[Federal Register Volume 62, Number 19 (Wednesday, January 29, 1997)]
[Notices]
[Pages 4255-4261]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-2109]


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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 970114007-7007-01; I.D. 010897C]
RIN 0648-ZA26


Financial Assistance for Research and Development Projects in the 
Gulf of Mexico and Off the U.S. South Atlantic Coastal States; Marine 
Fisheries Initiative (MARFIN)

AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and 
Atmospheric Administration (NOAA), Commerce.

ACTION: Notice.

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SUMMARY: Subject to the availability of funds, NMFS issues this notice 
describing funding to assist persons in carrying out research and 
development projects that optimize the use of fisheries in the Gulf of 
Mexico and off the South Atlantic States of North Carolina, South 
Carolina, Georgia, and Florida involving the U.S. fishing industry 
(recreational and commercial), including fishery biology, resource 
assessment, socio-economic assessment, management and conservation, 
selected harvesting methods, and fish handling and processing. NMFS 
issues this notice describing the conditions under which applications 
will be accepted and how NMFS will determine which applications will be 
selected for funding. Areas of this Marine Fisheries Initiative 
(MARFIN) emphasis were formulated from recommendations received from 
non-Federal scientific and technical experts, and NMFS research and 
operations officials.

DATES: Applications for funding under this program will be accepted 
between January 29, 1997 and 5 p.m. eastern daylight time on March 31, 
1997. Applications received after that time will not be considered for 
funding. No facsimile applications will be accepted.
    Applications may be inspected at the NMFS Southeast Regional Office 
(see ADDRESSES) from April 4, 1997 through April 7, 1997.

ADDRESSES: Send applications to: Ellie Francisco Roche, Competitive 
Programs Manager, Cooperative Programs Division, Southeast Regional 
Office, NMFS, 9721 Executive Center Drive, N., St. Petersburg, FL 
33702.

FOR FURTHER INFORMATION CONTACT: Ellie Francisco Roche, 813-570-5324.

SUPPLEMENTARY INFORMATION:

I. Authority

    The Secretary of Commerce (Secretary) is authorized under 15 U.S.C. 
713c-3(d) to carry out a national program of research and development 
addressed to such aspects of U.S. fisheries (including, but not limited 
to harvesting, processing, marketing and associated infrastructures), 
if not adequately covered by projects assisted under subsection (c) of 
this section, as the Secretary deems appropriate.

II. Catalog of Federal Domestic Assistance (CFDA)

    This program is described in the ``Catalog of Federal Domestic 
Assistance'' (CFDA) under program number 11.433, Marine Fisheries 
Initiative.

III. Program Description

    MARFIN is a competitive Federal assistance program that promotes 
and endorses programs that seek to optimize research and development 
benefits from U.S. marine fishery resources through cooperative efforts 
that involve the best research and management talents to accomplish 
priority activities. Projects funded under MARFIN are focused into 
cooperative efforts that provide answers for fishery needs covered by 
the NMFS Strategic Plan, available from the Southeast Regional Office 
(see ADDRESSES), particularly those goals relating to rebuilding 
overfished marine fisheries, maintaining currently productive 
fisheries, and integrating conservation of protected species and 
fisheries management.
    Applications from multiple cooperating applicants that address

[[Page 4256]]

conservation and management needs over a wide range of a fishery or 
fishery organism are encouraged. Emphasis will be placed upon funding 
projects that have the greatest probability of recovering, maintaining, 
improving, or developing fisheries; improving the understanding of 
factors affecting recruitment success; and/or generating increased 
values and recreational opportunities from fisheries. Projects will be 
evaluated as to the likelihood of achieving these benefits through both 
short- and long-term research efforts, with consideration of the 
magnitude of the eventual economic or social benefits that may be 
realized. Short-term projects that may yield more immediate benefits 
and projects yielding longer-term benefits will receive equal 
consideration.

IV. Funding Availability

    This solicitation announces that funding of approximately $1.10 
million may be available in FY 1997. MARFIN financial assistance 
started in FY 1986 and, for FY 1986 through FY 1995, awards totaled 
about $16.8 million for financial assistance to conduct research for 
fishery resources in the Gulf of Mexico and off the South Atlantic 
states of North Carolina, South Carolina, Georgia, and Florida. There 
is no guarantee that sufficient funds will be available to make awards 
for all approved projects.
    Project proposals accepted for funding for a project period over 1 
year that include multiple project components and severable tasks to be 
funded during each budget period will not compete for funding in 
subsequent budget periods within the approved project period. However, 
funding for subsequent project components is contingent upon the 
availability of funds from Congress and satisfactory performance and 
will be at the sole discretion of the agency. Publication of this 
notice does not obligate NMFS to award any specific cooperative 
agreement or to obligate all or any parts of the available funds.

V. Matching Requirements

    Applications must reflect the total budget necessary to accomplish 
the project, including contributions and/or donations. Cost-sharing is 
not required for the MARFIN program. However, cost-sharing is 
encouraged and, in case of a tie in considering proposals for funding, 
cost-sharing may affect the final decision. The appropriateness of all 
cost-sharing will be determined on the basis of guidance provided in 
applicable Federal cost principles. If an applicant chooses to cost-
share, and if that application is selected for funding, the applicant 
will be bound by the percentage of the cost share reflected in the 
cooperative agreement award.
    The non-Federal share may include the value of in-kind 
contributions by the applicant or third parties or funds received from 
private sources or from state or local governments. Federal funds may 
not be used to meet the non-Federal share of matching funds, except as 
provided by Federal statute. Third party in-kind contributions may be 
in the form of, but are not limited to, personal services rendered in 
carrying out functions related to the project and use of real or 
personal property owned by others (for which consideration is not 
required) in carrying out the projects.
    The total cost of a project begins on the effective award date of 
an authorized cooperative agreement between the applicant and the NOAA 
Grants Officer and ends on the date specified in the award. 
Accordingly, time expended and costs incurred in either the development 
of a project or the financial assistance application, or in any 
subsequent discussions or negotiations prior to the award, are neither 
reimbursable nor recognizable as part of the recipient's cost share.

VI. Type of Funding Instrument

    The cooperative agreement has been determined to be the appropriate 
funding instrument. NMFS is substantially involved in developing 
program research priorities, conducting cooperative activities with 
recipients, and evaluating the performance of recipients for 
effectiveness in meeting national and regional goals for fishery 
research in the southeastern United States.

VII. Eligibility Criteria

    A. Applications for cooperative agreements for MARFIN projects may 
be made, in accordance with the procedures set forth in this notice, 
by:
    1. Any individual who is a citizen or national of the United States 
or a citizen of the Northern Mariana Islands.
    2. Any corporation, partnership, or other entity, non-profit or 
otherwise, if such entity is a citizen of the United States within the 
meaning of section 2 of the Shipping Act, 1916, as amended (46 app. 
U.S.C. 802).
    3. Colleges, universities, and game and fish departments of the 
several states.
    B. Federal agencies, Federal instrumentalities, and Federal 
employees, including NOAA employees (full-time, part-time, and 
intermittent personnel or their immediate families), and NOAA offices 
or centers are not eligible to submit an application under this 
solicitation or aid in the preparation of an application during the 60-
day solicitation period, except to provide information about the MARFIN 
program and the priorities and procedures included in this 
solicitation. However, NOAA employees are permitted to provide 
information about ongoing and planned NOAA programs and activities that 
may have implication for an application. Potential applicants are 
encouraged to contact Ellie Francisco Roche at the NMFS Southeast 
Regional Office (see ADDRESSES) for information on NOAA programs.

VIII. Award Period

    The award period for the project may be made for more than 1 year 
consisting of one, two, or three budget periods that correspond to the 
funding for the proposed project components. The award period will 
depend upon the duration of funding requested by the applicant in the 
Application for Federal Assistance, the decision of the NMFS selecting 
official on the amount of funding, the results of post-selection 
negotiations between the applicant and NOAA officials, and pre-award 
review of the application by NOAA and Department of Commerce (DOC) 
officials. Normally, each project budget period may be no more than 18 
months in duration. NOAA policy limits the total duration of a project 
to 3 years.

IX. Indirect Costs

    The total dollar amount of the indirect costs proposed in an 
application under this program must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award or 25 percent of the Federal share 
of the total proposed direct costs dollar amount in the application, 
whichever is less. Institutions with indirect cost rates above 25 
percent may use the amount above the 25-percent level as part of the 
non-Federal share. A copy of the current, approved, negotiated Indirect 
Cost Agreement with the Federal Government must be included with the 
application.

X. Profit or Fees

    Profit or management fees paid to for-profit or commercial 
organization grantees are allowable at the discretion of NOAA. However, 
they shall not exceed 7 percent of the total estimated direct costs. 
There must be no profit or fees to the recipient in any overhead 
charge. Payment of fees or profit is based on successful completion of 
project objectives.

[[Page 4257]]

XI. Application Forms and Kit

    Before submitting an application under this program, applicants 
should contact the NMFS Southeast Regional Office for a copy of this 
solicitation's MARFIN Application Package (see ADDRESSES).
    Applications for project funding under this program must be 
complete and in accordance with instructions in the MARFIN Application 
Package. They must identify the principal participants and include 
copies of any agreements describing the specific tasks to be performed 
by participants. Project applications should give a clear presentation 
of the proposed work, the methods for carrying out the project, its 
relevance to managing and enhancing the use of Gulf of Mexico and/or 
South Atlantic fishery resources, and cost estimates as they relate to 
specific aspects of the project. Budgets must include a detailed 
breakdown, by category of expenditures, with appropriate justification 
for both the Federal and non-Federal shares. Applicants should not 
assume prior knowledge on the part of NMFS as to the relative merits of 
the project described in the application. Applications are not to be 
bound in any manner and must be one-sided. All incomplete applications 
will be returned to the applicant. Ten copies (one original and nine 
copies) of each application are required and should be submitted to the 
NMFS Southeast Regional Office, Cooperative Programs Division (see 
ADDRESSES). OMB has approved 10 copies, under Approval #0648-0175.

XII. Project Funding Priorities

    A. Proposals for FY 1997 should exhibit familiarity with related 
work that is completed or ongoing. Where appropriate, proposals should 
be multidisciplinary. Coordinated efforts involving multiple 
institutions or persons are encouraged. The areas of special emphasis 
are listed below, but proposals in other areas will be considered on a 
funds-available basis.
    In addition to referencing specific area(s) of special interest as 
listed below, proposals should state whether the research will apply to 
the Gulf of Mexico only, the South Atlantic only, or to both areas. 
Successful applicants may be required to collect and manage data in 
accordance with standardized procedures and formats approved by NMFS 
and to participate with NMFS in specific cooperative activities that 
will be determined by consultations between NMFS and successful 
applicants before project grants are awarded. All recipients of 
financial assistance under this program shall include funding in their 
applications for the principal investigator to participate in an annual 
MARFIN Conference in Tampa, FL, at the completion of the project.

1. Bycatch

    The bycatch of biological organisms (including interactions with 
sea turtles and marine mammals) by various fishing gears can have wide-
reaching impacts from a fisheries management and an ecological 
standpoint, with the following major concerns:
    a. Shrimp trawl fisheries. Studies are needed to contribute to the 
regional shrimp trawler bycatch program (including the rock shrimp 
fishery) being conducted by NMFS in cooperation with state fisheries 
management agencies, commercial and recreational fishing organizations 
and interests, environmental organizations, universities, Councils, and 
Commissions. Specific guidance and research requirements are contained 
in the Cooperative Bycatch Plan for the Southeast, available from NMFS 
(see ADDRESSES). In particular, the studies should address:
    (1) Data collection and analyses to expand and update current 
bycatch estimates, temporally and spatially emphasizing areas of 
greatest impact by shrimping. Sampling effort should include estimates 
of numbers, weight, and random samples of size (age) structure of 
associated bycatch complex, with emphasis on those overfished species 
under the jurisdiction of the Councils.
    (2) Assessment of the status and condition of fish stocks 
significantly impacted by shrimp trawler bycatch, with emphasis given 
to overfished species under the jurisdiction of the Councils. Other 
sources of fishing and nonfishing mortality should be considered and 
quantified as well.
    (3) Identification, development, and evaluation of gear, non-gear, 
and tactical fishing options to reduce bycatch.
    (4) Improved methods for communicating with and improving 
technology and information transfer to the shrimp industry.
    b. Pelagic longline fisheries. Several pelagic longline fisheries 
exist in the Gulf and South Atlantic, targeting highly migratory 
species such as tunas, sharks, billfish, and swordfish. Priority areas 
include:
    (1) Development and evaluation of gear and fishing tactics to 
minimize bycatch of undersized and unwanted species, including sea 
turtles, marine mammals, and overfished finfish species/stocks.
    (2) Assessment of the biological impact of longline bycatch on 
related fisheries.
    c. Reef fish fisheries. The reef fish complex is exploited by a 
variety of fishing gear and tactics. The following research on bycatch 
of reef fish species is needed:
    (1) Development and evaluation of gear and fishing tactics to 
minimize the bycatch of undersized and unwanted species, including sea 
turtles and marine mammals.
    (2) Characterization and assessment of the impact of longline, 
bandit gear and trap bycatch of undersized target species, including 
release mortality.
    d. Finfish trawl fisheries. Studies are needed on quantification 
and qualification of the bycatch in finfish trawl fisheries, such as 
the flounder and fly-net fisheries in the South Atlantic.
    e. Gillnet fisheries. Studies are needed on quantification and 
qualification of the bycatch in coastal and shelf gillnet fisheries for 
sciaenids, scombrids, bluefish and other dogfish sharks of the South 
Atlantic and Gulf of Mexico (particularly interaction with sea turtles 
and marine mammals).

2. Reef Fish

    Some species within the reef fish complex are showing signs of 
being overfished, either through directed efforts or because they are 
bycatch of other fisheries. The ecology of reef fish makes them 
vulnerable to overfishing, because they tend to concentrate over 
specific types of habitat with patchy distribution. This behavior 
pattern can make traditional fishery statistics misleading. Priority 
research areas include:
    a. Collection of basic biological data for species in commercially 
and recreationally important fisheries. (1) Age and growth of reef 
fish. (a) Description of age and growth patterns, especially for red, 
vermilion, gray, and cubera snappers; gray triggerfish; gag; black 
grouper; spottail pinfish; hogfish; red porgy; and other less dominant 
forms in the management units for which data are lacking.
    (b) Contributions to the development of annual age-length keys and 
description of age structures for exploited populations for all species 
in the complex addressed in the Reef Fish and Snapper/Grouper 
Management Plans for the Gulf and South Atlantic, respectively, 
prioritized by importance in the total catch.
    (c) Design of sampling systems to provide a production-style aging 
program for the reef fish fishery. Effective dockside sampling programs 
are needed over a wide geographic

[[Page 4258]]

range, especially for groupers, to collect information on reproductive 
state, size, age, and sex.
    (2) Reproduction studies of reef fish. (a) Maturity schedules, 
fecundity, and sex ratios of commercially and recreationally important 
reef fish, especially gray triggerfish, gag, and red porgy in the Gulf 
and South Atlantic.
    (b) Studies of all species to characterize the actual reproductive 
contribution of females by age.
    (c) Identification and characterization of spawning aggregations by 
species, area, size group and season.
    (d) Effects of fishing on changes of sex ratios for gag, red 
grouper, and scamp, and disruption of aggregations.
    (e) Investigations of the reproductive biology of gag, red grouper 
and other grouper species.
    (3) Recruitment of reef fish. (a) Source of recruitment in Gulf and 
South Atlantic waters, especially for snappers, groupers, and 
amberjacks.
    (b) Annual estimation of the absolute or relative recruitment of 
juvenile gag, gray snapper, and lane snapper to estuarine habitats off 
the west coast of Florida and to similar estuarine nursery habitats 
along the South Atlantic Bight; development of an index of juvenile gag 
recruitment for the South Atlantic based on historical databases and/or 
field studies.
    (c) The contribution of live-bottom habitat and habitat areas of 
particular concern (Oculina banks) off Fort Pierce, FL, to reef fish 
recruitment.
    (4) Stock structure of reef fish. (a) Movement and migration 
patterns of commercially and recreationally valuable reef fish species, 
especially gag in the Gulf and South Atlantic and greater amberjack 
between the South Atlantic and Gulf.
    (b) Biochemical/immunological and morphological/meristic techniques 
to allow field separation of lesser amberjack, almaco jack, and banded 
rudderfish from greater amberjack to facilitate accurate reporting of 
catch.
    (c) Stock structure of wreckfish in the South Atlantic and of 
greater amberjack in the Gulf and South Atlantic.
    b. Population assessment of reef fish. (1) Effect of reproductive 
mode and sex change (protogynous hermaphroditism) on population size 
and characteristics, with reference to sizes of fish exploited in the 
fisheries and the significance to proper management.
    (2) Source and quantification of natural and human-induced 
mortalities, including release mortality estimates for charter boats, 
headboats, and private recreational vessels, especially for red snapper 
and the grouper complex.
    (3) Determination of the habitat and limiting factors for important 
reef fish resources in the Gulf and South Atlantic.
    (4) Description of habitat and fish populations in the deep reef 
community and the prey distributions supporting the community.
    (5) Development of statistically valid indices of abundance for 
important reef fish species in the South Atlantic and Gulf, especially 
red grouper, jewfish, and Nassau grouper.
    (6) Assessment of tag performance on reef fish species, primarily 
snappers and groupers. Characteristics examined should include shedding 
rate, effects on growth and survival, and ultimately, the effects of 
these characteristics on estimations of vital population parameters.
    (7) Stock assessments to establish the status of major recreational 
and commercial species. Innovative methods are needed for stock 
assessments of aggregate species, including the effect of fishing on 
genetic structure and the incorporation of sex change for protogynous 
hermaphrodites into stock assessment models.
    (8) Assessment of Florida Bay recovery actions on reef fish 
recruitment and survival.
    c. Management of reef fish. (1) Research in direct support of 
management, including catch-and-release mortalities, by gear and depth.
    (2) Evaluation of the use of reef fish marine reserves as an 
alternative or supplement to current fishery management measures and 
practices, especially in the South Atlantic. Field studies should focus 
on the Experimental Oculina Reef Reserve and Florida Keys National 
Marine Sanctuary sites and contrast these with control open sites.
    (3) Characterization and evaluation of biological impacts (e.g., 
changes in age or size structure of reef fish populations in response 
to management strategies).
    (4) Evaluation of vessel log data for monitoring the fishery and 
for providing biological, economic, and social information for 
management; and methods for matching log data to Trip Information 
Program samples for indices of effort.

3. Sharks

    The Secretarial Fishery Management Plan for Sharks of the Atlantic 
Ocean (FMP) identifies a number of research needs, including:
    a. Characterization of the commercial and recreational fisheries 
from historical and current databases. Emphasis should be on species 
composition, bycatch, stock identification, size, sex ratios, and 
catch-per-unit-effort by season, area, and gear type.
    b. Collection and analysis of basic biological data on movements, 
habitats, growth rates, mortality rates, age structure, and 
reproduction parameters. These data are of particular importance for 
blacktip and sandbar sharks.
    c. Development of species profiles and stock assessments for sharks 
taken in significant quantities by commercial, recreational, and 
bycatch fisheries. Assessments can be species-specific or for species 
groups, following those identified in the FMP.
    d. Identification of nursery area and methods to protect young 
sharks.
    e. Evaluation of present regulations and improvement of methods to 
determine landings.

4. Coastal Migratory Pelagic Fisheries

    The commercial and recreational demand for migratory coastal 
pelagics has led to overfishing for certain species, including some 
stocks of king and Spanish mackerel. Additionally, some are 
transboundary with Mexico and other countries and may ultimately demand 
international management attention. Current high priorities include:
    a. Recruitment indices for king and Spanish mackerel, cobia, 
dolphin, and bluefish, primarily from fishery-independent data sources.
    b. Assessment and management models for coastal pelagic resources 
that are dominated by single year classes, such as Spanish mackerel, 
dolphin, and bluefish.
    c. Fishery-independent methods of assessing stock abundance of king 
and Spanish mackerel.
    d. Release mortality data for all coastal pelagic species.
    e. Improved catch statistics for all species in Mexican waters, 
with special emphasis on king mackerel. This includes length-frequency 
and life history information.
    f. Information on populations of coastal pelagics overwintering off 
the Gulf of Mexico and the South Atlantic States of North Carolina, 
South Carolina, Georgia, and Florida, especially concerning population 
size, age and movement patterns.
    g. Development of a practical method for aging dolphin.
    h. Basic biostatistics for cobia and dolphin to develop age-length 
keys and maturation schedules for stock assessments.
    i. Impact of bag limits on total catch and landings of king and 
Spanish mackerel.
    j. Demand and/or supply functions for private recreational and 
commercial

[[Page 4259]]

king mackerel fisheries, including baseline cost and return data. 
Emphasis should be on changes in marginal values of producer and 
consumer surplus, since the studies would be used in allocation 
frameworks where total values are not necessarily required.
    k. Determination of the stock structure of king mackerel from South 
Atlantic and Gulf waters.
    l. Sociological and anthropological surveys of coastal pelagic 
fisheries.

5. Highly Migratory Pelagic Species

    Several fisheries exist in the Gulf and South Atlantic that target 
highly migratory species, such as tuna and billfish. Changes in the 
temporal and spatial components of fishing effort and fishing gear and 
tactics need to be characterized and the effects quantified. Priority 
areas include:
    a. Characterization of specific longline fisheries, including 
targeted species, stock identification, catch-per-unit effort, and 
biological parameters (e.g., sex ratios and reproductive state) by gear 
type, area, and season.
    b. Evaluation of vessel log data for monitoring the fisheries.
    c. Dependence of vessels and persons engaged in pelagic longlining 
on other fisheries. Particular emphasis should be placed on the extent 
to which the capital and/or labor engages in other fisheries at 
particular times of the year and reasons for this switching behavior.

6. Groundfish and Estuarine Fishes

    Substantial stocks of groundfish and estuarine species occur in the 
Gulf and South Atlantic. Most of the database for assessments comes 
from studies conducted by NMFS and state fishery management agencies. 
Because of the historic and current size of these fish stocks, their 
importance as predator and prey species, and their current or potential 
use as commercial and recreational fisheries, more information on their 
biology and life history is needed. General research needs are:
    a. Red drum. (1) Size and age structure of the offshore adult stock 
in the Gulf.
    (2) Life history parameters and stock structure for the Gulf and 
the South Atlantic: Migratory patterns, long-term changes in abundance, 
growth rates, and age structure. Specific research needs for Atlantic 
red drum are estimates of fecundity as a function of length and weight 
and improved coastwide coverage for age-length keys.
    (3) Catch-and-release mortality rates from inshore and nearshore 
waters.
    b. Life history and stock structure for weakfish, menhaden, spot, 
and croaker in the Gulf and the South Atlantic: Migratory patterns, 
long-term changes in abundance, growth rates, and age structure and 
comparisons of the inshore and offshore components of recreational and 
commercial fisheries.
    c. Improved catch-and-effort statistics from recreational and 
commercial fisheries, including development of age-length keys for size 
and age structure of the catch, to develop production models.

7. General

    There are many other areas of research that need to be addressed 
for improved understanding and management of fishery resources. These 
include methods for data collection, management, analysis, and better 
conservation. Examples of high-priority research needs include:
    a. Update existing economics information on the for-hire fisheries 
(charter boats, headboats and guide boats) A study covering the year-
round activities of the for-hire industry from Texas to North Carolina.
    b. Development of improved methods and procedures for transferring 
technology and educating constituency groups concerning fishery 
management and conservation programs. Of special importance are 
programs concerned with controlled access and introduction of 
conservation gear.
    c. Compilation of baseline socio-demographic data for describing 
the social and cultural framework of managed fisheries.
    d. Design and evaluation of innovative approaches to fishery 
management with special attention given to those approaches that 
control access to specific fisheries.
    B. Priority in program emphasis will be placed upon funding 
projects that have the greatest probability of recovering, maintaining, 
improving, or developing fisheries; improving the understanding of 
factors affecting recruitment success; and generating increased values 
and recreational opportunities from fisheries. Projects will be 
evaluated as to the likelihood of achieving these benefits through 
short- and long-term research efforts, with consideration given to the 
magnitude of the eventual economic benefits that may be realized.

XIII. Evaluation Criteria

    Successful applicants generally will be recommended within 210 days 
from the date of publication of this notice. The earliest start date of 
awards will be about 90 days after each project is selected and after 
all NMFS/applicant negotiations of cooperative activities have been 
completed (the earliest start date of awards will be about 300 days 
after the date of publication of this notice). Applicants should 
consider this selection and processing time in developing requested 
start dates for their applications. Proposed projects will be evaluated 
and ranked as follows:
    A. Cooperatively developed applications that propose activities of 
two or more qualified applicants to address important fishery 
conservation and management issues or problems identified in the 
Project Funding Priorities for this solicitation may be evaluated as a 
group by NMFS. If selected for funding, individual cooperative awards 
may be made to each individual applicant. Application procedures for 
this type of proposal are also included in the FY 1997 MARFIN 
Application Package.
    B. Unless otherwise specified by statute, in reviewing applications 
for cooperative agreements, including those that include consultants 
and contracts, NOAA will make a determination regarding the following:
    1. Is the involvement of the applicant necessary to the conduct of 
the project and the accomplishment of its goals and objectives?
    2. Is the proposed allocation of the applicant's time reasonable 
and commensurate with the applicant's involvement in the project?
    3. Are the proposed costs for the applicant's involvement in the 
project reasonable and commensurate with the benefits to be derived 
from the applicant's participation?
    4. Is the project proposal substantial in character and design?
    C. Applications meeting the above requirements will be forwarded 
for technical evaluation. Applicants submitting applications not 
meeting the above requirements will be notified. Evaluations normally 
will involve experts from non-NOAA as well as NOAA organizations. 
Comments submitted to NMFS by each evaluator will be taken into 
consideration in the ranking of projects. NMFS will provide point 
scores on proposals, based on the following evaluation criteria:
    1. Does the proposal have a clearly stated goal(s) with associated 
objectives that meet the needs outlined in the Project Narrative? (30 
points)
    2. Does the proposal clearly identify and describe, in the Project 
Outline and Statement of Work, scientifically valid methodologies and 
analytical procedures that will adequately address project goals and 
objectives? (30 points)
    3. Do the principal investigators provide a scientifically 
realistic timetable to enable full accomplishment

[[Page 4260]]

of all aspects of the Statements of Work? (20 points)
    4. Do the principal investigators define how they will maintain 
stewardship of the project performance, finances, cooperative 
relationships, and reporting requirements for the proposal? (10 points)
    5. Are the proposed costs appropriate for the scope of work 
proposed? (10 points)

XIV. Selection Procedures

    All applications will be ranked by a NMFS scientific panel into two 
groups: Recommended, and Not Recommended. Proposals ranked as Not 
Recommended will not be given further consideration for selection and 
funding. Recommended rankings will be presented to a panel of non-NOAA 
fishery experts who will individually consider the significance of the 
problem addressed in each project proposal, the technical evaluation, 
and need for funding. These panel members will provide individual 
recommendations to NMFS on each proposal classified as Recommended.
    The non-NOAA panel members' individual comments, recommendations 
and evaluations, and recommendations of the NMFS scientific panel and 
NMFS Southeast Program Officer will be considered by the Regional 
Administrator, Southeast Region, NMFS (Regional Administrator). The 
Regional Administrator, in consultation with the Assistant 
Administrator for Fisheries, will: (a) Determine which projects do not 
substantially duplicate other projects that are currently funded by 
NOAA or are approved for funding by other Federal offices, (b) select 
the projects to be funded, (c) determine the amount of funds available 
for each project, and (d) determine which components of the selected 
projects shall be funded. The exact amount of funds awarded, the final 
scope of activities, the project duration, and specific NMFS 
cooperative involvement with the activities of each project will be 
determined in pre-award negotiations between the applicant, the NOAA 
Grants Office, and the NMFS Program Staff. Projects must not be 
initiated by recipients until a signed award is received from the NOAA 
Grants Office.
    NMFS will make project applications available for review as 
follows:
    A. Consultation with members of the fishing industry, management 
agencies, environmental organizations, and academic institutions: NMFS 
shall, at its discretion, request comments from members of the fishing 
and associated industries, groups, organizations, and institutions who 
have knowledge in the subject matter of a project or who would be 
affected by a project.
    B. Consultation with Government agencies: Applications will be 
reviewed by the NMFS Southeast Region Program Office in consultation 
with the NMFS Southeast Fisheries Science, including appropriate 
operations and laboratory personnel, the NOAA Grants Officer and, as 
appropriate, DOC bureaus and other Federal agencies.

XV. Other Requirements

    A. Federal policies and procedures. Recipients and subrecipients 
are subject to all Federal laws and Federal and DOC policies, 
regulations, and procedures applicable to Federal financial assistance 
awards. Women and minority individuals and groups are encouraged to 
submit applications under this program.
    B. Past performance. Any first-time applicant for Federal grant 
funds is subject to a pre-award accounting survey prior to execution of 
the award. Unsatisfactory performance under prior Federal awards may 
result in an application not being considered for funding.
    C. Pre-award activities. If applicants incur any costs prior to an 
award being made, they do so solely at their own risk of not being 
reimbursed by the Government. Notwithstanding any verbal or written 
assurance that they may have received, there is no obligation on the 
part of DOC to cover pre-award costs.
    D. No obligation of future funding. If an application is selected 
for funding, DOC has no obligation to provide any additional future 
funding in connection with the award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of DOC.
    E. Delinquent Federal debts. No award of Federal funds shall be 
made to an applicant or to its subrecipients who have any outstanding 
delinquent Federal debt or fine until either:
    1. The delinquent account is paid in full;
    2. A negotiated repayment schedule is established and at least one 
payment is received; or
    3. Other arrangements satisfactory to DOC are made.
    F. Name check review. All non-profit and for-profit applicants are 
subject to a name check review process. Name checks are intended to 
reveal if any key individuals associated with the applicant have been 
convicted of, or are presently facing, criminal charges such as fraud, 
theft, perjury, or other matters that significantly reflect on the 
applicant's management honesty or financial integrity. Potential non-
profit and for-profit recipients may also be subject to reviews of Dun 
and Bradstreet data or other similar credit checks.
    G. Primary applicant certifications. All primary applicants must 
submit a completed Form CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying,'' and the following explanations are hereby 
provided:
    1. Nonprocurement debarment and suspension. Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 
26, ``Nonprocurement Debarment and Suspension'' and the related section 
of the certification form prescribed above applies;
    2. Drug-free workplace. Grantees (as defined at 15 CFR part 26, 
Section 605) are subject to 15 CFR part 26, Subpart F, ``Government-
wide Requirements for Drug-Free Workplace (Grants)'' and the related 
section of the certification form prescribed above applies;
    3. Anti-lobbying. Persons (as defined at 15 CFR Part 28, Section 
105) are subject to the lobbying provisions of 31 U.S.C. 1352, 
``Limitation on use of appropriated funds to influence certain Federal 
contracting and financial transactions,'' and the lobbying section of 
the certification form prescribed above applies to applications/bids 
for grants, cooperative agreements, contracts for more than $100,000, 
loans and loan guarantees for more than $150,000, or the single family 
maximum mortgage limit for affected programs, whichever is greater; and
    4. Anti-lobbying disclosures. Any applicant who has paid or will 
pay for lobbying using any funds must submit a Form SL-LLL, 
``Disclosure of Lobbying Activities,'' as required under 15 CFR part 
28, appendix B.
    H. Lower tier certifications. Recipients shall require applicants/
bidders for subgrants, contracts, subcontracts, or other lower-tier 
covered transactions at any tier under the award to submit, if 
applicable, a completed Form CD-512, ``Certifications Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying'' and disclosure form SF-LLL, 
``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the 
use of recipients and should not be transmitted to DOC. A form SF-LLL 
submitted by any tier recipient or subrecipient should be submitted to 
DOC in accordance with the instructions contained in the award 
document.
    I. False statements. A false statement on the application is 
grounds for denial

[[Page 4261]]

or termination of funds and grounds for possible punishment by a fine 
or imprisonment as provided in 18 U.S.C. 1001.
    J. Intergovernmental review. Applications under this program are 
subject to the provisions of E.O. 12372, ``Intergovernmental Review of 
Federal Programs.''
    K. Requirement to buy American-made equipment and products. 
Applicants are hereby notified that they are encouraged, to the extent 
feasible, to purchase American-made equipment and products with funding 
provided under this program.

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts. Therefore, a 
regulatory flexibility analysis is not required for purposes of the 
Regulatory Flexibility Act.
    This action has been determined to be not significant for purposes 
of E.O. 12866.
    Cooperative agreements awarded pursuant to pertinent statutes shall 
be in accordance with the Fisheries Research Plan (comprehensive 
program of fisheries research) in effect on the date of the award.
    Federal participation under the MARFIN Program may include the 
assignment of DOC scientific personnel and equipment.
    Reasonable, negotiated financial compensation will be provided 
under awards for the work of eligible grantee workers.
    Information-collection requirements contained in this notice have 
been approved by the Office of Management and Budget (OMB Control No. 
0648-0175) under the provisions of the Paperwork Reduction Act. 
Notwithstanding any other provision of law, no person is required to 
respond to, nor shall any person be subject to a penalty for failure to 
comply with, a collection of information subject to the requirements of 
the Paperwork Reduction Act unless that collection of information 
displays a currently valid OMB Control Number. Public reporting burden 
for agency-specific collection-of-information elements, exclusive of 
requirements specified under applicable OMB circulars, is estimated to 
average 4 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding this reporting 
burden estimate or any other aspect of this collection of information, 
including suggestions for reducing the burden, to NMFS (see ADDRESSES).

    Authority: 15 U.S.C. 713c-3(d)

    Dated: January 22, 1997.
Nancy Foster,
Deputy Assistant Administrator for Fisheries, National Marine Fisheries 
Service.
[FR Doc. 97-2109 Filed 1-28-97; 8:45 am]
BILLING CODE 3510-22-F