Prescott Grant FAQs: 2008 Solicitation

• Application Instructions and Proposal Requirements
• Deadlines
• Eligibility
• Project Participants
• Project Budget and Supporting Documentation
• Research Permits
• Program Funding Priorities
• Screening, Review, and Selection Procedures
• Additional Questions

Application Instructions and Proposal Requirements

Q: Are there any changes from last year's solicitation?

A: Yes. The major changes to the 2008 funding solicitation are to the national and regional funding priorities, and applicants should pay particular interest to these sections. Major restructuring has occurred, which will likely change the category that you are applying in! The competition due date continues to be later in the year, occurring at the beginning of October, giving applicants longer to develop proposals. There are a few other changes for clarification throughout the document.

These changes are the direct result of comments received from those who submitted proposals in 2002-2007, and those who took part in previous technical and merit reviews. Therefore, we encourage applicants who have previously submitted a proposal to read the entire solicitation document before preparing a proposal for the 2008 cycle.

Q: Where can I find instructions and guidance regarding how to complete the grant application forms?

A: The Full Funding Opportunity describing the 2008 solicitation, Federal Register notice announcing the 2008 grant cycle, a cost share calculator and addresses for submitting proposals are available on the main NMFS Prescott Grant Program web page. The forms and application materials are available on Grants.Gov.

Since this is a competitive program, NMFS and NOAA employees cannot provide assistance in conceptualizing, developing, or structuring proposals, or write letters of support for any proposal. However, NMFS or NOAA employees may provide information to applicants on appropriate analytical techniques, including costs and time lines for such analyses. For activities that involve collaboration with current NOAA programs that include, but are not limited to, the National Marine Mammal Tissue Bank (NMMTB) or laboratories conducting analysis of tissues for contaminants, employees of NOAA or the National Institute of Standards and Technology can write a letter verifying that they are collaborating with the project, or that the organization or individual applying is trained to participate in the NMMTB or is currently participating in the National Marine Analytical Quality Assurance Program.

Q: How many grants can I apply for? How many can I receive?

A: There is no limit on the number of proposals that you can apply for as the same eligible participant or researcher during the 2008 annual cycle. Multiple proposals submitted must clearly identify different projects and must be successful in the competitive review process. However, eligible stranding network participants can receive no more than two awards in this cycle as an organization. The two awards must be for projects that are clearly separate in their objectives, goals, and budget requests. In addition, if you are applying as an eligible researcher, but not independently authorized under the MMPA Section 112(c), the MMPA Section 104 (see implementing regulations at 50 CFR Part 216, Subpart D (216.33-44)), the MMPA Section 109(h) (see implementing regulations at 50 CFR 216.22), or the National Contingency Plan for Response to Marine Mammal Unusual Mortality Events, you can only receive one award in 2008.

Q: On Standard Form 424, Block 5: What is the legal name to use?

A: The legal name to use is the authorized, eligible stranding network organization's legal name, and it must match the applicant name appearing on the proposal Title Page. The Principal Investigator's name, or the name of another person at the institution, should be listed in the Name and telephone number of person to be contacted on matters involving this application. For researchers, the legal name is the name of the Principal Investigator's institution, and the Principal Investigator's name goes in the block for person to be contacted on matters involving programmatic aspects of the proposal. Please note that researchers must describe who will administer the business aspects of the grant (i.e., on their own, through their current employer, an affiliated institution, or through a third-party organization) and why this method of administration has been chosen.

Q: On Standard Form 424, Number 8: What type of application is it? Is it still a "new" application if I am continuing activities from a previous Prescott grant?

A: All Prescott awards are considered "New" even if the work is a continuation of previously funded work. Each application is reviewed through the entire competitive process each year, and so the applications are "new."

Q: On Standard Form 424, Number 13: Must start and end dates be exactly one calendar year (12 months)?

A: No. The Grant period for 2008 awards may be up to three (3) years to complete the proposed work. However, each award can only be $100,000 in Federal funds. We recommend that 2007 projects propose a start date no earlier than June 1, 2008 (although disbursement of funds might be earlier or later than this date). The start date may be earlier than the grant award date if there is strong justification in the proposal for such a date.

Q: On Standard Form 424, Number 13: Must start and end dates be on certain days of the month?

A: YES. The start date must be on the first of the month (June 1, July 1, August 1, etc.) and the end date must be the last day of a month (May 31 st , June 30 th , February 28 th or 29 th , etc.) . No other days of the month can be used for the project start or end dates.

Q: On Standard Form 424, Number 14: What Congressional districts should I use?

A: In block a), the Congressional district is that of the applicant. There should only be one district, and it should be that district that contains the city of the legal address of the applicant (as listed in block 5). Block b) is the Congressional district of the project, and is all of the districts in which your proposed activities will take place (or all the coastline which you cover, or the location of your field station, etc.). Maps of Congressional districts by state may be found at this website: http://nationalatlas.gov/printable/congress.html

Q: Form LLL: Does this apply if the applicant does any lobbying whatsoever paid by any source of funds, or ONLY if funds from the Prescott grant will be used to pay a lobbyist? The instructions on page 2 of Form CD-511 suggest that form LLL is only necessary if lobbying is done with regard to loan insurance and loan guarantees.

A: Lobbying is disclosed if there has been any money spent to lobby for the John H. Prescott Marine Mammal Rescue Assistance Grant Program. The LLL form is completed in accordance with 31 USC 1352, which describes lobbying in regards to Federal contracts and grants. Organizations that conducted lobbying may still be eligible for Prescott funds, as long as the lobbying is disclosed, and no Federal money was used for lobbying activities (including previously received Prescott funds). Department of Commerce regulations provide that: "None of the funds appropriated by any Act may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action described in [another paragraph] of this subsection."

Q: What is the format that must be used for the project description?

A: The Full Funding Opportunity found on Grants.Gov and linked to from the Prescott Grant Program site provide the outline for the entire narrative and describe the information that should be included.

Q: What needs to be included in the Organizational Summary?

A: The Organizational Summary is a maximum of 3 pages for you to describe your facility (organization, group, laboratory, etc.) and the role you play in the stranding network. Helpful items include, but are not limited to:

• a map of your response area
• response statistics (table, chart or text form)
• organizational overview of staff, volunteers, etc.
• size and capability or description of your facility
• financial overview including what other funds are available for the proposed work
• a summary of your relationship with neighboring stranding network responders

Q: Can I submit a similar proposal to last year's awarded proposal as long as it doesn't overlap the award period of the existing award?

A: Yes. However, you will still check "New" on Block 8 of the SF-424. Your proposal will be reviewed and competed with all other proposals received in the 2008 cycle and therefore we cannot guarantee funding. In addition, if your project is selected for funding, we will verify that all reports required under any existing award agreement(s) have been submitted to NOAA before receipt of additional funds is authorized.

Deadlines:

Q: How early can I submit my Prescott Grant Proposal? If I submit my proposal early, can it be reviewed to ensure that I have provided all the information required?

A: You can submit your Grant Proposal at any time after the solicitation has been published. The proposal must have been postmarked by October 1, 2007. We strongly recommend early submission of proposals in the event that we have the resources to pre-screen (pre-screening is not guaranteed). Note that there will be no extensions of the deadline for proposal revisions and that any revised proposals subject to pre- screening must be re-submitted by the original submission deadline. Our ability to pre-screen is dependent upon the submission deadline and the availability of resources. Only those proposals satisfying all of the basic requirements after the deadline will enter the full evaluation phase of the review process.

Eligibility:

Q: Are non-U.S. researchers and organizations participating in stranding networks outside of the U.S. eligible for Prescott Stranding Grant Program funds, particularly for response to mortality events that may have been caused by US activities?

A: No. The Marine Mammal Rescue Assistance Act and its legislative history clearly indicate that the purpose of this program is to provide financial assistance to the stranding network in the United States only.

Q: I am starting a brand-new marine mammal stranding response and/or rehabilitation facility. Am I eligible to apply for Prescott funds?

A: Category A has been rewritten for the FY08 competition to promote funding for "fledgling" organizations, i.e., those in existence for less than 3 years in an area of geographic need. However, please note that any organizations applying under Category A should be authorized to conduct stranding network activities as of the date of application (i.e., no later than October 1, 2007), either through a Stranding Agreement from the applicable NMFS Region, or under 109(h) authority. In addition, you must provide an eligibility letter from the NMFS Regional Stranding Coordinator that explicitly states that your organization is authorized, and is in an area with no pre-existing coverage.

Q: If I am a researcher that has been participating in the stranding network over the past 3 years through collaboration with LOA holders, what must I do to show that I am eligible for Prescott funds?

A: You must have a current authorization letter(s) from the appropriate Regional Administrator for the region(s) from which you are receiving parts and or samples collected from stranded marine mammals (if applicable), and you must include either a Letter of Agreement holder, a 109(h) responder, or a Northwest Region participant as a co-Investigator on your project. A letter from the co-Investigator confirming their intent to participate in your project as a co-Investigator must be included in the Supporting Documentation section of the proposal package.

The letter from the Regional Administrator authorizes you to receive and possess parts and/or samples of stranded marine mammals collected by Stranding Network participants that are transferred to you for purposes of scientific research. In order to obtain authorization to receive stranded marine mammal parts and/or samples, please submit a request outlining the following: the species from which samples are requested, the specific tissues or samples being requested, sampling protocols, and the research project for which the samples will be utilized. Submit this request to the Stranding Coordinator in the regions from which you wish to receive samples (see MMHSRP web site for contact information).

For any transfers of parts and/or samples salvaged from stranded marine mammals, the person transferring the part may not receive any money for the specimen; the specimen must be transferred for purposes of scientific research, maintenance in a properly curated, professionally accredited scientific collection, or for educational purposes; and a unique number assigned by the National Marine Fisheries Service must be on, marked on, or affixed to the marine mammal specimen or container.

If the work that you are doing does not require the transfer of parts and/or samples (i.e., construction of new research apparatus, techniques, or data analysis), you will still need an eligibility letter from the Regional Stranding Coordinator in the region of the stranding network member that you will be collaborating with. Also, you must provide a letter of support from the stranding network member verifying that they will be collaborating with you.

In addition, if you work for a facility with an existing Institutional Animal Care and Use Committee (IACUC) and are proposing a project using live stranded or rehabilitated, free-ranging marine mammals, you must have requested or obtained approval from the IACUC prior to applying for funding under the Prescott program (as required by 9 CFR 2.30-2.31).

To be eligible for Prescott funds, you must also submit documentation of the requests for or approval for all applicable Federal, state, and local government permits and approvals. These permits and approvals include (but may not be limited to) Marine Mammal Protection Act and/or Endangered Species Act scientific research and/or enhancement permits, permits or letters of agreement for work in National Marine Sanctuaries, National Parks, or National Seashores for activities conducted on such sites, as well as applicable water quality, air quality, waste disposal, wetland, and building permits. Such documentation must include any environmental impact analyses required by the appropriate Federal, state, or local permitting authority.

For applicants or Principal Investigators that are current NMFS MMPA and/or ESA permit holders or Principal Investigators on a permit(s), the applicant or Principal Investigator must ensure that all permit reporting requirements have been met. If your work requires a MMPA/ESA permit and your application is selected for funding, you will not receive access to the funds until the permits necessary to conduct the proposed work have been obtained.

For further information on permit requirements and applications procedures for federal natural resource permits, contact the NMFS Office of Protected Resources or see the website. You may also use the pre-application guide to help determine if your work will require additional permits or approvals.

If the transfer of samples to you is a temporary transfer to a lab or research facility within the U.S. so that analyses can be performed for the person(s) who salvaged the specimen(s), and the sample will be used up in the analyses or returned upon completion of the analyses, then no authorization is required for you to receive the samples. Similarly, if the transfer is a loan of not more than one year to a professionally accredited scientific collection within the U.S. , then no authorization is required. However, you will still need an eligibility letter from the Regional Stranding Coordinator of the region where the samples originate, and a letter of collaboration/support from the stranding network facility that will be providing you with samples.

Q: I do not have an Institutional Animal Care and Use Committee (IACUC) at my facility. Can I still apply for funds?

A: Yes. Only applicants working for a facility (e.g., University, Aquarium, live animal research facility, etc.) with a current IACUC, must have requested or obtained approval from an IACUC prior to applying for funding under this program (as required by the regulations under the Animal Welfare Act, 9 CFR 2.30-2.31). However, APHIS does require that registered research and animal care facilities set up an IACUC within a certain time after being registered (see the website for more information).

Q: An authorized researcher would like to apply as the applicant and Principal Investigator for a grant for non-construction basic needs costs for recovery and treatment at an established facility (Category B proposal) and not for a scientific research objectives grant (Category C proposal). Would this person be eligible for this category?

A: An authorized researchers can only apply under Category B as the applicant and Principal Investigator for a proposal for facility operation needs or upgrades specifically related to enhancing the ability to collect marine mammal health and environmental data. Note that researchers submitting Category B proposals for facility renovations, upgrades, and other structural and design changes must designate who (i.e., the applicant, Co-Investigator, Cooperator, contractor, or other appropriate entity) will be responsible for oversight of construction aspects of the project to ensure that costs remain within the proposed budget. The authorized researcher could apply as the applicant and Principal Investigator for the scientific research objectives grant under proposal Category C. Category C proposals can also propose costs related to non-construction operational costs for data collection (e.g., equipment, supplies, staffing, printing, etc.). Finally, although researchers can submit as many proposals as they would like under Category B and Category C, they are limited to only one Prescott award.

Project Participants:

Q: How many Principal Investigators can be named on a project?

A: One. Each project must have one, and only one, Principal Investigator. This person assumes the ultimate authority for the successful completion of the project. However, there may be unlimited Co-Investigators or Collaborators named on a project.

Q: On how many proposals can I be named as a Co-Investigator or act a cooperating participant? Can Department of Commerce and Interior employees participate in proposed projects? If so, in what capacity?

A: Authorized stranding network participants and researchers can be identified as Co- Investigators or Cooperators on an unlimited number of proposals. If salary is identified for an individual in multiple proposals, the sum of all proposals must not be more than 100% time.

Current full-time or part-time employees and contractors of the Department of Commerce (DOC) and Department of Interior (DOI) are not eligible to apply for funding under the Prescott Grant Program. However, DOC and DOI employees and contractors may act as Cooperators on a project if they are responsible for performing analyses or interpreting data collected with Prescott award funds. No funds from a Prescott award can be used for salaries or travel of any Federal employee or contractor.

Q: Is there a problem (conflict of interest) with having a Co- Investigator that might eventually fill a position described in the proposal? For example, the proposal is for expanded coverage and staffing needs are identified. Would it be acceptable for the Co-Investigator to be hired as one of those staff people?

A: As long as the position described in the proposal is openly advertised to potential applicants and all applications received are evaluated and competed fairly and with no bias, there will be no problem or potential conflict of interest. In order to be hired to fill the position, the Co-Investigator must meet all of the selection criteria for the position prior to the position being advertised. The Program Officer monitoring the award will use his/her discretion in evaluating the fairness of hiring practices. If there is no person identified for a salaried position at the time of proposal submission, the position description should also include how the position will be advertised and how applicants will be evaluated and the person chosen. In addition, the salary of the position should be included in either the Federal or non-Federal budget portion.

Project Budget and Supporting Documentation:

Q: What type of financial information should I provide in my budget justification?

A: Specific guidance on writing the budget narrative justification is provided on our website.

In addition, instructions for filling out the Federal budget forms and creating a budget justification are posted on the Apply section of Grants.gov. A sample SF424A (Budget Information -- Non-Construction Program) is provided on our website. The instructions should be read completely before filling out the required budget Standard Forms (Standard Form 424A for Category A, B and C non-construction proposals; Standard Form 424C for Category A or B proposals with more than 50% for construction) and writing the narrative budget justification. Please note that both Federal and non-Federal columns on Standard Form 424A must be filled in completely and separately and that the amounts per category and total amounts on both Standard Forms 424A and 424C must correspond with the budget narrative and justification.

The budget must be justified in narrative detail on a separate sheet. We recommend using a spreadsheet format to itemize costs per category, distinguish between proposed Federal costs and the non-Federal match, and separate direct and indirect cost totals AND a narrative format to explain each category and list specifics (positions being funded, equipment/supplies being purchased, etc.). For the non-Federal match, the itemized costs should be separated into cash and in-kind contributions. If in-kind contributions are included, describe briefly the basis (e.g., historic costs, bids, etc.) for estimating the value of these contributions.

Applicants applying as non-profit organizations must include a letter from the Internal Revenue Service verifying non-profit classification under Internal Revenue Code and tax exempt status under section 501(c)(3) of the Code. If indirect costs are included in the budget, either an application for an agreement or a current and approved negotiated indirect cost agreement with the Federal government should also be included.

Q: What are indirect costs?

A: Indirect costs are overhead costs for basic operational functions of a facility, organization, or business (e.g., lights, rent, water, insurance). If the applicant currently has a negotiated indirect cost rate with a Federal government agency (i.e., "cognizant agency"), an amount for indirect costs can be included in the budget. Indirect costs can be included in both the Federal and non-Federal cost shares as long as the method of calculation is clear and certain rules are followed. For the Prescott program, the Federal share of the indirect costs cannot exceed 25% of the total proposed direct costs. If the approved indirect cost rate is greater than 25% of the total proposed direct cost, the amount above the 25% level can be used as matching costs. If indirect costs are included, the package should include a copy of the current, approved, negotiated indirect cost agreement with the Federal government.

Q: What is a "cognizant agency" and how do I obtain a negotiated indirect cost rate agreement? Must I already have this agreement when I submit my proposal?

A: To simplify relations between Federal grantees and awarding agencies, the Office of Management and Budget (OMB) established the "cognizant agency" concept, under which a single Federal agency represents all others in dealing with grantees in common areas. The "cognizant agency" reviews and approves a grantee's indirect cost rates. There are exceptions (listed below), but in general, your "cognizant agency" is the Federal agency that has provided the most grant funds to you currently or in the past. For non-profit organizations, this is determined by calculating which Federal agency provided or provides the most grant funding.

A list of cognizant agency assignments for some State agencies, cities and counties was published in the Federal Register on January 6, 1986 (51 FR 552). The Department of Health and Human Services (HHS) may be the cognizant agency for all States and most cities. The Department of the Interior is the cognizant agency for all Indian tribal governments. For hospitals, HHS serves as the main cognizant agency.

Indirect cost rates approved by a cognizant agency must be accepted by other granting agencies, unless specific program regulations restrict the recovery of indirect costs. For the Prescott Grant Program, there is no restriction on the amount of indirect costs that can be recovered.

NOAA recommends that if indirect costs are included in the budget that a copy of an approved rate agreement from the cognizant agency be provided in the proposal package to assist in the review of the proposal. However, if the applicant is still in the process of obtaining or updating an indirect cost rate agreement, then we ask you to include in your proposal package a copy of the transmittal letter and supporting documentation sent to the cognizant agency in order to establish a new rate. If you have never received a Federal grant, you should contact the Department of Commerce, Office of Acquisition Management and Financial Assistance (DOC/OAMFA) via their web site before you submit your proposal package to the Prescott Grant Program. They will be able to help you determine what documents you must submit to obtain an indirect cost rate with the Department of Commerce.

Q: Exactly what is the highest amount of Federal funds that can be awarded for any one grant? How much must the applicant include in matching funds?

A: The highest amount of Federal funds that can be awarded for any one grant is $100,000. The applicant must match up to 25% of the TOTAL project costs - NOT JUST the Federal costs. If the Federal portion (75% of the total costs of the project) is $100,000, the applicant's matching costs must be at least $33,334 (25% of $133,334). Match amounts must be in whole dollars - if the 25% results in cents, please round up (for example, a calculated 25% match of $24,414.29 should be rounded up to $24,415). Applicants are encouraged to utilize the cost share calculator found on this website in determining matching funds.

Q: Can you provide further guidance on what costs are allowed as part of the non-Federal match (i.e., cost share)?

A: Here are some general guidelines for calculating non-Federal matches:

By definition, all contributions are cash because they represent direct costs to the applicant. "In kind" contributions are non-cash contributions from third parties (i.e., anyone other than the applicant).

Non-Federal contributions towards a match, including cash and third party in-kind, are acceptable when such contributions for matches meet all of the following criteria:

1. Are verifiable from the applicant's records (i.e. a log of volunteer hours, copies of donation receipts, etc.)
2. Are not included as non-Federal matching contributions for any other Federally-assisted project or program (including other Prescott awards).
3. Are necessary and reasonable for accomplishment of project objectives.
4. Are allowable under the Federal grants administrative requirements and Federal cost principles. For further explanation of the Federal grants requirements and cost principles, please refer to the Grants Management Circulars website or call a Fisheries Specialist in the NOAA Grants Management Division (301 713-0922).
5. Are not paid by the Federal government under another award, except where authorized.

Values for applicant contributions of services and property are established in accordance with the applicable cost principles. Call a Fisheries Specialist in the Grants Management Division if you have questions about cost principles (301 713-0922). Unrecovered indirect costs may be included as part of non-Federal matching only with the prior approval of the Grants Officer.

Volunteer services furnished by professional and technical personnel, consultants, and other skilled and unskilled labor may be counted as non-Federal matching if the service is an integral and necessary part of an approved project. Rates for volunteer services shall be consistent with those paid for similar work in the recipient's organization (documentation of consistent salaries is helpful and may be necessary). Paid fringe benefits that are reasonable may also be included in the valuation. Volunteer services have to be documented and supported by the same methods used by the recipient for paid employees. When an employer (other than the grant recipient) furnishes the services of an employee (e.g., a university professor is allowed to conduct activities as the research director of a private stranding network organization during his work hours), these services shall be valued at the employee's regular rate of pay (plus an amount of fringe benefits that are reasonable, but exclusive of overhead costs), provided these services are in the same skill for which the employee is normally paid.

Supplies may be donated as non-Federal matching and can include such items as expendable equipment, office supplies, laboratory supplies or workshop and classroom supplies. The value assessed has to be reasonable and may not exceed fair market value at the time of the donation.

Equipment may also be donated as non-Federal matching and may not exceed its fair market value. In addition, loaned equipment may not exceed its fair rental value at time of donation.

If space is donated as part of the non-Federal match, the cost cannot exceed the fair rental value of comparable space as established by an independent appraisal of comparable space and facilities.

Q: What kind of "construction costs" can be included in a proposal for a Prescott Grant?

A: For the Prescott Grant Program allowable costs for construction include build-outs, alterations, upgrades and renovations to facilities. If construction costs are included, the proposal must answer the following questions that will allow the program office to determine whether the proposed costs are allowable, reasonable, and necessary:

1. Is the type of construction/renovation allowed under this program?
2. Is the construction/renovation described?
3. Is the method of cost calculation described?
4. Are the proposed costs presented in sufficient detail, including the following narratives: a list of work to be performed; a cost detail by task or work order contemplated; and a spending plan with time lines for entire proposed project period.
5. Is the work being done by the applicant or outside contractors?
6. Is there a need for the type of work/costs being proposed?
7. Is there a narrative of cost estimates? Is there documentation to support cost estimates?
8. Are the costs justified, reasonable and allowable? Verify costs proposed to quotes received. (Generally, the presence of more than one bid facilitates program evaluation of reasonableness.)

In addition, if contractual (or subgrant) arrangements will be used to fulfill all or part of the construction work, the following checklist should be used in development of the proposal:

1. Is each contract or subgrant listed as a separate item? Separate budgets are required for subgrants or contracts regardless of the dollar value.
2. Are the products/services to be acquired described along with the applicability of each to the project?
3. Do the costs appear reasonable?
4. Are any sole source contracts contemplated?
5. If yes, is a sole source justification included with the application which describes why the proposed sole source entity is the only source capable of meeting the applicant's project needs?
6. Are disallowed costs excluded?
7. Contingency or miscellaneous charges cannot be included.
8. Are there contracts with non-US organizations?

Q: The non-Federal match, or cost share, can consist of in-kind services and cash. What does "in-kind cost share" mean?

A: An in-kind cost share is a non-cash contribution, donated or loaned, by a third party to the applicant which the applicant is using as part of their non-Federal match. In general, the value of in-kind services or property used to fulfill a non-Federal match will be the fair market value of the services or property. Thus, the value is determined by the cost of obtaining such services or property if they had not been donated, or of obtaining such services or property for the period of the loan. The applicant must document the in-kind services or property used to fulfill the non-Federal match and give a dollar amount for all in-kind contributions. If we decide to fund a proposal, we will require strict accounting of the in-kind contributions within the total non-Federal match included in the award document. The Grants Officer (i.e., the Department of Commerce official responsible for all business management and administrative aspects of a grant and with delegated authority to award, amend, administer, close out, suspend, and/or terminate awards) is the final approving authority for the award, including the budget and any non-Federal matching proposals.

Research Permits:

Q: What type of research would be considered beyond the scope of normal stranding network activities and beyond the authority of a Regional Administrator letter, thereby possibly requiring a research permit?

A: If the proposed project involves intrusive research (defined in 50 CFR 216.3 and 216.27(c)(6), and described below) or if animals must be held after rehabilitation has been completed, the applicant must also obtain an MMPA and/or ESA scientific research or enhancement permit before the proposal will be considered for funding. Intrusive research activities include procedures conducted for bona fide scientific research involving: a break in or cutting of the skin or equivalent, insertion of an instrument or material into an orifice, introduction of a substance or object into the animals' immediate environment that is likely either to be ingested or to contact and directly affect animal tissues (i.e., chemical substances), or a stimulus directed at animals that may involve a risk to health or welfare or that may have an impact on normal function or behavior (i.e., audio broadcasts directed at animals that may affect behavior or brainstem auditory evoked responses). In the case of animals undergoing rehabilitation, intrusive research includes any procedure (including medical procedures) performed in addition to the normal diagnostic or treatment regimes for animals in rehabilitation for purposes of scientific research. For animals deemed releasable, but that will be held after rehabilitation, intrusive research includes any procedure as defined above.

You may use the pre-application guide at http://apps.nmfs.noaa.govto help determine if your work will require additional permits or approvals.

Q: What are the steps for obtaining a permit to conduct research on marine mammals that are being rehabilitated?

A: Intrusive research on live animals that is not part of the normal diagnostic or treatment regimes for animals in rehabilitation requires a MMPA or ESA research or enhancement permit. If you are performing intrusive research on marine mammals in rehabilitation status, the rehabilitation (i.e., animal care) facility must either have applied for APHIS registration or already be an APHIS-registered research facility. Please refer to the APHIS web site for questions regarding the registration process. For projects involving these types of activities, the proposal package must include either the application letter to APHIS or proof of APHIS registration.

Q: I have applied for an ESA and/or MMPA research or enhancement permit and/or an APHIS research facility registration; however, my permit and/or registration has not yet been issued. Can I apply for a Prescott award without the final permit or registration? If my project is selected for funding in 2008, can the award funds be held up or denied because the MMPA/ESA research permit or facility registration is not yet granted?

A: It is the applicant's responsibility to obtain all necessary Federal permits and approvals. In order to determine whether such permits and approvals have been obtained or requested, the applicant must include in the proposal package either: 1) an application cover letter from the Prescott applicant to the appropriate authorizing entity requesting permits (e.g., MMPA scientific research permit, etc.) or approvals (e.g., Institutional Animal Care and Use Committee (IACUC) review, etc.), or 2) a copy of the final permit or approval. As long as this documentation is submitted as part of the proposal package, an application can still be reviewed and even be selected for a Prescott award prior to finalization of the permit or research facility registration. However, funds may not be released to recipients (i.e. if your proposal is selected for funding) until proper permits or registration have been obtained.

Program Funding Priorities:

Q: What guidelines can be used to assist applicants that are addressing priorities related to upgrading existing facilities in anticipation of the new standards?

A: The MMHSRP has issued interim guidance for marine mammal rehabilitation facilities. These guidelines will remain interim guidance until the finalization of the Programmatic Environmental Impact Statement, expected to be completed in the summer of 2007. While minor changes may be made to the document prior to it becoming final, applicants are encouraged to use it as guidance.

In addition to this document, the Animal Plant and Health Inspection Service (APHIS) marine mammal regulations may also be used as guidelines in assisting applicants addressing priorities related to upgrading existing facilities. The APHIS regulations can be found at 9 CFR Part 3, within Subpart E.

We encourage the applicant to thoroughly describe the details of the proposed facility enhancements so reviewers may assess how they fulfill minimum standard guidance.

Screening, Review, and Selection Procedures:

Q: How will the funds be equitably distributed among the Regions?

A: Funds will be equitably distributed among Regions based on recommendations of the Federal government merit review process and additional policy factors. A merit review panel, consisting of Federal representatives from each NMFS stranding region, MMHSRP staff, and the Marine Mammal Commission and the U.S. Fish and Wildlife Service if possible, will evaluate technical review comments, numeric ranking of proposals by the technical reviewers, application materials, stranding statistics by region (i.e., geographic need for proposed projects), environmental documentation provided under NEPA, and the number of applications received by region and by funding year. Equitable distribution will be determined by review of proposals by stranding region using the best available data on episodic, anomalous or unusual stranding events, average annual strandings and mortalities, sizes of marine mammal populations within each region, and number of applications received. Merit reviewers will also consider the actual stranding statistics per region for the previous 5 non-El Nino years and for the last El Nino year. After proposals are prioritized within the regions using the best available data, preference will be given to facilities within each region that have established records for rescuing or rehabilitating sick or stranded marine mammals and whose activities are planned so that they minimize any potential adverse impacts on the environment. The merit review team will prepare a written justification for any recommendations for funding that fall outside the numerical ranking (average weighted scores from the technical review), and for any cost adjustments.

As stated in the Full Funding Opportunity, an applicant may only receive a maximum of two awards per fiscal year; in recent competitions many facilities only received one award. Due to the competitive nature of the Prescott funding, and the fact that many more proposals are received than can be funded, ensuring geographic distribution of funds may require imposing limits on the amount of funds given to any single facility. However, a facility may receive two awards for several reasons, including: if both proposals are judged to be regional priorities, or if one of the awards will benefit a larger geographic area and is not specific to the applicant's immediate location.

The distribution formula chosen this year may be revised in future funding cycles. Qualified applications received during the year to address unanticipated catastrophic events will be considered for funding outside the equitable distribution review, likely on a first-come first-serve basis as emergency awards.

Additional Questions:

Q: Where in the application package should the bibliography/citation lists be placed?

A: The bibliography or citations should be placed in the Supporting Documentation section, and is not considered part of the 10-page limit. In addition, the Supporting Documentation section should include the Federal forms CD-511, SF-LLL, and CD-346, CV's, and resumes, and when applicable, permits, proof of eligibility, proof of non-profit status, negotiated indirect cost rate agreements, NEPA checklist and other environmental documentation. Any supporting documents, publications, or references that are not specifically required or mentioned in the narrative should also be placed in the Supporting Documentation section.

Q: Does post-release monitoring using satellite or VHF tags require a MMPA permit or are we allowed to do this as part of our normal rehabilitation activities?

A: Post-release monitoring of animals released directly after rehabilitation using satellite or VHF tags (attachment via standard accepted practice) to monitor the success of rehabilitation does not require an additional MMPA and/or Endangered Species Act (ESA) research and/or enhancement permit. If a non-standard or experimental tag is proposed or the tagging is part of a research project not directly related to monitoring the success of rehabilitation, then a MMPA and/or ESA research or enhancement permit may be required. In the 2008 cycle, no Prescott Grant Program funds will go towards basic scientific research on non-stranded marine mammals (i.e., wild population studies).

Q: The research proposal that is being submitted requires receiving samples or analyses from a NMFS employee. How much help can I get from this NMFS researcher to finalize my application?

A: The NMFS employee cannot help you with study design, hypothesis development, justification for work, or writing of the actual proposal. However, they can be listed as a Cooperator, give you a list of samples that could be collected and a list of analyses (including associated costs and timelines) that you could use in your application. They can also provide you with the write-up on the methods of collection or analyses that are being used to complete this research collaboration. You must identify in the budget justification which costs are to be used by the Federal employee for their collection or analyses (and such costs cannot be part of the in-kind or matching component of the grant).