[Federal Register Volume 61, Number 90 (Wednesday, May 8, 1996)]
[Notices]
[Pages 20803-20807]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-11401]



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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 950222054-6119-02; I.D. 042296D]
RIN 0648-ZA15


Financial Assistance for Chesapeake Bay Stock Assessments to 
Encourage Research Projects for Improvement in 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: Approximately $540,000 in Fiscal Year (FY) 1996 funds is 
available through the NOAA/NMFS Chesapeake Bay Office to assist 
interested state fishery agencies, academic institutions, and other 
nonprofit organizations relating to cooperative research units in 
carrying out research projects to provide information for Chesapeake 
Bay Stock Assessments through cooperative agreements. About $70,000 of 
the base amount is available to initiate new projects in FY 1996, as 
described in this announcement, while the balance will be used to fund 
continuation projects begun in previous years. NMFS issues this notice 
describing the conditions

[[Page 20804]]

under which eligible applications will be accepted and how NMFS will 
determine which applications will be selected for funding. Funding will 
be contingent upon availability of funds.

DATES: Applications for funding under this program will be accepted 
until June 24, 1996 6 p.m. eastern standard time. Applications received 
after that time will not be considered for funding. No applications 
will be accepted by facsimile machine submission.
    Successful applicants generally will be selected approximately 90 
days from the date of publication in the Federal Register of this 
notice. The earliest date for awards will be approximately 180 days 
after the date of publication in the Federal Register of this notice.

ADDRESSES: Send applications to: M. Elizabeth Gillelan, Division Chief, 
NOAA Chesapeake Bay Office, NMFS, 410 Severn Avenue, Suite 107A, 
Annapolis, MD 21403.

FOR FURTHER INFORMATION CONTACT: M. Elizabeth Gillelan, 410/267-5660.

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 nonprofit 
organizations relating to cooperative research units.
    B. Catalog of Federal Domestic assistance. 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. The CBSAC was established in 1985 to plan 
and review Bay-wide 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 Bay-wide plan for the assessment of commercially, 
recreationally, and selected ecologically important species in the 
Chesapeake Bay. In 1988, CBSAC developed a Bay-wide Stock Assessment 
Plan, in response to provisions in the Chesapeake Bay Agreement of 
1987. The plan identified that key obstacles to assessing Bay stocks 
were the lack of consistent, Bay-wide, 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.

II. Areas of Special Emphasis

    A. Proposals should exhibit familiarity with related work that is 
completed or ongoing. Where appropriate, proposals should be 
multidisciplinary. Coordinated efforts involving multiple eligible 
applicants or persons are encouraged. Eligible women and minority-owned 
and operated non-profit organizations are encouraged to apply.
    Consideration for funding will be given to applications that 
address the following stock assessment research and management priority 
for the Chesapeake Bay:
    Design and development of a method to age blue crabs in Chesapeake 
Bay.
    This will be a pilot project to examine the feasibility of using 
the metabolic products called lipofuscins as a basis to establish the 
chronological age of blue crab. In the pilot year of this study it is 
envisioned that the following will be accomplished:
    I. conduct a comprehensive background literature review on this 
area of study and its applications;
    II. establish protocols for extraction and measurement of 
lipofuscins;
    III. apply these techniques in an experiment that demonstrates the 
relationship between lipofuscin content and chronological age.
    The chemical characteristics of lipofuscins and their accumulation 
rates are a function of tissue type and metabolic rate; therefore, the 
experimental group will be reared under a range of temperature, 
salinity, and dietary conditions that encompass those encountered by 
blue crabs in Chesapeake Bay.
    Should the experiment prove unsuccessful in demonstrating the 
utility of the method in blue crab age determination, the final report 
will include a complete description of the above three items. Also, the 
results will include an explanation of why the technique is assumed to 
have failed. Otherwise, given the demonstrated utility of this 
technique, the project report will provide the following specific 
deliverables, for each sex, where appropriate:
    1) overall long-term study design goals, objectives, and 
anticipated project costs.
    2) laboratory rearing methods and procedures.
    3) tissue extraction protocol.
    4) Definition of the measurement technique for quantifying 
lipofuscin content.
    5) field sampling protocol for the collection of larval blue crab 
used in rearing experiments and adult animals throughout the size 
range.
    6) analytical methods for defining the relationship between 
lipofuscin content and age for the range of rearing conditons.
    7) sensitivity analysis of the aging methods in terms of its 
detection limit.
    8) description of methods for modelling blue crab growth which 
incorporate the principal determinants of lipofuscin production; (i.e., 
temperature, salinity, dietary factors and time).
    9) definition of the functional form(s) of the growth model(s) 
which will be used to estimate chronological age given size, sex and 
date of capture.
    B. Applications addressing the priorities should build upon, or 
take into account, any related past or current work.

III. How to Apply

    A. Eligible Applicants. Applications for cooperative agreements 
under the Chesapeake Bay Studies Program may be submitted, in 
accordance with the procedures set forth in this notice, by any state 
game and fish department, college or university, or other nonprofit 
organizations relating to cooperative research units. Other Federal 
agencies or institutions are not eligible to receive Federal assistance 
under this notice.
    DOC/NOAA/NMFS employees, including full-time, part-time, and 
intermittent personnel (or their spouses or blood relatives who are 
members of their immediate households) are not eligible to submit an 
application under this solicitation or aid in the preparation of an 
application, except to provide information on program goals, funding 
priorities, application procedures, and completion of application 
forms. Since this is a competitive program, assistance will not be 
provided in conceptualizing, developing, or structuring proposals.
    Eligible applicants outside the Chesapeake Bay region may submit 
proposals, as long as their objectives support the technical and 
management priorities of the Chesapeake Bay, as defined in section 
II.A. above. All solicited proposals received by the closing date will 
be considered by NMFS.
    B. Duration and terms of funding. Under this solicitation, NMFS 
will fund Chesapeake Bay Stock Assessment

[[Page 20805]]

Research Projects for 1 year cooperative agreements. The cooperative 
agreement has been determined as 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.
    5. Working with recipients in preparation of annual reports 
summarizing current accomplishments of the Chesapeake Bay Stock 
Assessment Committee.
    Project dates should be scheduled to begin no later than 1 October 
1996. 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, and at the total discretion of 
NMFS. However, there are no assurances for such continuation. 
Publication of this notice does not obligate NOAA to award any specific 
cooperative agreement or to obligate any part of the entire amount of 
funds available.
    C. Cost Sharing. Applications must reflect the total budget 
necessary to accomplish the project, including contributions and/or 
donations. Cost sharing is not required under the Chesapeake Bay Stock 
Assessment Research Program. However, cost sharing is encouraged to 
enhance the value of a project, 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 share costs, and if that application is selected 
for funding, the applicant will be bound by the percentage of cost 
sharing reflected in the award documents.
    The non-Federal share may include funds received from private 
sources or from state or local governments or the value of in-kind 
contributions. Federal funds may not be used to meet the non-Federal 
share of matching funds, except as provided by Federal statute. In-kind 
contributions are noncash contributions provided by the applicant or 
non-Federal third parties. In-kind contributions may be in the form of, 
but are not limited to, personal services rendered in carrying out 
functions related to the project, and permission to use real or 
personal property owned by others (for which consideration is not 
required) in carrying out the project. To support the budget, the 
applicant must describe briefly the basis for estimating the value of 
the non-Federal funds derived from in-kind contributions.
    The total cost of a project begins on the effective date of a 
cooperative agreement between the applicant and the Grants Officer and 
ends on the date specified in the award. Accordingly, the time expended 
and costs incurred in either the development of a project or the 
financial assistance application, or in any subsequent discussions or 
negotiations prior to the award, are neither reimbursable nor 
recognizable as part of the recipient's cost share.
    D. Format.
    1. Applications for project funding must be complete. Applicants 
must identify the specific research priority. 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 the priority, it should be so 
stated. 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 should 
be one-sided. All incomplete applications will be returned to the 
applicant. Applicants must submit one signed original and two copies of 
the complete application. Required forms are provided in a NOAA 
Application Kit which applicants may obtain from the NOAA Grants 
Management Division or the NOAA Chesapeake Bay Office (see ADDRESSES).
    2. Applications must be submitted in the following format:
    a. Cover sheet: An applicant must use OMB Standard Form 424 
(revised 4-92) as the cover sheet for each project.
    b. Project description: Each project must be completely and 
accurately described. Each project description may be up to 15 pages in 
length. 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 above).
    (2) Project objectives: This is one of the most important parts of 
the Project Proposal. Use the following guidelines for stating the 
objective of the project.
    (a) Keep it simple and easily understandable.
    (b) Be as specific and quantitative as possible.
    (c) Specify the ``what and when;'' avoid the ``how and why.''
    (d) Keep it attainable within the time, money, and human resources 
available.
    (e) Use action verbs that are accomplishment oriented.
    (3) 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.
    (4) Benefits or results expected: Identify and document the results 
or benefits to be derived from the proposed activities.
    (5) 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). If the work 
described in this section does not contain sufficient detail to allow 
for proper technical evaluation, NMFS will not consider the application 
for funding and will return it to the applicant.
    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.
    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. Devise 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

[[Page 20806]]

III.D.2.b.(5)(d)) that are to be attained in each month covered by the 
Statement of Work.
    (6) Participation by persons or groups other than the applicant: 
Describe the level of participation required in the project(s) by NOAA 
or other government and non-government entities. Specific NOAA 
employees should not be named in the initial proposal.
    (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 cost 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 (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.
    c. Supporting documentation: Provide any required documents and any 
additional information necessary or useful to the description of the 
project. The amount of information will depend on the type of project 
proposed, but should be no more than 20 pages. The applicant should 
present any information that would emphasize the value of the project 
in terms of the significance of the problems addressed. Without such 
information, the merits of the project may not be fully understood, or 
the value of the project may be underestimated. The absence of adequate 
supporting documentation may cause reviewers to question assertions 
made in describing the project and may result in lower ranking of the 
project. Information presented in this section should be clearly 
referenced in the project description.

IV. Evaluation Criteria and Selection Procedures

    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.
    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 of each project 
prior to any other review. This review normally will involve experts 
from non-NOAA as well as NOAA organizations. All comments submitted to 
NMFS will be taken into consideration in the technical evaluation of 
projects. Technical evaluators will submit independent reviews to NMFS. 
Reviewers will be asked to comment on the following evaluation 
criteria:
    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 the overall concept 
proposed to resolve the problem(s) (30 points).
    2. Soundness of project design/technical approach, especially 
whether the applicant provided sufficient information to technically 
evaluate the project and, if so, the strengths and weaknesses of the 
technical design proposed for problem resolution (35 points).
    3. Project management and experience and qualifications of 
personnel, including organization and management of the project, and 
the personnel experience and qualifications (15 points).
    4. Justification and allocation of the budget in terms of the work 
to be performed (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 who will conduct 
reviews as follows:
    1. Evaluate technical reviews.
    2. Provide independent review based on the same criteria as the 
technical review.
    3. Discuss all review comments as a panel.
    4. Provide individual panelist scores and suggestions for 
modifications (i.e., budget, personnel, technical approach, etc.).
    D. Funding decision. 1. Applications will be ranked by NMFS into 
two groups--Recommended and Not Recommended. As previously stated in 
section III C., collaborative proposals and applications which propose 
a cost share are strongly encouraged, and therefore will be given added 
weight in the selection process. Numeric ranking will be the major 
consideration for deciding which of the ``recommended'' proposals will 
be selected for funding.
    2. After projects have been ranked for funding, the Chief of the 
NOAA/NMFS Chesapeake Bay Office, in consultation with the Assistant 
Administrator for Fisheries, NOAA, will determine the project to be 
recommended for funding based upon the technical evaluations, panel 
review, and the evaluation factors and, determine the amount of funds 
available for the program. The exact amount of funds awarded to the 
project will be determined in preaward negotiations between the 
applicant, the Grants Office, and the NOAA/NMFS Chesapeake Bay Office 
staff.

V. Administrative Requirements

    A. Obligations of the applicant. 1. Deliverables--In addition to 
quarterly status and budget reports, and at the time of submission of 
the final report of results of funded projects, recipients must submit 
a four- to five-page summary of project work and results that will be 
compiled in a report of Chesapeake Bay Stock Assessment Research 
Program results.
    2. Periodic workshops--Investigators will be expected to attend one 
or two workshops with other Stock Assessment Research Program 
researchers to encourage interdisciplinary dialogue and forge synthesis 
of results.
    3. Primary applicant certifications--All primary applicants must 
submit a completed Form CD-511,

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``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 above applies.
    b. Drug-free workplace--Grantees (as defined at 15 CFR 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.''
    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.
    4. 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.
    2. Indirect cost rates--The total dollar amount of the indirect 
costs proposed in an application under this program must not exceed the 
current indirect cost rate negotiated and approved by a cognizant 
Federal agency. NOAA's acceptance of negotiated rates is subject to 
total indirect costs not to exceed 100% of total direct costs. This 
language is pursuant to the NOAA Grants and Cooperative Agreements 
Policy Manual, Chapter 3(B)(2).
    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 OMB Circulars prior to execution 
of the award. Any first-time applicant for Federal grant funds may be 
subject to a preaward accounting survey by the DOC prior to execution 
of the award.
    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 are encouraged, to the greatest extent 
practicable, to purchase American-made equipment and products with 
funding provided under this program.
    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 E.O. 12866.
    Applications under this program are subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''
    Prior notice and an opportunity for public comment 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.
    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall a person be subject to, a penalty for failure 
to comply with a collection of information subject to the requirements 
of the Paperwork Reduction Act (PRA) unless that collection of 
information displays a currently valid OMB control number.
    This notice contains collections of information subject to the 
Paperwork Reduction Act, which have been approved by OMB under OMB 
control numbers 0348-0043, 0348-0044, and 0605-0001.

    Dated: May 1, 1996.
Gary Matlock,
Program Management Officer, National Marine Fisheries Service
[FR Doc. 96-11401 Filed 5-7-96; 8:45 am]

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