[Federal Register Volume 66, Number 94 (Tuesday, May 15, 2001)]
[Notices]
[Pages 26836-26841]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12219]



[[Page 26836]]

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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 010412091-1091-01; I.D. 040501D]
RIN 0648-ZB05


Financial Assistance for Research and Development Projects in 
Chesapeake Bay to Strengthen, Develop and/or Improve the Stock 
Conditions of the Chesapeake Bay Fisheries

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

ACTION:  Notice of availability of funds.

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SUMMARY:  A total of up to $1,315,000 in Fiscal Year (FY) 2001 funds is 
available through the NOAA/NMFS Chesapeake Bay Office to assist 
institutions of higher education, hospitals, other nonprofits, 
commercial organizations, foreign governments, organizations under the 
jurisdiction of foreign governments, international organizations, 
state, local and Indian tribal governments in carrying out research and 
development projects that address various aspects of Chesapeake Bay 
fisheries (commercial and recreational), including coastal and 
estuarine research, monitoring, and assessment; fisheries research and 
stock assessments; data management; and, multiple species interactions 
through cooperative agreements. About $425,000 of the base amount is 
available to initiate new projects in FY 2001, as described in this 
announcement. It is the intent of the NOAA Chesapeake Bay Office to 
continue with several existing relationships and to make awards through 
this program for projects pending acceptable scientific review. These 
projects include multispecies monitoring program designs, and hard clam 
and oyster stock assessments. NMFS issues this document to set forth 
how to apply for financial assistance and how NMFS will determine which 
applications will be selected for funding.

DATES: Applications for funding under this program must be received by 
5 p.m. eastern daylight savings time on June 14, 2001. Applications 
received after that time will not be considered for funding. No 
applications will be accepted by facsimile machine submission.

ADDRESSES:  Send completed applications to: Derek Orner, National 
Marine Fisheries Service, NOAA Chesapeake Bay Office, 410 Severn 
Avenue, Suite 107A, Annapolis, MD 21403.

FOR FURTHER INFORMATION CONTACT:  Derek Orner, 410/267-5660; or e-mail: 
<a href="/cdn-cgi/l/email-protection#debabbacbbb5f0b1acb0bbac9eb0b1bfbff0b9b1a8"><span class="__cf_email__" data-cfemail="55313027303e7b3a273b3027153b3a34347b323a23">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

I. Introduction

    A. Authority. The Fish and Wildlife Act of 1956, as amended, at 16 
U.S.C. 753 (a), authorizes the Secretary of Commerce (Secretary), for 
the purpose of developing adequate, coordinated, cooperative research 
and training programs for fish and wildlife resources, to continue to 
enter into cooperative agreements with colleges and universities, with 
game and fish departments of the several states, and with non-profit 
organizations relating to cooperative research units. The Departments 
of Commerce (DOC), Justice, State, the Judiciary, and Related Agencies 
Appropriations Act of 2001 makes funds available to the Secretary.
    B. Catalog of Federal Assistance (CFDA). The research to be funded 
is in support of the Chesapeake Bay Studies (CFDA 11.457), under the 
Chesapeake Bay Stock Assessment Committee (CBSAC).
    C. Program Description. CBSAC was established in 1985 to plan and 
review Baywide resource assessments, coordinate relevant actions of 
state and federal agencies, report on fisheries status and trends, and 
determine, fund and review research projects. The program implements a 
Baywide plan for the assessment of commercially, recreationally, and 
selected ecologically important species in the Chesapeake Bay. In 1988, 
CBSAC developed a Baywide Stock Assessment Plan, in response to 
provisions in the Chesapeake Bay Agreement of 1987. The Plan identified 
that key obstacles to assessing Bay stocks was the lack of consistent, 
Baywide, fishery-dependent and fishery-independent data. Research 
projects funded since 1988 have focused on developing and improving 
fishery-independent surveys and catch statistics for key Bay species, 
such as striped bass, oysters, blue crabs and alosids. Stock assessment 
research is essential, given the recent declines in harvest and 
apparent stock condition for many of the important species of the 
Chesapeake Bay.
    D. Funding Availability. This document describes how interested 
persons can apply for funding under the Chesapeake Bay Studies Program, 
and how funding decisions will be made.
    Funding for projects depends on an allocation of funds by Congress 
for the NOAA Chesapeake Bay Office in Fiscal Year (FY) 2001. This 
solicitation announces that funding of up to $1,375,000 may be 
available through the Chesapeake Bay Studies Program. This announcement 
does not guarantee that sufficient funds will be available to make 
awards for all selected applications submitted under this program.

II. Funding Priorities

    A. In developing a research proposal, applicants should address one 
or more of the following funding priorities:
    (1) Stock Assessment Research--Consideration for funding will be 
given to applications that address the following stock assessment 
research and management priorities for the Chesapeake Bay. These 
priorities are not listed in any particular order:
    (a) Assessments of the abundance, productivity, distribution, and 
exploitation patterns of important Chesapeake Bay finfish and shellfish 
resources. Proposals may include research on life history 
characteristics, stock-recruitment relationships, and schedules of 
vital rates. Descriptions of stock structure, demographics and spatial 
distribution would also be appropriate. It is anticipated that 
proposals will combine analyses of existing fishery-dependent and 
fishery-independent data. Proposals focusing on soft clams are 
particularly encouraged.
    (b) Blue Crab Recreational Survey-- Projects should:
    i. Review the work previously conducted on the development of 
methods for conducting a Baywide recreational survey;
    ii. Implement on a Baywide scale based on earlier work;
    iii. Provide reliable estimates of recreational catch, fishing 
effort, catch rates, size composition, and sex ratios for all 
components of the blue crab recreational fisheries.
     (c) Blue Cab Stock Assessment Analyses--Projects should:
    i. Provide analyses which may corroborate the results of the 
length-based estimates of fishing mortality rates (current estimates 
based on 120 mm or greater carapace width) and investigations into the 
relative exploitation rates on peeler size blue crabs.
    ii. Provide analyses of the trends in relative exploitation rates 
on blue crab, according to major gear types used in the commercial 
fishery.
    iii. Develop methods for estimation of Baywide commercial fishing 
effort and conduct a pilot study to test the methods.
    iv. Design and develop an integrated Baywide blue crab mark and 
recapture

[[Page 26837]]

study that will provide information on growth, natural mortality, 
fishing mortality, size selectivity, catchability, reporting rates and 
the distribution of harvest among the fisheries. Results should be 
informative with respect to the reproductive frequency of female crabs, 
and longevity. Recognizing the scope of this project, subcomponents 
that will help in contributing to the development of a Baywide 
framework for this project will be accepted. Projects proposing tagging 
of adult female crabs utilizing external tags, and projects proposing 
tagging of both male and female crabs including the development and use 
of internally anchored tags which persist through the molting process 
are both encouraged.
    (d) Design of a method/survey to estimate the Baywide abundance of 
oysters in Chesapeake Bay. The purpose of this survey will be to track 
progress towards achieving the Chesapeake Bay Program goal of 
increasing the oyster population ten-fold by the year 2010. The 
investigators should take into consideration existing state surveys and 
other work that already fulfill various data needs.
    (e) Improvement or implementation of the collection of fishery-
dependent data within Chesapeake Bay. Projects can involve either the 
commercial and/or recreational components of the fishery. Projects 
should focus on collecting biological data (size, sex, age, diet), and 
catch and effort data from Baywide harvests of significant finfish and 
shellfish fisheries to provide accurate, statistically representative 
information on the spatial and temporal characteristics of the harvest. 
Proposals may involve designs for port-sampling of landings, or on-
board analysis of the catch, analysis of intercepts and telephone 
surveys. Proposals that document information on by-catch would be 
relevant.
    The proposals should recognize current efforts to collect 
biological data from Bay fisheries and attempt to define the optimal, 
regional (Maryland, Potomac River Fisheries Commission, and Virginia 
jurisdictions) sampling program. Proposals focusing on the blue crab 
commercial fishery are particularly encouraged.
    (2) Multispecies Management or Research--The Chesapeake Bay is a 
complex and dynamic ecosystem that supports many fisheries that are 
economically important both regionally and nationally. To date, these 
resources have been managed on a single species basis. While the single 
species approach has served us well, the existence of both biological 
and technical (by-catch) interactions in most Chesapeake Bay fisheries 
points to the need to move toward a wider, multispecies perspective. 
This viewpoint was wholeheartedly endorsed at a workshop of regional, 
national and international scientists held to address the potential 
utility of multispecies approaches to fisheries management in the 
Chesapeake Bay (STAC Publication 98-002, www.chesapeake.org). The 
ultimate objective of this research and monitoring is to lead to the 
development of an ecosystem plan for Chesapeake Bay fisheries, within 
which the rational exploitation of individual species can be 
determined.
    Consideration for funding will be given to applications that 
address the following multispecies management and research priorities 
for the Chesapeake Bay. It should be realized that certain priorities 
may require a larger funding commitment, although the priorities are 
not listed in any implied order:
    (a) Fishery-independent Surveys. Plan, develop and initiate 
coordinated Baywide surveys to regularly estimate species abundances, 
trends and biological characteristics (e.g., age/size structure, 
recruitments, growth and mortality rates, food habitats) for 
economically and ecologically important key species. Proposals within 
this task may:
    i. Review and assess existing fishery independent sampling programs 
conducted by regional agencies to evaluate their potential 
applicability to the Chesapeake Bay. This may include evaluation of the 
use of fixed and random sampling protocols, with or without 
stratification, and the sampling characteristics of different gear 
types.
    ii. Develop and initiate a Baywide, coordinated, fishery-
independent survey that may include multiple gear, such as benthic and 
midwater trawling, and hydroacoustics to characterize the status and 
trends in the abundance, distribution and characteristics of key 
Chesapeake Bay finfish and shellfish.
    (b) Retrospective Analyses. Document and quantify multispecies 
interactions among economically and ecologically important finfish and 
shellfish within the Chesapeake Bay. The proposed work should lead to 
the identification of the `strong' interactions within the Chesapeake 
Bay fisheries system. Work may involve analysis of commercial and 
recreational catch and effort data, the analysis of the patterns of 
diets and energy flows within the fisheries system, or multivariate 
analyses of abundance relationships within the fisheries system and 
their relationship to environmental and habitat characteristics.
    (c) Multispecies Assessment / Ecosystem Modeling. Apply and assess 
alternative multispecies fisheries models to the Chesapeake Bay 
fisheries systems. The submitted proposal should detail the development 
of a multispecies or ecosystem model focusing on core Chesapeake Bay 
species. Examples of possible approaches include, but are not limited 
to: multispecies biomass dynamic, multispecies yield per recruit, Multi 
species virtual population analysis, multispecies bioenergetics, 
spatial-physical predator-prey, trophic production and ecosystem 
simulation models. Model approaches should seek to predict constraints 
and patterns in the fisheries production of the Chesapeake Bay system.

III. How To Apply

    A. Eligible applicants. Eligible applicants are institutions of 
higher education, hospitals, other nonprofits, commercial 
organizations, foreign governments, organizations under the 
jurisdiction of foreign governments, international organizations, 
state, local and Indian tribal governments. Federal agencies or 
institutions are not eligible to receive Federal assistance under this 
notice.
    B. Duration and Terms of Funding. Under this solicitation, NMFS 
will fund Chesapeake Bay Stock Assessment Research Projects as 12-month 
cooperative agreements. The cooperative agreement has been determined 
to be the appropriate funding instrument because of the substantial 
involvement of NMFS in:
    1. Developing program research priorities;
    2. Evaluating the performance of the program for effectiveness in 
meeting regional goals for Chesapeake Bay stock assessments;
    3. Monitoring the progress of each funded project;
    4. Holding periodic workshops with investigators; and
    5. Working with recipients to prepare annual reports summarizing 
current accomplishments of the Chesapeake Bay Stock Assessment 
Committee.
    Project dates should be scheduled to begin no later than 1 October 
2001. Cooperative agreements are approved on an annual basis but may be 
considered eligible for continuation beyond the first project and 
budget period subject to the approved scope of work, satisfactory 
progress, and availability of funds at the total discretion of NMFS. 
However, there are no assurances for such continuation. Publication of 
this notice does not obligate NMFS to award any specific cooperative 
agreement or to

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obligate any part of the entire amount of funds available.
    C. Cost-sharing Requirements. Applications must reflect the total 
budget necessary to accomplish the project, including contributions 
and/or donations.
    D. Format. 1. Applications for project funding must be complete and 
must follow the format described. Applicants must identify the specific 
research priority or priorities to which they are responding. For 
applications containing more than one project, each project component 
must be identified individually using the format specified in this 
section. If an application is not in response to a priority, it should 
so state. Applicants should not assume prior knowledge on the part of 
NMFS as to the relative merits of the project described in the 
application.
    Applications must not be bound and must be one-sided. All 
incomplete applications will be returned to the applicant. Applicants 
are required to submit 1 signed original and 2 copies of the proposal.
    2. Applications must be submitted in the following format:
    (a) Cover sheet: An applicant must use Office of Management and 
Budget (OMB) Standard Form 424 (revised 4/92) as the cover sheet for 
each project. Applicants may obtain copies of these forms from the NOAA 
Grants Management Division, the NOAA Chesapeake Bay Office (see 
ADDRESSES) or from the NOAA Grants website, http://www.rdc.noaa.gov/
grants.
    (b) Project summary: Each proposal must contain a summary of not 
more than one page that provides the following:
    (1) Project title.
    (2) Project status (new).
    (3) Project duration (beginning and ending dates).
    (4) Name, address, and telephone number of applicant.
    (5) Principal Investigator(s) (PI).
    (6) Project objectives.
    (7) Summary of work to be performed.
    (8) Total Federal funds requested.
    (9) Cost-sharing to be provided from non-Federal sources, if any. 
Specify whether contributions are project-related cash or in-kind.
    (10) Total project cost.
    (c) Project description-- (including results from prior support): 
Each project must be completely and accurately described. The main body 
of the proposal should be a clear statement of the work to be 
undertaken and should include: objectives for the period of the 
proposed work and the expected significance; relation to longer-term 
goals of the PI's project; and relation to other work planned, 
anticipated, or underway under Federal Assistance. The project 
description must not exceed 15 pages in length. Visual materials, 
including charts, graphs, maps, photographs and other pictorial 
presentations are not included in the 15-page limitation. If an 
application is awarded, NMFS will make all portions of the project 
description available to the public for review; therefore, NMFS cannot 
guarantee the confidentiality of any information submitted as part of 
any project, nor will NMFS accept for consideration any project 
requesting confidentiality of any part of the project.
    Each project must be described as follows:
    (1) Identification of problem(s): Describe the specific problem to 
be addressed (see section II).
    (2) Project objectives: The project description must identify the 
following three project objectives: 1. Identify the specific priority 
listed earlier in the solicitation to which the proposed projects 
respond, if any; 2. Identify the problem/opportunity you intend to 
address and describe its significance to the fishing community; and 3. 
State what you expect the project to accomplish.
    If you are applying to continue a project previously funded under 
the Chesapeake Bay Studies Program, describe in detail your progress to 
date and explain why you need additional funding.
    Objectives should be:
    (a) Simple and easily understandable.
    (b) As specific and quantitative as possible.
    (c) Clear with respect to the ``what and when'' and should avoid 
the ``how and why.''
    (d) Attainable within the time, money, and human resources 
available.
    (e) Use action verbs that are accomplishment oriented.
    (3) Results from Prior Chesapeake Bay Studies Support: If any PI or 
co-PI identified on the project has received Chesapeake Bay Studies 
(CBSAC) support in the past 5 years, information on the prior award(s) 
is required. The following information must be provided:
    (a) The NOAA award number, amount and period of support;
    (b) The title of the project;
    (c) Summary of the results of the completed work, including, for a 
research project, any contribution to the development of human 
resources in science/biology;
    (d) Publications resulting from the award;
    (e) Brief description of available data, samples, physical 
collections and other related research products not described 
elsewhere; and
    (f) If the proposal is for renewed support, a description of the 
relation of the completed work to the proposed work.
    (4) Need for Government Financial Assistance: Demonstrate the need 
for assistance. Any appropriate database to substantiate or reinforce 
the need for the project should be included. Explain why other funding 
sources cannot fund all the proposed work. List all other sources of 
funding that are or have been sought for the project.
    (5) Benefits or Results Expected: Identify and document the results 
or benefits to be derived from the proposed activities.
    (6) Project Statement of Work: The Statement of Work is the 
scientific or technical action plan of activities that are to be 
accomplished during each budget period of the project. This description 
must include the specific methodologies, by project job activity, 
proposed for accomplishing the proposal's objective(s).
    Investigators submitting proposals in response to this announcement 
are strongly encouraged to develop inter-institutional, inter-
disciplinary research teams in the form of single, integrated proposals 
or as individual proposals that are clearly linked together. Such 
collaborative efforts will be factored into the final funding decision.
    Proposals should exhibit familiarity with related work that is 
completed or ongoing. Where appropriate, proposals should be multi-
disciplinary. Coordinated efforts involving multiple eligible 
applicants or persons are encouraged.
    Each Statement of Work must include the following information:
    (a) The applicant's name.
    (b) The inclusive dates of the budget period covered under the 
Statement of Work.
    (c) The title of the proposal.
    (d) The scientific or technical objectives and procedures that are 
to be accomplished during the budget period. A detailed set of 
objectives and procedures to answer who, what, how, when, and where. 
The procedures must be of sufficient detail to enable competent workers 
to be able to follow them and to complete scheduled activities.
    (e) Location of the work.
    (f) A list of all project personnel and their responsibilities.
    (g) A milestone table that summarizes the procedures (from item 
III.D.2.c(5)(d)) that are to be attained in each project month covered 
by the Statement of Work. Table format should follow

[[Page 26839]]

sequential month rather than calendar month (i.e. Project period Month 
1, Month 2... versus October, November ...)
    (7) Federal, State and Local Government Activities: List any 
programs (Federal, state, or local government or activities, including 
Sea Grant, state Coastal Zone Management Programs, NOAA Oyster Disease 
Research Program, the state/Federal Chesapeake Bay Program, etc.) this 
project would affect and describe the relationship between the project 
and those plans or activities.
    (8) Project Management: Describe how the project will be organized 
and managed. Include resumes of principal investigators. List all 
persons directly employed by the applicant who will be involved with 
the project. If a consultant and/or subcontractor is selected prior to 
application submission, include the name and qualifications of the 
consultant and/or subcontractor and the process used for selection.
    (9)  Monitoring of Project Performance: Identify who will 
participate in monitoring the project.
    (10) Project Impacts: Describe how these products or services will 
be made available to the fisheries and management communities.
    (11) Evaluation of Project: The applicant is required to provide an 
evaluation of project accomplishments at the end of each budget period 
and in the final report. The application must describe the methodology 
or procedures to be followed to determine technical feasibility, or to 
quantify the results of the project in promoting increased production, 
product quality and safety, management effectiveness, or other 
measurable factors.
    (12) Total Project Costs: Total project costs is the amount of 
funds required to accomplish what is proposed in the Statement of Work, 
and includes contributions and donations. All costs must be shown in a 
detailed budget. A standard budget form (SF-424A) is available from the 
offices listed and on the internet (see ADDRESSES). NMFS will not 
consider fees or profits as allowable costs for grantees. Additional 
cost detail may be required prior to a final analysis of overall cost 
allowability, allocability, and reasonableness. The date, period 
covered, and findings for the most recent financial audit performed, as 
well as the name of the audit firm, the contact person, and phone 
number and address, must be also provided.
    d. Supporting Documentation: Applicants should provide any 
additional documents necessary to establish the assertions made in 
their proposals and to assist the reviewers in understanding how the 
project would address the identified problem or issue. The total volume 
of such additional documentation must not exceed 20 pages.

IV. Review Process and Criteria

    A. Initial Evaluation of Applications. Applications will be 
reviewed by NOAA to assure that they meet all requirements of this 
announcement, including eligibility and relevance to the Chesapeake Bay 
Stock Assessment Research Program. Proposals that do not support the 
technical and management priorities of the Chesapeake Bay, as defined 
in section II.A., will not be considered for funding.
    B. Consultation with Experts in the Field of Stock Assessment 
Research. For applications meeting the requirements of this 
solicitation, NMFS will conduct a technical evaluation (via mail) of 
each project. This review normally will involve experts from both NOAA 
and non-NOAA organizations. All comments submitted to NMFS will be 
taken into consideration in the technical evaluation of projects. 
Reviewers will be asked to score and comment based on the following 
four criteria (total of 100 possible points):
    1. Problem description and conceptual approach for resolution, 
especially the applicant's comprehension of the problem(s), familiarity 
with related work that is completed or ongoing, and proposed method of 
resolving the problem(s) (30 points).
    2. Soundness of project design/technical approach, especially 
whether the applicant provided sufficient information to technically 
evaluate the project (35 points).
    3. Project management and experience and qualifications of 
personnel(15 points).
    4. Justification and allocation of the proposed budget(20 points).
    C. Review Panel. NMFS will convene a review panel consisting of at 
least three regionally recognized experts in the scientific and 
management aspects of stock assessment research.
    Each individual panel member will:
    1. Provide independent review based on the same criteria and 
scoring as the technical review.
    2. Provide a numerical score and suggestions for modifications 
(i.e., budget, personnel, technical approach, etc.).
    The review panel will collectively:
    1. Discuss all review comments, incorporating the evaluation 
provided by the technical reviewers.
    2. Numerically rank the submitted applications in recommended 
funding order.
    D. Funding Decision. After applications have been evaluated and 
ranked numerically for funding by the review panel, the Chief of the 
NOAA/NMFS Chesapeake Bay Office, in consultation with the Assistant 
Administrator (AA) for Fisheries, NOAA, will determine which project or 
projects will be recommended for funding based upon the technical 
evaluations and panel review comments, and determine the amount of 
funds available for the program. The review panel's numerical ranking 
will be the primary consideration for deciding which of the proposals 
will be selected for funding. In making the final selections, NOAA/NMFS 
may consider costs, geographical distribution, inter-jurisdictional and 
inter-institutional collaboration and duplication with other federally 
funded projects. Accordingly, numerical ranking is not the sole factor 
in deciding which proposals will be selected for funding. The Chief of 
the NOAA/NMFS Chesapeake Bay Office will prepare a written 
justification for any recommendations for funding that fall outside the 
ranking order, or for any cost adjustments. The exact amount of funds 
awarded to each project will be determined in preaward negotiations 
between the applicant, the Grants Office, and the NOAA/NMFS Chesapeake 
Bay Office staff. Potential grantees should not initiate projects in 
expectation of Federal funding until an award document signed by an 
authorized NOAA official has been received.

V. Administrative Requirements

A. Obligations of the applicant

    1. Periodic Workshops--Investigators will be expected to attend one 
or two workshops with other Stock Assessment Research Program 
researchers to encourage interdisciplinary dialogue and collaboration.
    2. 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:
    a. Nonprocurement Debarment and Suspension--Prospective 
participants (as defined at 15 CFR 26.105) are subject to 15 CFR part 
26, ``Nonprocurement Debarment and Suspension,'' and the related 
section of the certification form prescribed earlier applies;

[[Page 26840]]

    b. Drug-free Workplace--Grantees (as defined at 15 CFR part 26.605) 
are subject to 15 CFR part 26, subpart F, ``Governmentwide Requirements 
for Drug-Free Workplace (Grants),'' and the related section of the 
certification form prescribed above applies;
    c. Anti-lobbying--Persons (as defined at 15 CFR 28.105) are subject 
to the lobbying provisions of 31 U.S.C. 1352, ``Limitation on use of 
appropriated funds to influence certain Federal contracting and 
financial transactions, and the lobbying section of the certification 
form prescribed above applies to applications/bids for grants, 
cooperative agreements, and contracts for more than $100,000, and loans 
and loan guarantees for more than $150,000.
    d. Anti-lobbying Disclosure--Any applicant who has paid or will pay 
for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
    3. 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. SF-LLL 
submitted by any tier recipient or subrecipient should be submitted to 
DOC in accordance with the instructions contained in the award 
document.
    B. Other requirements. 1. Federal Policies and Procedures--
Recipients and subrecipients are subject to all Federal laws and 
Federal and DOC policies, regulations, and procedures applicable to 
Federal financial assistance awards.
    The Department of Commerce National Oceanic and Atmospheric 
Administration (DOC/NOAA) is strongly committed to broadening the 
participation of Historically Black Colleges and Universities, Hispanic 
Serving Institutions, and Tribal Colleges and Universities in its 
educational and research programs. The DOC/NOAA vision, mission, and 
goals are to achieve full participation by Minority Serving 
Institutions (MSI) in order to advance the development of human 
potential, to strengthen the nation's capacity to provide high-quality 
education, and to increase opportunities for MSIs to participate in and 
benefit from Federal Financial Assistance programs. DOC/NOAA encourages 
all applicants to include meaningful participation of MSIs.
    2. Indirect Cost Rates--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 the 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. However, the 
Federal share of the indirect costs may not exceed 25 percent of the 
total proposed direct costs. Applicants with indirect costs above 25 
percent may use the amount above the 25 percent level as cost sharing. 
If the applicant does not have a current negotiated rate and plans to 
seek reimbursement for indirect costs, documentation necessary to 
establish a rate must be submitted within 90 days of receiving an 
award.
     3. Past Performance--Unsatisfactory performance under prior 
Federal awards may result in an application not being considered for 
funding. In addition, any recipient and/or researcher who is past due 
for submitting acceptable progress reports on any previous project 
funded under this program may be ineligible to be considered for new 
awards until the delinquent reports are received, reviewed and deemed 
acceptable by NMFS.
    4. Financial Management Certifications/preaward Accounting Survey--
Successful applicants, at the discretion of the NOAA Grants Officer, 
may be required to have their financial management systems certified by 
an independent public accountant as being in compliance with Federal 
standards specified in the applicable Office of Management and Budget 
(OMB) Circulars prior to execution of the award. Any first-time 
applicant for Federal grant funds may be subject to a preaward 
accounting survey by the DOC specified in the applicable OMB Circulars/
Code of Federal Regulations prior to execution of the award.
    5. Delinquent Federal Debts--No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
until either:
    (a) The delinquent account is paid in full;
    (b) A negotiated repayment schedule is established and at least one 
payment is received; or
    (c) Other arrangements satisfactory to DOC are made.
    6. Name Checks--Potential recipients may be required to submit an 
``Identification-Application for Funding Assistance'' (Form CD-346), 
which is used to ascertain background information on key individuals 
associated with the potential recipient. 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. 
Applicants will also be subject to credit check reviews.
    7. 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.
    8. Preaward Activities--If applicants incur any costs prior to an 
award being made, they do so solely at their own risk of not being 
reimbursed by the Government. Notwithstanding any verbal or written 
assurance that may have been received, there is no obligation on the 
part of DOC to cover preaward costs.
    9. Purchase of American-made Equipment and Products--Applicants are 
hereby notified that they will be encouraged, to the greatest extent 
practicable, to purchase American-made equipment and products with 
funding provided under this program in accordance with Congressional 
intent as set forth in the resolution contained in Pub. L. 103-317, 
sections 607(a) and (b).
    10. Other--If an application is selected for funding, DOC has no 
obligation to provide any additional funding in connection with that 
award. Renewal of an award to increase funding or extend the period of 
performance is at the total discretion of DOC.
    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.

Classification

    This action has been determined to be ``not significant'' for 
purposes of Executive Order 12866.
    Pursuant to 5 U.S.C. 553(a)(2), prior notice and and opportunity 
for public comment are not required under the Administrative Procedure 
Act for this notice concerning grants, benefits, and contracts. 
Therefore, a regulatory flexibility analysis is not required for 
purposes of the Regulatory Flexibility Act.
    This notice contains collection-of-information requirements subject 
to the

[[Page 26841]]

Paperwork Reduction Act (PRA). The use of Standard Forms 424, 424A, and 
SF-LLL have been approved by OMB under their respective control numbers 
0348-0043, 0348-0044, and 0348-0046. Notwithstanding any other 
provision of law, no person is required to respond to nor shall any 
person be subject to a penalty for failure to comply with a collection 
of information subject to the requirements of the PRA unless that 
collection-of-information displays a currently valid OMB control 
number.

    Dated: May 9, 2001.
William T. Hogarth,
Acting Assistant Administrator for Fisheries
[FR Doc. 01-12219 Filed 5-14-01; 8:45 am]
BILLING CODE 3510-22-S


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