AGENCY officers will conduct follow-up
> investigations of any Federal violation forwarded for federal action.
> These investigations may include obtaining documents, researching
> records, conducting surveillance and conducting interviews. AGENCY
> will work closely with the local OLE Special Agent(s) to ensure a good
> flow of information and to address current areas of concern by the OLE
> and/or the Federal administrative, civil and/or criminal attorney(s).
>
> 3). When necessary, AGENCY officers will be made available to testify
> in Federal administrative and judicial proceedings. The OLE will pay
> the approved cost of travel for all AGENCY officers to assist the OLE
> in any Federal administrative or judicial proceeding.

**VII. CONTROLLING STATUTES, REGULATIONS, ETC.**

> For purposes of this JEA and Operations Plan, Federal procedures and
> guidelines, practices, and law may include but are not limited to the
> following:
>
> The Magnuson-Stevens Act, the Endangered Species Act, the Lacey Act,
> the Atlantic Tunas Convention Act, the National Marine Sanctuaries
> Act, the Atlantic Coastal Fisheries Cooperative Management Act, the
> Northern Pacific Halibut Act, the Freedom of Information Act, the
> Privacy Act, and regulations and notices issued there under;
>
> In addition to the regulations above, all other regulations and
> notices issued under the authority of DOC, including but not limited
> to:
>
> 15 C.F.R. Part 904;
>
> 50 C.F.R. Parts 600, 622, 644 and 678;

The Civil Asset Forfeiture Reform Act of 2000 (CAFRA);

The Small Business Regulatory Enforcement Fairness Act (SBREFA);

Applicable DOJ provisions.

**VIII. CONTACTS**

> For AGENCY: **\[Name, title, work phone, and email address\]**
>
> For OLE: **\[Name, title, work phone, and email address\]**

Attachments:

Costing Plan

Vendor Profile Form

.

**APPENDIX 4**

**OPERATIONS PLAN TEMPLATE**

**INSTRUCTIONS**

INSTRUCTIONS

FOR COMPLETING 2007 OPERATIONS PLAN TEMPLATE

The Operations Plan template is provided as a guide for States and
Territories, in conjunction with the regional SAC, to develop an
operations plan in support of a Joint Enforcement Agreement application.

**The 2007 Operations Plan template is different from previous versions.
Be sure to read over the template and these instructions to understand
all of the changes.**

**THE 2007 OPERATIONS PLAN AND ALL ASSOCATED DOCUMENTS SHOULD FOLLOW THE
FOLLOWING CONVENTIONS:**

**Times New Roman Font, 12 pt.**

**Single Spaced**

**Justified Right and Left Margins**

**Page Numbers at bottom center of each page after the first (i.e., no
page number on the first page, the second page contains the number "2"
and so on.**

**HEADER/FOOTER CHANGES**

The template includes a header that provides a place for "**OPERATIONS
PLAN**" and the name of the State or Territory. To make a change or add
a state or territory name to a header or footer, complete these steps.

Step 1. Click the mouse arrow on your menu bar above the Word document
that says "View."

Step 2. Scroll down to "Header and Footer."

Step 3. Click on "Header and Footer." A box will appear at the top and
bottom of the page.

Step 4. To make changes or add a state or territory name, simply type in
the name of the state in the appropriate place.

**OPERATIONS PLAN**

**STATE \[TERRITORY\] OF \[NAME\]**

**2007 JOINT ENFORCEMENT AGREEMENT**

Note: If the Operations Plan involves a state, delete "Territory." The
same is true if the Plan involves a territory.

Step 5. To exit, point the arrow at the "close" on the blue dialogue box
titled "Header and Footer" and click.

Step 6. Changes will be made to the Header.

Note: To change a footer, simply follow Steps 1-3 above, make the
changes in the box at the bottom of the page, and follow Step 5 to make
the changes and exit from that function.

**HEADER**

**OPERATIONS PLAN**

**STATE \[TERRITORY\] OF \[NAME\]**

**2007 JOINT ENFORCEMENT AGREEMENT**

-   Where a state is completing the Operations Plan, delete "Territory."
    Where a Territory is completing the Operations Plan, delete "State."

-   Where **\[NAME\]** is called for, insert the name of the state or
    territory.

-   "OPERATIONS PLAN" and "STATE \[TERRITORY\] OF \[NAME\]" should
    appear at the top of each page. The phrase "2007 JOINT ENFORCEMENT
    AGREEMENT" should appear only on the first page.

**SECTION 1---PURPOSE**

> The purpose of this Operations Plan is to set forth the specific
> operational requirements necessary to carry out the provisions of the
> Joint Enforcement Agreement (JEA) between the U.S. Department of
> Commerce, National Oceanic and Atmospheric Administration, National
> Marine Fisheries Service, Office for Law Enforcement, hereafter "OLE,"
> and the State \[Territory\] of \[Name\], \[AGENCY\], hereafter
> "AGENCY". Further, this Operations Plan explains the methods by which
> compliance is to be accomplished.

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where a state is completing the Operations Plan, delete "Territory."
    Where a Territory is completing the Operations Plan, delete "State."

-   Where **\[Name\]** is called for, list the full name of the State.

-   Where **\[AGENCY\]** is called for, insert the full name of the
    agency. There is not need to insert abbreviations in the Operations
    Plan.

**SECTION II---SCOPE OF PLAN**

> This Operations Plan identifies the federal priorities targeted for
> increased enforcement under the JEA, explains, describes, and
> elaborates upon the work to be performed by the AGENCY, describes the
> equipment, services, or property that will be purchased with JEA
> funds, mandates reporting requirements, sets forth enforcement
> guidelines, and identifies points of contact for the AGENCY and OLE.

-   Include only this boilerplate. Nothing additional need, or should
    be, included.

**SECTION III---DESCRIPTION OF WORK TO BE PERFORMED**

> Subject to the availability of appropriate funding, the AGENCY will
> provide OLE with fully trained, equipped and federally deputized
> officers to patrol offshore, nearshore and dockside using AGENCY
> equipment to determine compliance with federal law and regulations.
> The OLE and the AGENCY have identified the following federal
> enforcement priorities that will be addressed and the work that will
> be performed during the term of the JEA (or attach separate
> explanation of detailed work to be performed). *A detailed explanation
> of direct personnel costs is contained in the Costing Plan attached
> hereto.*

D.  Priority 1 \[Identify and list targeted number of hours for this
    activity\]

> Off Shore/At Sea Activities:
>
> Schedule/Season
>
> Near Shore Activities:
>
> Schedule/Season
>
> Dockside Activities:
>
> Schedule/Season
>
> Aviation Support Activities
>
> Schedule/Season

B. Priority 2 \[Identify and list targeted number of hours for this
activity\]

> Off Shore/At Sea Activities:
>
> Schedule/Season
>
> Near Shore Activities:
>
> Schedule/Season
>
> Dockside Activities:
>
> Schedule/Season
>
> Aviation Support Activities
>
> Schedule/Season

NOTE: Add as many Priorities as required

I.  Dealers

> Activities
>
> Schedule/Season

J.  Markets

> Activities
>
> Schedule/Season

K.  Outreach

> Activities
>
> Schedule/Season

L.  Clerical

> Hours

M.  Other (Specify)

> Activities
>
> Schedule/Season

N.  Total Man Hours:

    a.  Off Shore/At Sea

    b.  Near Shore

    c.  Dockside

    d.  Aviation

    e.  Community Oriented Policing

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where "Priority" is called for, insert the priority identified by
    the SAC for increased enforcement. For example, "Northeast
    Multispecies," "Sea Scallops," "Right Whale," etc.

-   Insert the total number of hours targeted for this priority. For
    example, "Northeast Multispecies---500 hours," "Sea Scallops---250
    hours."

-   Where "Off Shore/At Sea Activity" is called for, insert a
    description of activity the State or Territory will perform. For
    example, for "Northeast Multispecies"\--"Monitor transfer of NMS at
    sea, exceeding open access---hook gear/recreational/party charter
    bag limits, size restrictions, mesh restrictions, gear requirements,
    rolling closures, VMS compliance." Or, for Lobsters---"Monitor
    exceeding trap limits, trap tags, size restrictions, mutilated & egg
    bearing lobsters."

-   Where "Schedule/Season" is called for, insert the time period when
    the enforcement is to take place. For example, "All year," "During
    defined seasons and closures," "summer, early fall," "October to
    June."

-   Repeat this process for "Near Shore Activities," "Dockside
    Activities," Aviation Support Activities," "Dealers," "Markets," and
    "Outreach."

> **ADD AS MANY "PRIORITY" SECTIONS AS NECESSARY**

-   Where "Clerical is listed, simply insert the number to proposed
    hours of clerical work that will be performed during the JEA.

-   For "Others," specify what type of work is to be performed, what the
    activity is, and the schedule/season.

-   Where "Total Man Hours" is found, insert the total number of man
    hours for each of the sections listed.

**SECTION IV---ADDITIONAL OPERATIONAL DETAILS**

> A. Allocating patrol hours to a particular vessel or geographic
> location will be made on the basis of operational needs with the
> overall goal of achieving the highest possible compliance with federal
> fishing regulations. Operational considerations will dictate the
> number of officers deployed for each patrol.

E.  OLE and the AGENCY recognize that federal enforcement priorities may
    change during the course of the JEA. In the event that a change in
    enforcement strategy is required, and so long as the AGENCY has the
    resources and is capable of performing the additional duties, OLE
    and the State may, by amendment, modify the work to be performed or
    equipment, services, or property to be purchased under the JEA and
    this Operations Plan.

F.  AGENCY will submit monthly and yearly reports of activities using a
    web-based reporting system provided by OLE. In addition, the AGENCY
    will begin tracking and incidents in which AGENCY officers
    performing work under this JEA use any degree of force in the course
    of their duties.

Include only this boilerplate. Nothing additional need, or should be,
included.

**SECTION V--- EQUIPMENT, SERVICES, OR PROPERTY**

AGENCY will purchase the following equipment, services, or property with
JEA funds. *A detailed explanation is set forth in the Costing Plan
attached hereto.*

> A Equipment:
>
> B Services:
>
> C. Property:

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

-   Where "Equipment" is called for, insert a description of the
    equipment to be purchased, including the total number of units, cost
    per unit, and total cost for that category. Repeat for "Services"
    and "Property" categories.

-   This information should conform to the information contained in the
    Costing Plan.

**SECTION VI. ENFORCEMENT GUIDELINES**

> A. The patrols will occur on a year-round basis according to a
> schedule agreed to by AGENCY and OLE. During the patrols, AGENCY
> officers will log all contacts made with fishing vessels, including
> the date, location, name of the vessel, activity, number of persons
> aboard the vessel and, if obtained, the names of any persons who were
> aboard the vessels that were contacted. This log will be made
> available to OLE at the conclusion of each patrol for purposes of
> determining compliance by fishers with federal fishing regulations,
> and to monitor AGENCY performance under the terms of this contract.
>
> B. The resolution of cases documented by AGENCY is a key element of
> the JEA and Operations Plan. As outlined in the JEA, AGENCY officers
> will enforce Federal fisheries laws guided by the mission statement
> and the jointly agreed upon priorities as outlined above. Those cases
> whose resolution will be handled by the AGENCY, e.g., by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, are referenced below. Through the contacts provided below,
> AGENCY will immediately contact the OLE upon the detection of any
> other case involving Federal laws under which OLE has authority,
> including but not limited to the Magnuson-Stevens Act, the Endangered
> Species Act, the Lacey Act, the Marine Mammal Protection Act, the
> Atlantic Tunas Convention Act, and the National Marine Sanctuaries
> Act, and upon the documentation of those cases.
>
> B. AGENCY will handle as appropriate through resolution, *e.g.*, by
> administrative, civil and/or criminal prosecution, restitution, or
> otherwise, in its court system, or in any subordinate court or
> administrative system with appropriate jurisdiction within the State,
> all cases which may be handled under State law only, and certain cases
> which may be handled under either Federal or State law, whether such
> cases originate in State or Federal waters. The parties anticipate
> that these types of cases comprise many, if not most, of the caseload
> of violations that may be detected.
>
> C. Additionally, AGENCY will handle as appropriate all cases which do
> not comply with Federal procedures and guidelines, practices, law, and
> regulations.
>
> D. The State \[Territory\] hereby certifies that it has the authority
> and jurisdiction to so handle such cases as outlined above.
>
> E. AGENCY will immediately contact the OLE upon documentation of any
> other case involving Federal laws under with NOAA has authority,
> including but not limited to the Magnuson-Stevens Act, the Endangered
> Species Act, the Lacey Act, the Marine Mammal Protection Act, the
> Atlantic Tunas Convention Act, and the National Marine Sanctuaries
> Act, and upon the documentation of those cases that involve
> aggravating circumstances. A determination of whether the State or OLE
> will handle the case will be made jointly with the regional NOAA
> General Counsel for Enforcement and Litigation and the appropriate
> State attorney.
>
> F. For those cases involving violations of Federal fisheries laws
> detected by AGENCY officers that will be prosecuted federally, whether
> administratively, civilly, or criminally, the basic procedures are as
> follows:
>
> 1\) The cases will be documented using forms or other forms as jointly
> agreed to by AGENCY and the OLE and then provided to the OLE at the
> earliest practical date and within statutory and regulatory
> guidelines. The OLE will accept for review those cases which are
> properly prepared for Federal action and meet all applicable Federal
> procedures and guidelines, practices, law, and regulations.
>
> 2). To the extent agreed upon in advance or as requested by the OLE
> Special Agent(s), AGENCY officers will conduct follow-up
> investigations of any Federal violation forwarded for federal action.
> These investigations may include obtaining documents, researching
> records, conducting surveillance and conducting interviews. AGENCY
> will work closely with the local OLE Special Agent(s) to ensure a good
> flow of information and to address current areas of concern by the OLE
> and/or the Federal administrative, civil and/or criminal attorney(s).
>
> 3). When necessary, AGENCY officers will be made available to testify
> in Federal administrative and judicial proceedings. The OLE will pay
> the approved cost of travel for all AGENCY officers to assist the OLE
> in any Federal administrative or judicial proceeding.

Include only this boilerplate, with the additions called for. Nothing
additional need, or should be, included. Make these additions:

\* In Part D, where a state is completing the Operations Plan, delete
"Territory." Where a Territory is completing the Operations Plan, delete
"State."

**SECTION VII---CONTROLLING STATUTES, REGULATIONS, ETC.**

> For purposes of this JEA and Operations Plan, Federal procedures and
> guidelines, practices, and law may include but are not limited to the
> following:
>
> The Magnuson-Stevens Act, the Endangered Species Act, the Lacey Act,
> the Atlantic Tunas Convention Act, the National Marine Sanctuaries
> Act, the Atlantic Coastal Fisheries Cooperative Management Act, the
> Northern Pacific Halibut Act, the Freedom of Information Act, the
> Privacy Act, and regulations and notices issued there under;
>
> In addition to the regulations above, all other regulations and
> notices issued under the authority of DOC, including but not limited
> to:
>
> 15 C.F.R. Part 904;
>
> 50 C.F.R. Parts 600, 622, 644 and 678;

The Civil Asset Forfeiture Reform Act of 2000 (CAFRA);

The Small Business Regulatory Enforcement Fairness Act (SBREFA);

Applicable DOJ provisions.

Include only this boilerplate. Nothing additional need, or should be,
included.

**SECTION VIII---CONTACTS**

> For AGENCY**: \[Name, title, work phone, and email address\]**
>
> For OLE: **\[Name, title, work phone, and email address\]**

-   Where the **\[Name, title, work phone, and email address\]** are
    called for, list the appropriate information.

**ATTACH COPIES OF THE COSTING PLAN AND VENDOR PROFILE FORMS TO THE
OPERATIONS PLAN WHEN COMPLETED.**

**APPENDIX 5**

**COSTING PLAN TEMPLATE**

**Cooperative Enforcement Program**

**2007 Costing Plan**

**\[State/Territory\]**

  ---------------------------- ----------- ----------- ------- ----------- ------- -------
  **2007 JEA Direct Operations                                                     
  Component**                                                                      

  **Step 1: Man Hour Cost                                                          
  Calculation**                                                                    

                               Amount                                              

  [Law Enforcement Officer                                                         
  (LEO) labor                                                                      
  cost]{.underline}                                                                

  1\. Yearly max salary of                                                         
  Journeyman                                                                       

  1 a. Hourly / \[# of hours\]                                                     

  1 b. Overtime x1.5 (if                                                           
  applicable)                                                                      

  2\. Government benefits cost                                                     
  reduced to hourly cost                                                           

  FICA                                                                             

  Employee retirement                                                              

  Employee health insurance                                                        

  Workers\' compensation                                                           
  insurance                                                                        

  Unemployment insurance                                                           

  **Total LEO Cost**                                                               

                                                                                   

  [Admin. Support/Specialist                                                       
  Labor Cost]{.underline}                                                          

  1\. Yearly max salary of                                                         
  \[Position\]                                                                     

  1 a. Hourly / \[# of hours\]                                                     

  1 b. Overtime x1.5 (if                                                           
  applicable)                                                                      

  2\. Government benefits cost                                                     
  reduced to hourly cost                                                           

  2 a. FICA                                                                        

  2 b. Employee retirement                                                         

  2 c. Employee health                                                             
  insurance                                                                        

  2 d. Workers\' compensation                                                      
  insurance                                                                        

  2 e. Unemployment insurance                                                      

  **3. Total Cost**                                                                

                                                                                   

                                                                                   

  **Step 2: Vessel/Aircraft                                                        
  Operating Cost Calculation**                                                     

  ***[Offshore Patrol                                                              
  Vessel]{.underline}***                                                           

                                                                                   

  Fuel- XX gal/hr @ \$X.XX/gal                                                     

  Oil- XX gal/hr @ \$X.XX/gal                                                      

  **Total**                                                                        

                                                                                   

  ***[Nearshore Patrol                                                             
  Vessel]{.underline}***                                                           

                                                                                   

  Fuel- XX gal/hr @ \$X.XX/gal                                                     

  Oil- XX gal/hr @ \$X.XX/gal                                                      

  **Total**                                                                        

  ***[Aircraft                                                                     
  Patrol]{.underline}***                                                           

                                                                                   

  Fuel- XX gal/hr @ \$X.XX/gal                                                     

  Oil- XX gal/hr @ \$X.XX/gal                                                      

  **Total**                                                                        

                                                                                   

  **Step 3: Cost of Services**                                                     

  **Man-Hours**                Labor Cost  \# of               Fuel & Oil  \# of   Total
                               per hour    Personnel           Cost/hour   hours   

  1\. Land-Based Patrols                                                           

  2\. Community Outreach                                                           

  3\. At-Sea Patrol                                                                

  4\. Admin.                                                                       
  Support/Specialist                                                               

                                                                                   

  **Vessel Hours**                                                                 

  1\.                                                                              

  2\.                                                                              

  3\.                                                                              

                                                                                   

  **TOTAL COST OF SERVICES**                                                       

                                                               **Man               
                                                               Hours**             

                                                               **Vessel            
                                                               Hours**             

  **Step 4: Overhead**                                                             

  Cost of Services x .35                                                           

  Total Overhead                                                                   

                                                                                   

  **Step 5: Direct Operations                                                      
  Component of Federal Award**                                                     

                                                                                   

  Overhead plus Cost of                                                            
  Services                                                                         

                                                                                   

                                                                                   

  **Step 6: New Patrol                                                             
  Equipment Cost**                                                                 

                               Cost per    Quantity                                Total
                               Unit                                                

  Item                                                                             

                                                                                   

  **Total Equipment Purchase                                                       
  Cost**                                                                           

                                                                                   

  **TOTAL JEA**                                                                    

                                                                                   
  ---------------------------- ----------- ----------- ------- ----------- ------- -------

**APPENDIX 6**

**COSTING PLAN TEMPLATE**

**INSTRUCTIONS**

**INSTRUCTIONS FOR COMPLETING**

**2007 COSTING PLAN TEMPLATE**

The Costing Plan template is provided as a guide for States and
Territories, in conjunction with the regional SAC, to develop an
accurate estimate of the costs associated with the Joint Enforcement
Agreement application. **The 2007 Costing Plan template is slightly
different from previous versions. Be sure to read over the template and
these instructions to understand all of the changes.**

**FOR ADDITIONAL INFORMATION REVIEW OLE COSTING POLICY**

**The total amount of an award to support a JEA is comprised of two
components---a Direct Operations Component and a Direct Purchase
Component.**

**DIRECT OPERATIONS COMPONENT**

Only planned labor costs, specified vessel or aircraft operating costs
and all allowance for overhead are allowed. The costs of the Direct
Operations Component are documented using a work sheet and required
supporting documentation.

**DIRECT PURCHASE COMPONENT**

Depending on the availability of funds, NOAA will consider contributing
funds for the purchase of equipment that will be assigned to the
identified agency for use to support the federal and state/territorial
marine (including anadromous fish) conservation mission.

Direct Purchase Criteria:

-   NOAA contributions can not result in a reduction of
    state/territorial funding

-   Equipment must enhance the federal marine conservation effort
    mission and its use must remain focused on the federal and
    state/territory marine conservation mission throughout the useful
    life of the equipment.

-   Equipment funded by NOAA must remain available for use by the
    federal government.

**RELATION BETWEEN DIRECT OPERATIONS AND DIRECT PURCHASES**

Since the main focus of the JEA is to supplement OLE's ability to meet
its marine conservation mission, it is hoped that the funds to support
the work to be performed will be approximately one half of the total
JEA. This ratio can be checked by taking the total amount of Direct
Purchases divided by the total amount of the award. A 50 % or less split
is desirable.

**HEADER/FOOTER CHANGES**

The template includes a header and a footer that provides a place for
the name of the State or Territory. To make a change or add a state or
territory name to a header or footer, complete these steps.

Step 1. Click the mouse arrow on your menu bar above the Word document
that says "View."

Step 2. Scroll down to "Header and Footer."

Step 3. Click on "Header and Footer." A box will appear at the top and
bottom of the page.

Step 4. To make changes or add a state or territory name, simply type in
the name of the state in the appropriate place.

Note: If the JEA involves a state, delete "/Territory." The same is true
if the JEA involves a territory.

Step 5. To exit, point the arrow at the "close" on the blue dialogue box
titled "Header and Footer" and click.

Step 6. Changes will be made to the Header.

Note: To change a footer, simply follow Steps 1-3 above, make the
changes in the box at the bottom of the page, and follow Step 5 to make
the changes and exit from that function.

**NOTE: IN ALL COST CALCULATIONS, ROUND TO THE NEAREST DOLLAR AMOUNT.**

**Step 1: Man Hour Cost Calculation**

***Law enforcement services will only be compensated at the "journeyman
level" law enforcement officer rate.***

> **DOCUMENTATION REQUIRED:**

-   **For the "journeyman level" law enforcement officer classification
    and each administrative support or specialist position proposed in
    the agreement, a copy of the current legislated or negotiated pay
    scale with the specific pay grades highlighted, AND**

-   **A copy of each current personnel classification/job description
    included in the proposal, AND**

-   **A signed, letterhead document from the government budget or
    finance authority documenting the government's costs for the
    personnel benefits listed on the cost calculation form displayed as
    an hourly cost based on each classification included in the proposal
    at the appropriate rate.**

-   **This documentation must be attached to the Cost Calculations.**

> **Law Enforcement Officer (LEO) labor cost: Include salary and
> specified government personnel benefit costs reduced to a per man hour
> cost.**
>
> **Add additional information about different classifications of LEO.**
>
> **Overtime Costs: If the proposal contains man hours planned to be
> provided at the overtime rate, the Man Hour Cost Calculations should
> include the conversion of the hourly salary cost component to the 1.5
> rate for those hours.**

  ---------------------------- ------------------------------------------
  **Step 1: Man Hour Cost      
  Calculation**                

                               

  [Law Enforcement Officer     
  (LEO) labor                  
  cost]{.underline}            

  1\. Yearly max salary of     
  Journeyman                   

  1 a. Hourly / \[# of hours\] 

  1 b. Overtime x1.5 (if       
  applicable)                  

  2\. a. Government benefits   
  cost reduced to hourly cost  

  2 b. FICA                    

  2 c. Employee retirement     

  2 d. Employee health         
  insurance                    

  2 e. Workers\' compensation  
  insurance                    

  2 f. Unemployment insurance  

  **3. Total LEO Cost**        
  ---------------------------- ------------------------------------------

> **Law Enforcement Officer (LEO) Labor Cost Calculation:**
>
> Line 1. Enter the total yearly salary of a journeyman level law
> enforcement officer.
>
> Line 1a. Enter the hourly rate for the amount on line 1. Divide the
> yearly rate by 2080 or whatever rate your state uses to represent the
> total number of hours in a regular work year.
>
> Line 1b. Enter the hourly overtime rate for the amount entered on line
> 1a. Multiply line 1a by 1.5 and the result.
>
> Line 2. Enter the total government benefits cost reduced to an hourly
> cost. Do this by adding the amounts entered on lines 2a-2e.
>
> Line 2a. Enter the benefit cost for FICA per hour. Divide the yearly
> rate by 2080.
>
> Line 2b. Enter the benefit cost for Employee retirement benefits per
> hour.
>
> Line 2c. Enter the benefit cost for Employee health and life insurance
> costs per hour.
>
> Line 2d. Enter the benefit cost for Worker's Compensation Insurance
> costs per hour.
>
> Line 2e. Enter the benefit cost for Unemployment Insurance cost per
> hour.
>
> **Determine LEO Hourly Labor Cost:**
>
> Add the amount on Line 1a to the amount on Line 2 and enter on Line 3.

  -----------------------------------------------------------------------
  [Administrative Support/Specialist labor cost]{.underline}

  1\. Yearly max salary of \[Position\]

  Hourly / 2080

  2\. Government benefits cost reduced to hourly cost

  2 a. FICA

  2 b. Employee retirement

  2 c. Employee health and life insurance

  2 d. Workers\' compensation insurance

  2 e. Unemployment insurance

  **3. Total Cost**

  -----------------------------------------------------------------------

**Administrative Support/Specialist Labor Cost Calculation:**

Enter the title of the position in the space \[Position\].

> Line 1. Enter the maximum yearly salary for the position at the top
> step of the current grade.
>
> Line 2. Enter the total government benefits cost reduced to an hourly
> cost. Do this by adding the amounts entered on lines 2a-2e.
>
> Line 2a. Enter the benefit cost for FICA per hour. Divide the yearly
> rate by 2080.
>
> Line 2b. Enter the benefit cost for Employee retirement benefits per
> hour.
>
> Line 2c. Enter the benefit cost for Employee health and life insurance
> costs per hour.
>
> Line 2d. Enter the benefit cost for Worker's Compensation Insurance
> costs per hour.
>
> Line 2e. Enter the benefit cost for Unemployment Insurance cost per
> hour.
>
> **Determine Administrative Support/Specialist Hourly Labor Cost:**
>
> Add the amount on Line 1 to the amount on Line 2 and enter on Line 3.

**NOTE: REPEAT THIS PROCESS AND DOCUMENTATION FOR EACH UNIQUE POSITION
TO BE FUNDED. FOR EXAMPLE, IF JEA FUNDS ARE TO PAY FOR A BOAT CAPTAIN OR
AIRPLANE PILOT, ITEMIZE THEIR COSTS IN THE SAME MANNER.**

> **Step 2. Vessel/Aircraft Operating Cost Calculation**
>
> The vessel/aircraft operating cost calculations are made based on fuel
> and oil consumption rates. These costs are determined by using
> **documented** per hour fuel and oil consumption data for each
> vessel/aircraft, or average for class of vessels proposed to be used
> in completing the federal work, multiplied by the most current cost of
> fuel per gallon and oil per quart available at the time of agreement.
>
> **DOCUMENTATION REQUIRED:**
>
> **Fuel/oil consumption data for vessels or aircraft must include a
> work sheet containing data from the latest annual operating period
> available showing engine hours and fuel/oil consumption based on
> government records retained during the normal course of business.
> These records must remain available for audit for a period of three
> years commencing with the effective date of the agreement.**
>
> **When the services of multiple vessels are provided, vessels may be
> grouped into classes based on similarity of size and similarity of
> power plants and average fuel/oil consumption rates may be applied
> based on actual records.**
>
> **The cost of fuel and will be established for the agreement period
> using the most recent State or Territorial government contracts for
> the purchase of fuel and oil. Unanticipated increases in the cost of
> fuel and oil during the period of the contract may be addressed
> through a request for supplemental funding which may be granted based
> on the availability of funds at the time.**

**NOTE: IN ALL COST CALCULATIONS, ROUND TO THE NEAREST DOLLAR AMOUNT.**

  ---------------------------- ----------- -------- -------- ------- -------
  **Step 2: Vessel/Aircraft                                          
  Operating Cost Calculation**                                       

  ***[Offshore Patrol                                                
  Vessel]{.underline}***                                             

                                                                     

  Fuel- XX gal/hr @ \$X.XX/gal                                       

  Oil- XX gal/hr @ \$X.XX/gal                                        

  **Total**                                                          

                                                                     

  ***[Nearshore Patrol                                               
  Vessel]{.underline}***                                             

                                                                     

  Fuel- XX gal/hr @ \$X.XX/gal                                       

  Oil- XX gal/hr @ \$X.XX/gal                                        

  **Total**                                                          

                                                                     

  ***[Aircraft                                                       
  Patrol]{.underline}***                                             

                                                                     

  Fuel- XX gal/hr @ \$X.XX/gal                                       

  Oil- XX gal/hr @ \$X.XX/gal                                        

  **Total**                                                          
  ---------------------------- ----------- -------- -------- ------- -------

Complete the above information for all vessels/aircraft that are to be
used in the JEA. Add additional spaces as needed for each vessel.

Enter a description of the vessel/aircraft. For example, "Near-Shore
Patrol Vessel," "27 Ft. Patrol Vessel," "Cessna 172 Aircraft."

Line 1. Enter the gallons per hour consumption rate from documents that
are attached to the Cost Calculations. Also enter the price per gallon
based on current government fuel purchase contract. In the column above
"total" enter the price per gallon calculation.

Line 2. Enter the gallons per hour consumption rate from documents. Also
enter the price per gallon based on current government fuel purchase
contract. In the column above "total" enter the price per gallon
calculation.

Line 3. Add the amounts on Lines 1 and 2 and enter on Line 3. This is
the Hourly cost to operate the vessel(s)/aircraft.

**Step 3. Cost of Services.**

The Cost of Services is a calculation of all of the labor costs and the
vessel/aircraft operating costs.

  ---------------------------- ----------- ----------- ----------- ------- -------
  **Step 3: Cost of Services**                                             

  **Man-Hours**                Labor Cost  \# of       Fuel & Oil  \# of   Total
                               per hour    Personnel   Cost/hour   hours   

  1\. Land-Based Patrols                                                   

  2\. Community Outreach                                                   

  3\. At-Sea Patrol                                                        

  4\. Admin.                                                               
  Support/Specialist                                                       

                                                                           

  **Vessel Hours**                                                         

  1\.                                                                      

  2\.                                                                      

  3\.                                                                      

                                                                           

  **TOTAL COST OF SERVICES**                                               

                                                       **Man               
                                                       Hours**             

                                                       **Vessel            
                                                       Hours**             
  ---------------------------- ----------- ----------- ----------- ------- -------

**Man-Hours**:

For each category of man-hours, i.e., "land-based patrols, community
outreach, at-sea patrol, and admin support/specialist," enter the man
hour labor costs from Step 1 in the Labor Cost Per Hour column.

Enter the number of personnel that will be performing that particular
task.

Enter the number of hours that LEO will be performing that task.

Multiply the labor cost times the number of personnel and the number of
hours. Enter the result in the "total" column. (For example, for the
example above---36.99 x 1 x 325 = 12021.75).

Complete these calculations for each row.

**Vessel(s)**

For each vessel/aircraft, describe each vessel being referenced, i.e.,
"nearshore patrol vessel," "35' Patrol vessel."

Enter fuel and oil cost per hour for each vessel/aircraft.

Enter the number of hours for each vessel.

Multiply the fuel and oil cost calculation by the number of hours and
enter in the "Total" column

**Total Cost for Services Calculation**

Add the amounts in the "Total" column for each position or
vessel/aircraft and enter in the column for "Total Cost of Services."

**NOTE**

**Add the number of man hours listed and enter in the space "Man-hours"
and add the number of vessel/aircraft hours and enter in the space
"Vessel hours."**

**Step 4. Overhead.**

  -----------------------------------------------------------------------
  **Step 4: Overhead**

  Cost of Services x 35%

  Total Overhead
  -----------------------------------------------------------------------

For purposes of NOAA Joint Enforcement Agreements, overhead is the
portion NOAA pays for law enforcement management services, including
leadership, supervision, quality control, report review, general
record-keeping, infrastructure support such as offices, utilities,
uniforms, equipment, use of vehicles, depreciation or capitalization
costs of capital equipment, etc.

Multiply total COST OF SERVICES by 35% to calculate the overhead. Enter
the product in the appropriate space.

**NOTE: SEVERAL STATES HAVE DIFFERENT METHODS OF CALCULATING OVERHEAD.
IN THOSE CASES, SEPARATE EXPLANATION FOR A DEVIATION FROM THE 35% FIGURE
MUST BE ATTACHED TO THE WORKSHEET.**

**Step 5. Direct Operations Component of Federal Award**

  ---------------------------------- ------------------ --------- ---------
  **Step 5: Direct Operations                                     
  Component of Federal Award**                                    

                                                                  

  Overhead plus Cost of Services                                  

                                                                  
  ---------------------------------- ------------------ --------- ---------

**Add the total amount of Cost for Services to the Overhead and record
the amount. This is the total Direct Operations Component.**

**Step 6. Direct Purchase Component.**

  ---------------------------------- ------------------ ---------- ---------
  **Step 6: New Patrol Equipment                                   
  Cost**                                                           

                                     Cost Per Unit      Quantity   Total
                                                                   Cost

                                                                   

                                                                   

                                                                   

                                     **Total Equipment             
                                     Purchase Cost**               
  ---------------------------------- ------------------ ---------- ---------

In the space provided, briefly describe the item of equipment to be
purchased. For example, "27' Patrol Boat, fully equipped," or New model
year 4 x 4 patrol vehicle."

Enter the cost per unit.

Enter the quantity to be purchased.

Enter the total cost by multiplying the cost per unit times the
quantity.

Add the total cost of each item in the right column and enter the result
in the Total Equipment Purchase Cost blank.

**Step 7. Total JEA Calculation**

  ---------------------------------- ------------------ --------- ---------
                                                                  

  **TOTAL JEA**                                                   
  ---------------------------------- ------------------ --------- ---------

Add the Direct Operations Component amount to the Direct Purchase
Component amount and enter the amount in the space titled "Total JEA."

**[DEFINITIONS]{.underline}**

[Cost of Services]{.underline}: specified labor and operating costs of
all proposed patrols, public education and direct support work
compensable under agreement between NOAA/OLE and its partner agency.

[Direct Operations Component]{.underline}: as distinguished from Direct
Purchase Component, the part of a federal award that compensates the
states for the work to be performed.

[Direct Purchases Component]{.underline}: as distinguished from Direct
Operations Component, the part of a federal award that allocates money
to a federal partner for the purchase of a specific item.

[Journeyman Level Enforcement Officer]{.underline}: is a fully trained,
non-supervisory law enforcement officer performing field enforcement
work.

[Man Hour Cost]{.underline}: is the hourly cost of labor comprised of
the appropriate fraction of the annual salary and benefits cost.

[Overhead]{.underline}: is the portion of the award intended to
compensate the state for the costs of providing the infrastructure
necessary to supply the law enforcement services to the Federal
government.

[Personal Benefits]{.underline}: employer's costs for FICA, employee
retirement, health/life insurance, worker's compensation, and
unemployment insurance.

[Vessel/Aircraft Operating Cost]{.underline}: is the combination of the
historical hourly fuel and oil consumption rates and current per
gallon/per quart cost for fuel/oil for vessels/aircraft proposed for use
in federal enforcement work under this agreement.

**APPENDIX 7**

**VENDOR INFORMATION PROFILE TEMPLATE**

Number range CHAPTER**VENDOR PROFILE INFORMATION**

The purpose of this form is to provide mandatory award and payment
information for NOAA. This information is required as set forth in FAR
52.232-33, *Mandatory Information for* *Electronic Funds Transfer
Payment*, the Debt Collection Improvement Act of 1996, and the Taxpayer
Relief Act of 1997. NOAA will use the information only for the purposes
stated in the references cited above and will restrict access to the
data to authorized personnel who will use it only for the specified
purposes. Until this information is received, our payment office will
not make any payments.

Please check one: \_\_\_\_ NEW \_\_\_\_ CHANGE (please complete bolded
areas only, along with your changes)

**NAME: Legal
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Parent Company Name (if
applicable)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Acronym or shortened
name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (8
characters/digits or less)

What type of Vendor are you (select one):

\_\_\_\_ Small Disadvantaged Business \_\_\_\_ Individual

\_\_\_\_ Other Small Business \_\_\_\_ State/Local Government - Hospital

\_\_\_\_ Large Business \_\_\_\_ Other State/Local Government

\_\_\_\_ JWOD Non-Profit Agency \_\_\_\_ Foreign Contractor

\_\_\_\_ Non-Profit Educational Organization \_\_\_\_ Domestic
Contractor Performing Outside US

\_\_\_\_ Non-Profit Hospital \_\_\_\_ Tribal Government

\_\_\_\_ Federal Government \_\_\_\_ HBC/U or Mi

\_\_\_\_ Other Non-Profit Organization \_\_\_\_ Private University

\_\_\_\_ State/Local Government - Educational

DOC/NOAA customer account
number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(if any)

Foreign Corporation Yes\_\_\_\_ No\_\_\_\_

Minority Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

Women Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

**Taxpayer Identification Number (TIN)\***

**SSN (individual/sole
proprietorship)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**EIN (Corporation/partnership/sole proprietorship with one or more
employees) \# of parent
company\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**\# of Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**DUNS \# (commercial vendors
only)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\* The Taxpayer Identification Number (TIN) is required by law. If you
fail to provide us with this information, your payments may be subject
to income tax withholding.

Type of Entity/Account applicable to the TIN. (See Form W-9 Request for
Taxpayer Identification Number & Certification, Specific Instructions
Section). Select One:

 Broker or Registered Nominee  Corporation  Individual

 Partnership  Sole Proprietorship  Federal Government

 Revocable Savings Trust  Custodian Account of a minor  Valid Trust,
Estate, Pension

 Association, Club, Religious,  Account with the Dept of Agriculture
Trust Charitable, Educational, or other in the name of a public entity
(such  Joint Account (Two/more

tax exempt organization as State/Local Government, School Individuals)

District, or Prison)

Do you require payment in foreign currency? Yes\_\_\_\_ No\_\_\_\_ Type
of currency?

Please indicate the type of products you provide to NOAA.

Services Only Goods Only Goods/Services

ADDRESS: Individual/Business/Organization's sales address and point of
contact

Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
1\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
2\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State\_\_\_\_\_\_\_\_\_\_\_\_\_\_ZIP\_\_\_\_\_\_\_\_\_\_Country\_\_\_\_\_\_\_\_\_\_\_

Phone\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Fax\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Internet E-mail
address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

If payment remit address is different than the sales address, please
provide it below

Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
1\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
2\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State\_\_\_\_\_\_\_\_\_\_\_\_\_\_ZIP\_\_\_\_\_\_\_\_\_\_Country\_\_\_\_\_\_\_\_\_\_\_

Phone\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Fax\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Internet E-mail
address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**ELECTRONIC FUNDS TRANSFER (EFT):**

The Debt Collection Improvement Act of 1996 mandates the use of EFT for
all Federal payments to recipients who become eligible to receive such
payments 90 days after enactment, which was July 26, 1996. Federal
agencies may grant waivers for this mandate to recipients who certify in
writing and send to the Finance office stating that they do not have an
account with a financial institution. Please select one of the following
payment methods:

1\. \_\_\_\_ EFT (Automated Clearing House Payments (ACH))

2\. \_\_\_\_ Check **(MUST SUBMIT REQUEST FOR WAIVER IN WRITING ALONG
WITH THIS FORM)**

3\. \_\_\_\_ OPAC (Federal Agencies only)

If line 1 was checked above, please provide the following financial
information for EFT payments.

(The ACH Coordinator at your financial institution can supply you with
this information)

Financial Institution
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_State\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Zip\_\_\_\_\_\_\_\_\_\_\_\_\_

ACH Coordinator
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Phone\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Nine Digit Routing/Transit Number
(ABA#)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Account
Title\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Type of Account: (select one)

\_\_\_\_Checking Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_Savings Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_Lockbox Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

I certify that the information which I have provided on this form is
correct.

Name (type or print)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Title\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Phone#\_\_\_\_\_\_\_\_

Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Page 2 of 2

**APPENDIX 8**

**VENDOR INFORMATION PROFILE TEMPLATE**

**INSTRUCTIONS**

**INSTRUCTIONS FOR COMPLETING**

**VENDOR PROFILE INFORMATION FORM**

States/Territories applying for JEA funding must submit a completed and
signed Vendor Profile Information form with the JEA packet. Please
complete the form according to the following instructions. The form may
be completed electronically, typed or printed.

**Step 1:**

The purpose of this form is to provide mandatory award and payment
information for NOAA. This information is required as set forth in FAR
52.232‑33, *Mandatory Information for* *Electronic Funds Transfer
Payment*, the Debt Collection Improvement Act of 1996, and the Taxpayer
Relief Act of 1997. NOAA will use the information only for the purposes
stated in the references cited above and will restrict access to the
data to authorized personnel who will use it only for the specified
purposes. Until this information is received, our payment office will
not make any payments.

Please check one: \_\_[X\_]{.underline}\_ NEW \_\_\_\_ CHANGE (please
complete bolded areas only, along with your changes)

Place a "X" or check mark in the "New" space.

**Step 2. Legal Name of Organization**

**NAME: Legal
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

Parent Company Name (if
applicable)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Acronym or shortened name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (8
characters/digits or less)

Insert the full legal name of the organization. See example above.

Insert the Division/subunit name. For example, "Division of Fish and
Wildlife;" "Department of Natural Resources".

Insert the 8 character or less acronym or shortened name of the
organization. For continuity purposes, the acronym used in the JEA and
Operations Plan should be used.

**Step 3. Type of Vendor**

What type of Vendor are you (select one):

\_\_\_\_ Small Disadvantaged Business \_\_\_\_ Individual

\_\_\_\_ Other Small Business \_\_\_\_ State/Local Government - Hospital

\_\_\_\_ Large Business \_\_[X]{.underline}\_ Other State/Local
Government

\_\_\_\_ JWOD Non-Profit Agency \_\_\_\_ Foreign Contractor

\_\_\_\_ Non-Profit Educational Organization \_\_\_\_ Domestic
Contractor Performing Outside US

\_\_\_\_ Non-Profit Hospital \_\_\_\_ Tribal Government

\_\_\_\_ Federal Government \_\_\_\_ HBC/U or Mi

\_\_\_\_ Other Non-Profit Organization \_\_\_\_ Private University

\_\_\_\_ State/Local Government -- Educational

Place an "X" or checkmark in the space "Other State/Local Government

**Step 4. Foreign Corporation, Minority Owned Business**

DOC/NOAA customer account
number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(if any)

Foreign Corporation Yes\_\_\_\_ No\_\_\_\_

Minority Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

Women Owned and Operated Business Yes\_\_\_\_ No\_\_\_\_

Do not place any mark in the "DOC/NOAA customer account number" box.

Place and "X" or checkmark in the "No" box for "Foreign Corporation."

Place and "X" or checkmark in the "No" box for "Minority Owned and
Operated Business."

Place and "X" or checkmark in the "No" box for "Women Owned and Operated
Business."

**Step 5. Taxpayer Identification Number**

**Taxpayer Identification Number (TIN)\***

**SSN (individual/sole
proprietorship)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**EIN (Corporation/partnership/sole proprietorship with one or more
employees)\_\_\_\_\_\_\_\_\_\_**

**\# of parent company\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**\# of Division/subunit\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**DUNS \# (commercial vendors only) \_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\* The Taxpayer Identification Number (TIN) is required by law. If you
fail to provide us with this information, your payments may be subject
to income tax withholding.

Enter your State's/Territory's Employer Identification Number (EIN)

Enter your State's/Territory's DUNS#, if appropriate.

**Step 6. Type of Entity/Account Applicable to TIN.**

Type of Entity/Account applicable to the TIN. (See Form W-9 Request for
Taxpayer Identification Number & Certification, Specific Instructions
Section). Select One:

 Broker or Registered Nominee  Corporation  Individual

 Partnership  Sole Proprietorship  Federal Government

 Revocable Savings Trust  Custodian Account of a minor  Valid Trust,
Estate, Pension

 Association, Club, Religious, 9 Account with the Dept of Agriculture
Trust

Charitable, Educational, or other in the name of a public entity (such 
Joint Account (Two/more

tax exempt organization as State/Local Government, School Individuals)

District, or Prison)

Mark or check the space before "Account with the Dept. of Agriculture,
etc." Mark only this one.

**Step 7. Type of Currency**

Do you require payment in foreign currency? Yes\_\_\_\_
No\_\_[X]{.underline}\_ Type of currency?

Place an "X" or checkmark in the "No" space.

**Step 8. Type of Products Provided to NOAA**

Please indicate the type of products you provide to NOAA.

Services Only [**X**]{.underline} Goods Only Goods/Services

Place an "X" or checkmark in the "Services Only" space.

**Step 9. Organization Address**

ADDRESS: Individual/Business/Organization's sales address and point of
contact

Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
1\_\_**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
2\_**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City\_**\_\_\_\_\_\_\_**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State\_\_\_\_\_\_\_\_\_\_\_\_\_ZIP\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Country\_\_\_\_\_\_\_

Phone**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**\_
Fax\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Internet E-mail
address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Enter the full name of the organization. For example, "State of
Washington;" "New York State Department of Environmental Conservation."

Enter any divisional or unit name on the "Address line 1" space. For
example, "Department of Law Enforcement," "Division of Fish and
Wildlife."

Enter the full street address on "Address line 2."

Enter the city, zip code, and country in the appropriate spaces.

Enter the central telephone and fax numbers for the organization.

Entering an email address is optional.

**Step 10. Payment Address**

If payment remit address is different than the sales address, please
provide it below

Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
1\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address line
2\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ZIP
\_\_\_\_\_\_\_\_\_\_Country\_\_\_\_\_\_\_

Phone\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Fax\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Internet E-mail
address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

If the address where payment is to be delivered is different than the
address of the organization, provide the requested information.

**Step 11. Electronic Funds Transfer**

**ELECTRONIC FUNDS TRANSFER (EFT):**

The Debt Collection Improvement Act of 1996 mandates the use of EFT for
all Federal payments to recipients who become eligible to receive such
payments 90 days after enactment, which was July 26, 1996. Federal
agencies may grant waivers for this mandate to recipients who certify in
writing and send to the Finance office stating that they do not have an
account with a financial institution. Please select one of the following
payment methods:

1\. \_\_\_\_ EFT (Automated Clearing House Payments (ACH))

2\. \_\_\_\_ Check **(MUST SUBMIT REQUEST FOR WAIVER IN WRITING ALONG
WITH THIS FORM)**

3\. \_\_\_\_ OPAC (Federal Agencies only)

Place an "X" or checkmark in the "EFT" space.

**NOTE: If a check is being requested, please contact your regional JEA
representative.**

**Step 12. EFT Financial Institution Information**

If line 1 was checked above, please provide the following financial
information for EFT payments.

(The ACH Coordinator at your financial institution can supply you with
this information)

Financial Institution Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Zip\_\_\_\_\_\_\_\_

ACH Coordinator Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Phone\_\_\_\_\_\_\_\_\_\_\_\_

Nine Digit Routing/Transit Number
(ABA#)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Account Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Enter the name of the financial institution that will be receiving the
fund transfer.

Enter the full address for the financial institution.

Provide the name of the ACH Coordinator and the business telephone
number for that person.

Enter the 9-digit routing/transit number.

Enter the account title that the money is to be transferred into.

**Step 13. Account Type and Number**

Type of Account: (select one)

\_\_\_\_Checking Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_Savings Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_Lockbox Account
Number\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Place an "X" or checkmark in the appropriate space. Check only one.

Enter the account number into which the funds are to be transferred.

**Step. 14 Certification and Signature**

I certify that the information which I have provided on this form is
correct.

Name (type or print)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Title\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Phone**#\_\_\_\_\_\_**

Signature\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Date\_\_\_\_\_\_\_\_\_\_\_

Insert the name of the official completing the form and will certify to
its accuracy.

Insert the official's title and telephone number.

The certifying individual must sign the form and insert the date signed.

**APPENDIX 9**

**COSTING POLICY**