[Federal Register Volume 63, Number 74 (Friday, April 17, 1998)]
[Notices]
[Pages 19240-19244]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-10137]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 980401083-8083-01 ; I.D. 021398C]
RIN 0648-ZA36


Financial Assistance for Research and Development Projects in the 
Northeastern 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: NMFS announces that funding will be available to assist 
persons in carrying out research and development projects that optimize 
the use of fisheries in the Northeastern Coastal States, focusing on 
the New England region. Priority funding consideration in 1998 is given 
to projects involving the assimilation and analysis of economic, 
social, and cultural information to assist in the formulation of marine 
fishery management decisions. NMFS issues this notice describing the 
conditions under which applications will be accepted and selected for 
funding.

DATES: Applications for funding under this program will be accepted 
between April 17, 1998 and 5 p.m. eastern daylight time on May 18, 
1998. Applications received after that time will not be considered for 
funding.

ADDRESSES: Send applications to: Harold C. Mears, Director, State, 
Federal & Constituent Programs Office, Northeast Regional Office, NMFS, 
One Blackburn Drive, Gloucester, MA 01930. Copies of Stock Assessment 
Workshop (SAW) Reports are available from: Helen Mustafa, Northeast 
Fisheries Science Center, NMFS, 166 Water Street, Woods Hole, MA 02543-
1026. No facsimile application will be accepted.

FOR FURTHER INFORMATION CONTACT: Harold C. Mears, 978-281-9243.

SUPPLEMENTARY INFORMATION:

I. Authority

    The Secretary of Commerce (Secretary) is authorized under 15 U.S.C. 
713c-3 to conduct any biological, technological, or other research 
pertaining to American fisheries and, under 16 U.S.C. 742f, to take 
such steps as may be required for the development, advancement, 
management, conservation, and protection of the fisheries resources.

II. Catalog of Federal Domestic Assistance

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

III. Program Description

    MARFIN financial assistance began in FY 1986 in the NMFS Southeast 
Region and is being expanded to New England for the first time in FY 
1998. MARFIN is a competitive Federal assistance program that promotes 
and endorses programs which seek to optimize benefits from U.S. marine 
fishery resources through cooperative research and development efforts. 
Projects to be funded under the Northeastern MARFIN Program are 
envisioned as multi-sector partnerships to complement the goals and 
objectives of the NOAA Fisheries Strategic Plan, a copy of which is 
available from the Northeast Regional Office (see ADDRESSES). The 
Plan's elements include shared stewardship responsibilities relating to 
sustainable fisheries, recovered protected species, and healthy living 
marine resource habitat. Applications from multiple cooperating 
applicants that address conservation and management needs over the 
broad scope of a fishery or fisheries are encouraged.
    Overall MARFIN 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 
opportunities for commercial and recreational marine fishery 
industries. During this first year of the Northeastern MARFIN Program, 
priority funding consideration will be given to projects involving the 
assimilation and analysis of social and cultural information to assist 
in the formulation of marine fishery management decisions. Projects 
will be evaluated as to the likelihood of achieving these benefits 
through both short-term and long-term research efforts, with 
consideration of the magnitude of the eventual economic or social 
benefits that may be realized. However, short-term projects which 
emphasize immediate benefits will receive priority consideration.

IV. Funding Availability

    This solicitation announces that funding of approximately $500,000 
will be available in FY 1998. There is no guarantee that sufficient 
funds will be available to make awards for all approved projects. 
Publication of this

[[Page 19241]]

notice does not obligate NMFS to award any specific project or to 
obligate all or any parts of the available funds.

V. Matching Requirements

    Cost-sharing is not required for the MARFIN program. If an 
applicant chooses to share costs, and if that application is selected 
for funding, the applicant will be bound by the percentage of the cost 
share reflected in the award document signed by the Grants Officer.

VI. Type of Funding Instrument

    The cooperative agreement has been determined to be the preferred 
appropriate funding instrument, dependent upon the nature and scope of 
the submitted project(s). 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 northeastern United States.

VII. Eligibility Criteria

    A. Applications 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.
    2. Any individual who is a citizen of the Northern Mariana Islands 
(NMI), being an individual who qualifies as such under Section 8 of the 
Schedule on Transitional Matters attached to the constitution of the 
NMI.
    3. Any individual who is a citizen of the Republic of the Marshall 
Islands, Republic of Palau, or the Federated States of Micronesia.
    4. States or local governments, universities, corporations, 
partnerships, or other entity, non-profit or otherwise, if such an 
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).
    B. Federal agencies, Federal instrumentalities, 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 30-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 Harold C. 
Mears at the NMFS Northeast Regional Office (see ADDRESSES) for 
information on NOAA grant programs.

VIII. Award Period

    Generally, the awards will be for a period of 1 year, but no more 
than 18 months at a time. If an application is selected for funding, 
NMFS has no obligation to provide any additional prospective funding in 
connection with that award in subsequent years. Any subsequent proposal 
to continue work on an existing project must be submitted to the 
competitive process for consideration and will not receive preferential 
treatment. Renewal of an award to increase funding or to extend the 
period of performance is at the total discretion of the Department of 
Commerce (DOC).

IX. Indirect Costs

    The budget may include an amount for indirect costs if the 
applicant has an established indirect cost rate with the Federal 
government. The total dollar amount of the indirect costs proposed in 
an application under this program must not exceed the indirect cost 
rate negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award, or 100 percent of the total 
proposed direct costs dollar amount in the application, whichever is 
less. The Federal share of the indirect costs may not exceed 25 percent 
of the total proposed direct costs. Applicants with indirect cost rates 
above 25 percent may use the amount above the 25-percent level up to 
the 100-percent level as part of the non-Federal share. A copy of the 
current, approved, negotiated Indirect Cost Agreement with the Federal 
Government, if applicable, must be included with the application.

X. Application Forms and Kit

    Before submitting an application under this program, applicants 
should contact the NMFS Northeast 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. Each application must include all specified sections as listed 
in the Application Package, including, but not limited to the 
following: Cover sheet (SF 424), Project Summary, Project Budget, and 
Narrative Project Description (Goals & Objectives; Impacts; Evaluation; 
Need for Governmental Assistance; Participation by Persons Other Than 
the Applicant; Federal, State and Local Government Activities and 
Permits; Project Statement of Work; and Project Management). Project 
applications must identify the principal participants and include 
copies of any agreements describing the specific tasks to be performed 
by all participants. 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 fishery resources in the 
New England Coastal States, 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 printed on one side, only. All 
incomplete applications will be returned to the applicant. Ten copies 
(one signed original and nine signed copies) of each application are 
required and must be submitted to the NMFS Northeast Regional Office, 
State, Federal & Constituent Programs Office (see ADDRESSES). OMB has 
approved 10 copies, under Approval #0648- 0175.

XI. Project Funding Priorities

    Proposals should exhibit familiarity with related work that is 
completed or ongoing. Where appropriate, proposals should be multi-
disciplinary. Coordinated efforts involving multiple institutions or 
persons are encouraged. The areas of emphasis for FY 1998 are as 
follows: The highest priority is the development of social, economic, 
and cultural information to assist in fisheries management, focusing on 
the New England region. To the extent that funding may be available, 
the secondary priority is research which addresses species and 
information needs (discussed here) identified during recent Stock 
Assessment Workshops hosted by the NMFS Northeast Fisheries Science 
Center. In addition to referencing specific area(s) of special 
interest, proposals should state whether the research will apply to the 
New England coastal states only or to other areas as well.
    Successful applicants may be required to collect and manage the 
following data in accordance with standardized procedures and formats 
approved by NMFS and to participate with NMFS in specific cooperative 
activities which will be determined by consultations

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between NMFS and successful applicants before project grants are 
awarded:
    A. Social, Economic, and Cultural Information. The following 
priorities concern the assimilation and analysis of socio-economic and 
cultural data to assist in inter-jurisdictional marine fishery 
management decisions.
    1. Development of Input-Output Models for Marine Fishery-Related 
Sectors. Input-Output modeling efforts using IMPLAN software as a 
development platform which employs common data and analytical protocols 
for each geographical jurisdiction (e.g., state) are strongly 
encouraged. At the commercial harvest level, cost and employment data 
by major gear types are required. Similar product flow and employment 
data would be desirable for shore-side businesses, including dealers, 
processors, wholesalers and retailers. For recreational related service 
and retail industries, data are required on the number of 
establishments, value of sales, trade flows and employees. Appropriate 
commercial and recreational fishery harvest and expenditure data 
available from the NMFS Northeast Fisheries Science Center can be 
requested during the course of the investigation. A demonstrated 
cooperative relationship by the applicant with appropriate state marine 
resource agencies will strengthen the proposal.
    2. Development of Fishing Community Profiles. Develop studies to 
identify and characterize fishing communities, with emphasis on the 
coastal New England states, particularly communities involved in 
critical fisheries, i.e., those where stocks are overfished and/or 
highly restrictive management measures are being proposed or 
implemented. A fishing community is defined in the Magnuson-Stevens 
Fishery Conservation and Management Act as ``a community which is 
substantially dependent on or substantially engaged in the harvest or 
processing of fishery resources to meet social and economic needs, and 
includes fishing vessel owners, operators and crew and United States 
fish processors that are based in such community.'' In profiling these 
communities, it is important to include a description of current and 
historical participation in each fishery, the number of fishermen, 
vessels, dealers, wholesalers, processors, and fishery-dependent 
industries; basic demographic data on harvesting and processing sector 
households; and an ethnographic description of relevant social, 
cultural, and economic institutions.
    Cooperation among applicants, academic researchers, state fishery 
management agencies, and fishing industry (harvesting, processing and 
marketing) associations will enhance proposals addressing this 
priority.
    B. Studies in Support of Stock Assessments for Northeast Fishery 
Resources. The following needs for research and management information 
are based upon data priorities discussed during recent SAW hosted by 
the NMFS Northeast Fisheries Science Center (NEFSC). Copies of SAW 
reports are available from the NEFSC (see ADDRESSES).
    1. Organize and conduct a workshop on closed areas, their size and 
location, and opening/closing rotation strategies as a tool in fishery 
management, with special reference to the management of sea scallops.
    2. Conduct augmented sampling of fishing areas which are presently 
closed to fishing and, in particular, develop monitoring sites for 
benthos. The purpose of this work is to develop data sufficient to 
assess long-term effects of bottom-tending fishing gear.
    3. Develop a module for catch/survey methods for incorporation into 
the Woods Hole Assessment ``Toolbox.'' In particular, this work should 
produce enhancements to the Collie/Sissenwine stock assessment modeling 
software.
    4. Conduct basic biological sampling of Atlantic halibut landings 
to record and analyze basic population biology.
    5. Conduct mark-recapture studies, shell biochemical studies, 
clapper/live animal ratios, and longevity of clappers to improve the 
estimation of natural mortality rate of surf clams, based on historical 
ageing information and field and laboratory studies.

XII. Evaluation Criteria

    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 1998 MARFIN Application Package.
    A. 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?
    B. Applications meeting the above requirements will be forwarded 
for technical evaluation. Applicants submitting applications not 
meeting the above requirements will be notified. Evaluations may 
involve experts from NOAA organizations as well as from non-NOAA 
entities (such as universities, state fishery agencies, and members of 
the fishing industry). All reviewers will be required to sign non-
disclosure and conflict of interest statements concerning the 
application they are reviewing. The reviewers will assign scores to 
applications 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 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)

XIII. Selection Procedures

    All applications, along with their technical evaluation comments 
and scores, will be considered by a NMFS Science Group and ranked into 
two categories: ``Recommended,'' and ``Not Recommended.'' Proposals 
ranked as ``Not Recommended'' will not be given further consideration 
for selection and funding. Proposals ranked as ``Recommended'' will be 
presented to a Constituent Panel of non-NOAA fishery experts who will 
individually consider the significance of the problem addressed in each 
project proposal, the technical scores and evaluations, and the need 
for funding. These panel

[[Page 19243]]

members will provide individual recommendations to NMFS on each 
proposal classified as ``Recommended.'' No consensus advice will be 
given by the panel. The non-NOAA panel members' individual comments, 
recommendations and evaluations, the recommendations of the NMFS 
Science Group, and the NMFS Program Officer (serving in an advisory 
capacity) will be considered, in accordance with project funding 
priorities, by the Regional Administrator, Northeast Region. The 
Regional Administrator, in consultation with the Assistant 
Administrator for Fisheries, will (a) determine which projects do not 
substantially duplicate other projects which are currently being 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 among the applicant, the NOAA 
Grants Office, and the NMFS Program Staff. Projects must not be 
initiated by recipients until a signed financial assistance award is 
received from the NOAA Grants Office. Successful applicants will be 
generally recommended within 210 days from the date of publication of 
this notice. The earliest start date of awards will be approximately 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 approximately 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.

XIV. 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 under this announcement 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, such criminal charges 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 26.605) 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; also please enter the 
Principal Place of Performance, i.e. where the work will be done, on 
the form.
    3. Anti-lobbying. Persons (as defined at 15 CFR 28.105) are subject 
to the lobbying provisions of 31 U.S.C. 1352, ``Limitation on use of 
appropriated funds to influence certain Federal contracting and 
financial transactions,'' and the lobbying section of the certification 
form 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 SF-LLL, 
``Disclosure Form to Report Lobbying,'' 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 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 by 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.

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    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 number 0648-0175, 0348-0043 and 0348-0046) 
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).

    Dated: April 10, 1998.
Rolland A. Schmitten,
Assistant Administrator for Fisheries, National Marine Fisheries 
Services.
[FR Doc. 98-10137 Filed 4-16-98; 8:45 am]
BILLING CODE 3510-22-F