[Federal Register: December 4, 2001 (Volume 66, Number 233)]
[Notices]
[Page 63019-63025]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04de01-41]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No.000817236-1268-03; I.D. 100401C]
General Grant Administration Terms and Conditions of the Coastal
Ocean Program: Announcement of Opportunity
AGENCY: Center for Sponsored Coastal Ocean Research/Coastal Ocean
Program (CSCOR/COP), National Ocean Service (NOS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Notice for financial assistance and funding opportunity for
project grants and cooperative agreements.
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SUMMARY: It is the intent of NOAA/NOS/CSCOR/COP to provide direct
financial assistance in the form of discretionary research grants and
cooperative agreements under its program for the management of coastal
ecosystems. This document describes the general grant administration
terms and conditions of the CSCOR/COP program for fiscal year 2002.
Additionally, this document solicits proposals under program elements,
(b) Cumulative Coastal Impacts and (d) Synthesis and Ecological
Forecasting, described in this notice. It is the CSCOR/COP's intent to
also issue supplemental Announcements of Opportunities (AOs) to request
proposals on specific projects throughout the year on an as-needed
basis. Any future AOs will be issued through the Federal Register.
Information regarding these announcements will be made available on the
CSCOR/COP Internet Site and CSCOR/COP's e-mail list. These
announcements will provide specific program descriptions.
CSCOR/COP supports research on critical issues that exist in the
Nation's estuaries, coastal waters, and the Great Lakes and translates
research findings into accessible information for coastal managers,
planners, lawmakers, and the public. CSCOR/COP's projects are multi-
disciplinary, large in scale, and long in duration (usually 3 to 5
years.) Projects covering more than 1 year will usually be funded on an
annual basis.
DATES: Effective December 4, 2001. Proposals for multiple stressors
projects will be due by 3 p.m. e.s.t. on February 19, 2002. Proposals
for synthesis projects will be due by 3 p.m. e.s.t. on March 5, 2002.
The deadline for receipt of proposals is firm. Note that late-arriving
applications provided to a delivery service, on or before the day prior
to the closing date, with delivery guaranteed before 3 p.m. e.s.t. on
the closing date, will be accepted for review if the applicant can
document that the application was provided to the delivery service with
delivery to the address listed below (see ADDRESSES) guaranteed prior
to the specified closing date and time; and in any event, the proposals
are received in the COP office no later than 2 business days following
the closing date.
ADDRESSES: Center for Sponsored Coastal Ocean Research/Coastal Ocean
Program, National Oceanic and Atmospheric Administration, 1305 East
West Highway, Room 8243, Silver Spring, MD 20910-3281. Proposals for
synthesis should be mailed to the address above, attn. SYNTHESIS.
Proposals for multiple stressor studies should be mailed to the address
above, ATTN: MULTISTRESS.
FOR FURTHER INFORMATION CONTACT: Technical information for synthesis
proposals: Elizabeth Turner, (603) 862-4680, e-mail:
Elizabeth.Turner@noaa.gov.
Technical information for cumulative stressors: Kenric Osgood,
(301) 713-3338/x163, e-mail: Kenric.Osgood@noaa.gov.
[[Page 63020]]
Business Management Information: Leslie McDonald, CSCOR/COP Grants
Administrator,(301)713-3338/x155, e-mail Leslie.McDonald@noaa.gov.
SUPPLEMENTARY INFORMATION:
Electronic Access
NOAA and COP Standard Form Applications with instructions are
accessible on the COP Internet site (http://www.cop.noaa.gov) under the
COP Grants Support Section, Part D, Application Forms for Initial
Proposal Submission. Forms may be viewed, and in most cases, filled in
by computer. All forms must be printed, completed, and mailed to CSCOR/
COP with original signatures. Blue ink for original signatures is
recommended but not required. If you are unable to access this
information, you may call CSCOR/COP at 301-713-3338 to leave a mailing
request.
General information about the COP's projects and publications is
also available on the CSCOR/COP Internet Site. For information
concerning the NOAA Coastal Ocean Program Decision Analysis Series
reports, see: http://www.cop.noaa.gov/pubs/das.html.
Background
Program Description
NOAA's CSCOR/COP provides predictive capability for managing
coastal ecosystems through sponsorship of research. CSCOR/COP seeks to
deliver the highest quality science in a timely manner for important
coastal decisions. It supports research on critical issues that exist
in the Nation's estuaries, coastal waters, and Great Lakes and
translates its findings into accessible information for coastal
managers, planners, lawmakers, and the public. The COP also supports
educational activities at the graduate and undergraduate level to
facilitate the development of qualified professionals in the fields of
coastal science, management, and policy.
Benefits of the CSCOR/COP
Continued population pressures on the Nation's coastal areas and
ongoing changes in the environment will continue to stress our coastal
waters, bays, estuaries, and the Great Lakes. CSCOR/COP has focused on
developing information for longer range United States management and
policy at large and complex scales. CSCOR/COP research will help the
United States respond to the major challenges of the next century and
to balance the needs of economic growth with those of conserving the
environment and its coastal resources.
Program Elements
The CSCOR/COP Program Elements are listed here. Funding for some
programs may be limited to ongoing projects. Prospective applicants are
urged to check the CSCOR/COP Internet Site listed earlier under
SUPPLEMENTARY INFORMATION: Electronic Access, and future Federal
Register notices for other possible funding announcements in Program
Elements (b) and (c), listed below in this document, that may appear at
later dates.
(a) Coastal Ecosystem Oceanography. CSCOR/COP supports the
conservation and management of marine ecosystems through sponsorship of
improved ecological and oceanographic predictions for resource
management. Studies focus on (1) understanding critical processes that
control the abundance, distribution, and replenishment of fishery
resources; (2) determining critical habitat processes that influence
fishery ecosystems; and (3) quantifying ecosystem species interactions
to develop models that can be used in management decisions. Current
efforts support studies dealing with Bering Sea pollock, cod and
haddock on Georges Bank, and salmon in the Pacific Northwest.
(b) Cumulative Coastal Impacts. CSCOR/COP sponsors a series of
regional watershed projects on the causes and impacts of multiple
stresses on coastal ecosystems. Studies focus on (l) developing
indicators of stress; (2) predicting impacts of multiple stressors (3)
valuing natural resources in ecological and economical terms; and (4)
predicting the outcomes of management strategies. Current efforts are
located in Chesapeake Bay, Florida Bay and the Keys, the Great Lakes,
coastal areas of South Carolina and the Pacific Northwest, and coral
reefs in Florida and Hawaii.
At this time, proposals are requested describing comprehensive
studies of up to 5 years in duration to investigate the impacts of
multiple stresses in estuarine, coastal, or Great Lakes ecosystems. The
CSCOR/COP anticipates supporting an integrated multi-investigator,
interdisciplinary project that will develop capabilities for
understanding, predicting, and managing the effects of multiple
stressors in coastal systems. A separate announcement of availability
of funding for proposals in coral reef research (under CSCOR/COP's
Coral Reef Regional Ecosystem Study program) may be released later this
year.
Many of the estuaries, bays, and large lakes of the United States
suffer the impacts of multiple anthropogenic stressors. The most
pervasive stressors being nutrient enrichment (leading to
eutrophication), habitat modification (including benthic, water column,
and watershed changes), resource exploitation, invasive species, and
toxic contamination. In addition to anthropogenic impacts, short-term
and mesoscale environmental variability also impact coastal ecosystems.
Traditional management approaches have largely targeted single sources
of stress (e.g., nitrogen, phosphorus, toxic compounds, habitat
modification, invasive species, etc.). Scientists and resource managers
are becoming increasingly aware that management practices must address
the interaction of multiple stressors, and must be integrated over the
entire ecosystem (i.e., from watershed to receiving water bodies).
Research Objectives
The objectives that should be addressed in projects proposed under
this Program Element are: (1) quantification of the effects of
eutrophication in concert with other anthropogenic and natural
stressors; (2) identification of indicators of cumulative stress at
individual, population, and ecosystem levels; (3) evaluation of the
effectiveness of potential mitigation strategies, and (4) Extension of
the approaches, results, models and techniques developed in this
project to other coastal ecosystems.
Desirable research programs will: (1) conduct integrated studies of
the effects of multiple stressors on ecological processes within a
system; (2) examine the role of land use and watershed loadings of
these stressors; (3) model the ecological effects of natural and/or
anthropogenic stresses from the organismal to ecosystem level; and (4)
conduct an economic evaluation of present and proposed management
practices to mitigate coastal environmental stress.
Prospective applicants should refer to Part I, Requirements for
Proposal Submission, which appear later in this notice.
(c) Harmful Algal Blooms (HABs) and Hypoxia. The CSCOR/COP sponsors
studies on the ecology and oceanography of harmful algal blooms (HABs),
focusing on identifying and modeling linkages between the physiology,
ecology, behavior and toxicity of HABs and local/regional circulation
patterns and water quality. Results from these studies will improve the
general knowledge of problematic species in the U.S. coastal waters and
provide a foundation for development of regional HAB forecasting
capabilities.
[[Page 63021]]
The latter eventually providing a means to assess the effectiveness of
prevention, control, and mitigation strategies developed in the
programs. Current regional efforts are located in the Gulf of Maine,
eastern Long Island, the coastal regions of the mid-Atlantic States,
and the western coast of Florida.
Eutrophication and resulting hypoxia have become common problems
affecting living marine resources and recreational uses of coastal
waters. The CSCOR/COP supports research examining the influences of
nutrient loading, physical forcing, climate change, and extent of
hypoxic conditions (i.e., the ``dead zone'') on the ecosystem and
fisheries of the northern Gulf of Mexico.
Pending congressional appropriations, separate program
announcements for research opportunities in the ecology and
oceanography of harmful algal blooms, and the monitoring HABs and HAB
event response may be issued later this year.
(d) Synthesis and Ecological Forecasting. The CSCOR/COP is
committed to providing decision makers with high quality scientific
information and predictive tools in formats appropriate to promoting
near-term improvements in coastal ecosystem management. This
announcement solicits proposals for projects of 1 to 2 years in
duration to produce comprehensive syntheses of coastal ecosystem
research with the overall goal of developing ecological forecasting
capabilities.
The CSCOR/COP and other Federal agencies continue to support multi-
disciplinary coastal ecosystem studies to improve our understanding of
the physical, biological, and chemical processes in these complex
systems. In general, these types of large scale projects have been
committed to producing data and information products such as technical
reports, peer-reviewed publications, data bases, and numerical and
conceptual models. However, the delivery of comprehensive information
products and technologies to the appropriate management community for
application to specific coastal management issues remains the challenge
to scientific programs that have been largely focused on research.
The next step in ecosystem research is the development of
ecological forecasts, i.e., the capability to predict the effects and
interactions of environmental variability and anthropogenic stressors
on coastal ecosystems, and the impacts of management actions on
ecosystems and coastal economies.
This announcement requests proposals for projects concentrating
exclusively on the synthesis of results and information generated by
coastal ecosystem studies that have concluded, or are near completion.
The overall goal should be to advance and/or develop predictive
capabilities, i.e., ecological forecasts.
The accurate prediction of ecosystem parameters or conditions will
facilitate improved resource management decisions. Some examples of
forecasting needs include: predictive models of impacts of multiple
stressors on coastal systems, fisheries, and economies; onset,
duration, and impacts of hypoxic and/or anoxic conditions;
vulnerability to, and impacts of invasive species on, specific
ecosystems; occurrence and impacts of emerging finfish, shellfish, and
aquatic plant diseases.
For the purpose of this announcement, coastal ecosystem studies are
defined as multi-disciplinary, multi-year research programs that have
examined the effects of multiple anthropogenic stressors and/or natural
variability and events on coastal ecosystems. The COP is especially
interested in syntheses of coastal ecosystem studies that consider one
or more of the following study components: coastal stressors and
impacts (including land use and watershed loadings to receiving water
body); coastal processes and their influences on regional or national
marine resources; environmental valuation; economic impact analysis;
and risk assessment. Comparative analyses among different coastal
systems will be considered, as well as detailed syntheses that are more
regionally based. All proposed comparative analyses, syntheses, and
forecasts must have clear application to one or more coastal resource
management issues, and be tractable within the time and budget
proposed.
Some examples of synthesis products and ecological forecasts are:
case studies of regions with explicit applications to important
management issues; applications of ecosystem models to management-
generated questions; risk analysis of management scenarios; and region-
specific management recommendations based on study results. Active
transfer of technology to managers involving specialized workshops,
alternative media, or other approaches will also be considered.
Proposals should provide detailed descriptions of the management
issue(s) to be addressed, the target audience or users of the
synthesis, results and information to be integrated, approaches to
synthesis, specific information products, and predictive/forecasting
capability to be developed. Proposals must describe research results to
be used and how that information will be accessed. Synthesis could
include the identification of and justification for appropriate
variables that need to be included in long-term monitoring for the
purposes of ecological forecasting. Where appropriate, letters
indicating access to data, results, and information not yet in the
public domain and generated by investigators not named in the proposal
should be addended. Explicit identification of the end user group(s) is
required. Active participation of one or more members of the management
(or other user community) is also required; either as a co-investigator
or official collaborator.
The funding associated with this announcement is intended to
support higher order synthesis activities, not basic data
interpretation, or sample collection and analysis. It is assumed that
the subject ecosystem study has been completed or is very near
completion, and that basic results and conclusions have been documented
and/or published. No field work, monitoring, laboratory analyses, or
other new data acquisition will be considered.
Part I: Schedule and Proposal Submission
The guidelines for proposal preparation provided here are mandatory
for all proposals submitted to CSCOR/COP in response to this, and all
AOs. Proposals received after the published deadline or proposals that
deviate from the prescribed format will be returned to the sender
without further consideration. This announcement and additional
background information are available on the COP Internet Site listed
earlier under SUPPLEMENTARY INFORMATION: Electronic Access.
Proposals should describe activities for the full project period,
as specified in the Program Element description. Proposals should be
written to allow adequate review of the details of such things as
identification of the issue or problem, scientific objectives,
methodology and approaches to synthesis, description of information
products and applications, and integration and/or applications to other
projects or programs. Upon conclusion of external peer and panel merit
review, meritorious proposals will be recommended for funding.
Full Proposals
Letters of intent and/or partial proposals are not requested under
this notice. Applications submitted in response to this announcement
require an unbound original proposal and 19
[[Page 63022]]
copies at time of submission. This includes color or high-resolution
graphics, unusually-sized materials (not 8.5 inches x 11 inches, or
21.6 cm x 28 cm), or otherwise unusual materials submitted as part of
the proposal. For color graphics, submit either color originals or
color copies. The stated requirements for the number of original
proposal copies provide for a timely review process because of the
large number of technical reviewers. Facsimile transmissions and
electronic mail submission of full proposals will not be accepted.
The project description section should not exceed 20 pages. Page
limits are inclusive of figures and other visual materials, but
exclusive of references and milestone chart (as specified in Required
Elements). The type must be a clear and readily legible 12-point size
with no more than 6 lines in a vertical space of 1 inch. Margins at the
top, bottom, and each side of all pages should be a minimum of 1 inch
(2.5 cm).
Required Elements
All recipients are to follow closely the instructions and
requirements in the preparation of the standard NOAA Application Forms
and Kit requirements listed in Part II: General Grant Terms and
Conditions, paragraph (9) of this document. Each proposal must also
include the following ten elements:
(1) Standard Form 424. At time of proposal submission, all
applicants shall submit the Standard Form, SF-424 (Rev 7-97),
``Application for Federal Assistance,'' to indicate the total amount of
funding proposed for the whole project period. This form is to be the
cover page for the original proposal and all requested copies. Multi-
institutional proposals must include signed SF-424 forms from all
institutions requesting funding.
(2) Title page. The title page identifies the project's title
starting with the appropriate acronym (SYNTHESIS or MULTSTRESS, for the
two programs solicited in this announcement) a short title (50
characters), the proposed project period, and the lead principal
investigator's name, affiliation, complete address, phone, FAX, and E-
mail information. The requested funding for each fiscal year should be
included on the title page. The title page should be signed by the lead
principal investigator. Multi-investigator proposals must include the
names and affiliations of each investigator on the title page. Multi-
institution proposals must also identify the lead investigator from
each institution and the requested funding for each fiscal year for
each institution on the title page, but no signatures are needed on the
title page from the additional institutions. Lead investigator and
separate budget information is not needed on the title page for
institutions that are proposed to received funds through a subcontract
to the lead institution.
(3) One-page abstract/project summary. The Project Summary
(Abstract) Form, which is to be submitted at time of application, shall
include an introduction of the problem, rationale, scientific
objectives and/or hypotheses to be tested, and a brief summary of work
to be completed. The prescribed COP format for the Project Summary Form
can be found on the CSCOR/COP Internet site under the Grants Support
Section.
The summary should appear on a separate page, headed with the
proposal title, institution(s), principal investigator(s), total
proposed cost, and project period, and should be written in the third
person. The summary is used to help compare proposals quickly and
allows the applicants to summarize these key points in their own words.
(4) Statement of work/project description. The project description
section should not exceed 20 pages. The page limit is inclusive of
figures and other visual materials, but exclusive of references and
milestone chart (as described here). Project management should be
clearly defined with descriptions of the responsibilities and
contributions of each principal investigator (if more than one). It is
important to provide a full scientific justification for the proposed
research and approach; do not simply reiterate justifications presented
in this document. This section should include the following:
(a) The objectives for the period of proposed work and the expected
results and significance.
(b) The relation to the present state of knowledge in the field and
relation to previous work and work in progress by the proposing
principal investigator(s);
(c) A discussion of how the proposed project lends value to CSCOR/
COP Program Element objectives;
(d) Specific plans for making information products available to the
scientific and coastal management communities;
(e) A clear statement describing project management and
identification of the contributions and responsibilities of each
investigator within a team (if more than one principal investigator;
(f) Potential coordination with other investigators or
stakeholders;
(g) Intent to adhere to NOAA's specific requirements that
environmental data be submitted to the National Oceanographic Data
Center.
(5) References cited. Reference information is required. Each
reference must include the names of all authors in the same sequence in
which they appear in the publication, the article title, volume number,
page numbers, and year of publication. While there is no established
page limitation, this section should include bibliographic citations
only and should not be used to provide parenthetical information
outside of the 20-page project description.
(6) Milestone chart. Time lines of major tasks covering the
duration of the proposed project.
(7) Budget. At the time of original application, all proposers are
required to submit a COP Summary Proposal Budget Form for each fiscal
year increment (i.e., 2002, 2003, etc.). Multi-institution proposals
must include budget forms from each institution. This is in lieu of the
Standard Form 424A, ``Budget Information (Non-Construction).''
Use of the COP Summary Proposal Budget form will provide for a
detailed annual budget and the level of detail required by the COP
program staff to evaluate the effort to be invested by investigators
and staff on a specific project. This form can be found on the COP
Internet Site under Grants Support, Section D; or may be requested by
contacting the COP Grants Office listed earlier in this document under
FOR FURTHER INFORMATION CONTACT.
All applicants shall include a budget justification that supports
all proposed budget object class categories. The COP will review the
proposed budgets to determine the necessity and adequacy of proposed
costs for accomplishing the objectives of the proposed grant. The SF-
424A, Budget Information (Non-Construction) Form, is not required for
proposal submission and shall be requested from only those applicants
subsequently recommended for funding after the competitive review
process has been completed.
(8) Biographical sketch. All principal and co-investigators must
provide two-page summaries that include the following:
(a) A listing of professional and academic essentials and mailing
address;
(b) A list of up to five publications most closely related to the
proposed project and five other significant publications. Additional
lists of publications, lectures, etc., should not be included;
(c) A list of all persons (including their organizational
affiliation) in alphabetical order who have
[[Page 63023]]
collaborated on a project or publication within the last 48 months,
including collaborators on the proposal and persons listed in the
publications. If there are no collaborators, this should be so
indicated;
(d) A list of persons (including their organizational affiliation)
with whom the individual has had an association as thesis advisor or
postdoctoral scholar sponsor;
(e) A list of the names and institutions of the individual's own
graduate and postgraduate advisors.
The material presented in (c, d, and e) is used to assist in
identifying potential conflicts or bias in the selection of reviewers.
(9) Current and pending support. Describe all current and pending
support for all principal and co-investigators, including subsequent
funding in the case of continuing grants. All current support from
whatever source (e.g., Federal, state or local government agencies,
private foundations, industrial or other commercial organizations) must
be listed. The proposed project and all other projects or activities
requiring a portion of time of the principal investigator and co-
investigators should be included, even if they receive no salary
support from the project(s). The total award amount for the entire
award period covered (including indirect costs) should be shown as well
as the number of person-months per year to be devoted to the project,
regardless of source of support.
(10) Proposal format and assembly. Clamp the original proposal in
the upper left-hand corner, but leave it unbound. Use 1-inch (2.5-cm)
margins at the top, bottom, left and right of each page. Use a clear
and easily legible type face in standard 12-point size with no more
than six lines in a vertical space of 1 inch. Print on one side of each
page only. Proposals that deviate from the prescribed format will be
returned to the sender without further consideration.
Part II: General Grant Terms and Conditions
(1) Program Authority(s). 16 U.S.C 1456c, 33 U.S.C 1121 et seq.; 33
U.S.C 883a et seq.; 33 U.S.C 1442; and Pub. L. 105-383.
(2) Catalog of Federal Domestic Assistance (CFDA): 11.478 Coastal
Ocean Program.
(3) Funding Availability. On average, annual funding for each
Announcement of Opportunity is approximately $l,000,000. Each CSCOR/COP
project generally consists of several coordinated investigations with
separate awards, ranging from $5,000 to $500,000. Actual funding levels
will depend upon the final budget appropriations for the fiscal year.
Future individual AOs will be released with specific applicable dollar
amounts. It is anticipated that two to three synthesis proposals will
be funded at approximately $700,000 per year for up to 2 years, and one
to two multiple stressor projects will be funded at approximately
$1,000,000 per year for up to 5 years.
The financial history of CSCOR/COP grants, interagency agreements,
and intra-NOAA funding transfers is as follows: FY97 $10.00 million;
FY98 $8.5 million; FY99 $8.5 million, FY00 $15 million, and FY01 $15.5
million. Publication of this notice does not obligate Commerce/NOAA to
any specific award or to obligate any part of the entire amount of
funds available. Recipients and subrecipients are subject to all
Federal laws and agency policies, regulations, and procedures
applicable to Federal financial assistance awards.
If an application for a financial assistance award is selected for
funding, CSCOR/COP has no obligation to provide any additional
prospective funding in connection with that award in subsequent years.
(4) Matching Requirements. None.
(5) Type of Funding Instrument. They are project grants and
cooperative agreements, interagency agreements and transfers, and
intra-NOAA funding transfers.
In an effort to maximize the use of limited resources, applications
from non-Federal, non-NOAA Federal and NOAA applicants will be competed
against each other. Research proposals selected for funding from non-
Federal researchers will be funded through a project grant or
cooperative agreement under the terms of this notice. Research
proposals selected for funding from non-NOAA Federal applicants will be
funded through an interagency transfer, provided legal authority exists
for the Federal applicant to receive funds from another agency. PLEASE
NOTE: Before non-NOAA Federal applicants may be funded, they must
demonstrate that they have legal authority to receive funds from
another Federal agency in excess of their appropriation. Because this
announcement is not proposing to procure goods or services from the
applicants, the Economy Act (31 U.S.C. Section 1535) is not an
appropriate basis. Support may be solely through COP or partnered with
other Federal offices and agencies.
(6) Eligibility Criteria. CSCOR/COP funding opportunities are open
to all interested, qualified, non-Federal, and Federal researchers.
Eligible applicants are institutions of higher education, other non-
profits, state, local, and Indian Tribal Governments, and Federal
agencies. Researchers must be affiliated with a not-for-profit
institution, and proposals must be submitted through a not-for-profit
institution. Non-Federal researchers should comply with their
institutional requirements for proposal submission.
Non-NOAA Federal applicants will be required to submit
certifications or documentation showing that they have specific legal
authority to receive funds from the Department of Commerce (DOC) for
this research. Foreign researchers must subcontract with United States
proposers. Non-Federal researchers affiliated with NOAA-University
Joint Institutes should comply with joint institutional requirements;
they will be funded through grants either to their institutions or to
joint institutes.
Proposals deemed acceptable from Federal researchers will be funded
through a mechanism other than a grant or cooperative agreement, where
legal authority allows for such funding. DOC requirements will prevail
if there is a conflict between DOC requirements and institutional
requirements.
(7) Award Period. Typically, CSCOR/COP's projects average 1 to 5
years in length. Projects covering more than 1 year will typically be
funded on an annual basis. Projects submitted under Program Element (b)
can be up to 5 years in duration; projects submitted under Program
Element (d) should be 1 to 2 years in duration.
(8) Application Forms. When applying for financial assistance under
a published AO, applicants will be able to obtain both the standard
NOAA application forms and COP-specific application forms at the COP
Internet Site. Forms may be viewed and, in most cases, filled in by
computer. All forms must be printed, completed, and mailed to CSCOR/COP
with original signatures. Blue ink is suggested, but not required. If
you are unable to access this information, you may also call (301)713-
3338 to leave a mail request. At time of submission, the applicant will
follow the proposal requirements presented in the funding announcement.
At time of original application for financial assistance, all
proposers are required to submit the Standard Form 424 (Rev July 1997),
``Application for Federal Assistance'' and a COP Summary Proposal
Budget Form for each fiscal year increment in lieu of the Standard Form
424A (Rev July 1997), ``Budget Information for Non-Construction
Programs.'' Applicants shall also include a budget narrative/
[[Page 63024]]
justification that supports all proposed budget categories. The SF-424A
shall be requested only from those recipients subsequently recommended
for award.
Multi-institution proposals must include COP Summary Proposal
Budget Forms from each institution. Applications not adhering to these
stated guidelines will be returned to the applicant without further
review.
In addition, other forms required as part of a complete application
package from only those recipients subsequently recommended for award
include: the Standard Form 424-B, ''Assurances for Non-Construction
Programs''; the CD-511, ``Certifications Regarding Debarment,
Suspension and Other Responsibility Matters; Drug-Free Workplace
Requirements and Lobbying''; the CD-512, ``Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier
Covered Transactions and Lobbying'' (this certification is to remain
with the recipient and is not forwarded to the Grants Officer); and the
SF-LLL,''Disclosure of Lobbying Activities'' (if applicable).
(9) Project Funding Priorities. Priority considerations will be
given to proposals that promote balanced coverage of the science
objective stated in this and later AOs; avoid duplication of completed
or ongoing work, and increase geographic diversity. Additional and/or
other priorities may be detailed in other CSCOR/COP AOs.
(10) Evaluation Criteria. Unless otherwise stated in an individual
funding announcement, the following criteria and evaluation weightings
will be used for evaluating both solicited and unsolicited proposals:
(a) Scientific Merit (20 percent). Intrinsic scientific value of
the proposed work and the likelihood that it will lead to fundamental
advancements, new discoveries or will have substantial impact on
progress in that field;
(b) Research Performance Competence (20 percent). Capability of the
investigator and collaborators to complete the proposed work as
evidenced by past research accomplishments, previous cooperative work,
timely communication, and the sharing of findings, data, and other
research products;
(c) Relevance (20 percent). Likelihood that the research will make
substantial contributions or develop products leading to improved
management of coastal resources;
(d) Technical Approach (20 percent). Presence of focused science
objectives and completeness and efficiency of the strategy for making
measurements and observations in support of the objectives. The
approach is sound and logically planned throughout the cycle of the
proposed work;
(e) Linkages (10 percent). Adequacy of connections to existing or
planned studies, or demonstrated cooperative arrangements to provide or
use data or other research results to achieve the objectives.
(f) Costs (10 percent): Adequacy of the proposed resources to
accomplish the proposed work, and the appropriateness of the requested
funding with respect to the total available funds.
(l1) Selection Procedures. All proposals will be evaluated and
scored individually in accordance with the assigned weights of the
above evaluation criteria by independent peer mail review and/or by
independent peer panel review. Both Federal and non-Federal experts in
the field may be used in this process. The peer mail reviewers will be
several individuals with expertise in the subjects addressed by
particular proposals. Each mail reviewer will see only certain
individual proposals within his or her area of expertise, and score
them individually on a scale of one to five, where scores represent
respectively: Excellent (1), Very Good (2), Good (3), Fair (4), and
Poor (5).
The peer panel will comprise 6 to 12 individuals, with each
individual having expertise in a separate area, so that the panel as a
whole, covers a range of scientific expertise. The panel will have
access to all mail reviews of proposals, and will use the mail reviews
in discussion and evaluation of the entire slate of proposals. No
consensus advice will be given by the independent peer mail review or
the review panel.
The program officer(s) will neither vote or score proposals as part
of the independent peer panel nor participate in discussion of the
merits of the proposal. Those proposals receiving an average panel
score of ``Fair'' or ``Poor'' will not be given further consideration,
and proposers will be notified of non-selection.
For the proposals rated by the panel as either ``Excellent,''
``Very Good,'' or ``Good'', the program officers will (a) select the
proposals to be recommended for funding by applying the project funding
priorities listed earlier in this section, paragraph (9) Project
Funding Priorities; and specific objectives published in the AO; (b)
determine the total duration of funding for each proposal; and (c)
determine the amount of funds available for each proposal. As a result
of consideration of the project funding priorities, awards may not
necessarily be made in rank order. Recommendations for funding are then
forwarded to the selecting official, the Director of CSCOR/COP.
Investigators may be asked to modify objectives, work plans or
budgets, and provide supplemental information required by the agency
prior to the award. When a decision has been made (whether an award or
declination), verbatim anonymous copies of reviews and summaries of
review panel deliberations, if any, will be made available to the
proposer. Declined applications will be held in the CSCOR/COP for the
required five years in accordance with the current retention
requirements, and then destroyed.
(12) Award Conditions. Institutions accepting awards agree to meet
programmatic award conditions as specified by NOAA and CSCOR/COP. Those
conditions include:
(a) Submission of annual progress reports, comprehensive final
reports, and semi-annual financial reports as outlined on the CSCOR/COP
Internet Site.
(b) All environmental data and associated metadata furnished in
electronic format to the National Oceanographic Data Center (NODC).
Refer to (13) Other Requirements, paragraph (c), Data Archiving,
referenced later in this document.
(c) All mathematical model code, parameters, and guidelines
developed as a result of a CSCOR/COP award must be made available in
electronic format to the CSCOR/COP Program Manager. Refer to (13) Other
Requirements, paragraph (c), Data Archiving, referenced later in this
document.
(d) Copies of all technical reports and publications resulting from
a CSCOR/COP award will be forwarded to the CSCOR/COP.
(13) Other Requirements. (a) The Department of Commerce Pre-Award
Notification Requirements for Grants and Cooperative Agreements
contained in the Federal Register (66 FR 49917-49922, Volume 190,
October 1, 2001) are applicable to this solicitation.
(b) Intergovernmental Review. Applications under this program are
not subject to Executive Order l2372, ``Intergovernmental Review of
Federal Programs.'' It has been determined that this notice is not
significant for purposes of E.O. 12866. Because notice and comment are
not required under 5 U.S.C. 553, or any other law, for this notice
relating to public property, loans, grants benefits or contracts (5
U.S.C. 553(a)), a Regulatory Flexibility Analysis is not required and
has not been prepared for this notice, 5 U.S.C. 603(a). It has been
determined that this notice does not contain policies with
[[Page 63025]]
Federalism implications as that term is defined in E.O. 13132.
(c) Data Archiving. Any data collected in projects supported by
CSCOR/COP must be delivered to a National Data Center (NDC), such as
the National Oceanographic Data Center (NODC), in an electronic format
to be determined by the institution, the NODC, and Program Officer. It
is the responsibility of the institution for the delivery of these
data; the DOC will not provide additional support for delivery beyond
the award. Additionally, all biological cultures established, molecular
probes developed, genetic sequences identified, mathematical models
constructed, or other resulting information products established
through support provided by CSCOR/COP must be made available to the
general research community at no or modest handling charge (to be
determined by the institution, Program Officer, and DOC). For more
details, refer to CSCOR/COP data policy posted at the COP home page.
(d) Please note that NOAA is developing a policy on internal
overhead charges, NOAA scientists considering submission of proposals
should contact the appropriate CSCOR/COP Program Manager for the latest
information.
(e) This notification involves collection-of-information
requirements subject to the Paperwork Reduction Act. The use of
Standard Forms 424, 424A, 424B, and SF-LLL have been approved by the
Office of Management and Budget (OMB) under control numbers 0348-0043,
0348-0044, 0348-0040 and 0348-0046.
The following requirements have been approved by OMB under control
number 0648-0384; a Summary Proposal Budget Form (30 minutes per
response), a Project Summary Form (30 minutes per response), a
standardized format for the Annual Performance Report (5 hours per
response), a standardized format for the Final Report (10 hours per
response), and the submission of up to 20 copies of proposals (10
minutes per response). The response estimates include the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding this burden estimate
or any other aspect of this collection of information, including
suggestions for reducing this burden, to Leslie.McDonald@noaa.gov.
Copies of these forms and formats can be found on the COP home page
under Grants Support sections, Parts D and F.
Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with a collection of information subject to the requirements
of the Paperwork Reduction Act, unless that collection displays a
currently valid OMB control number.
Dated: November 28, 2001.
Jamison S. Hawkins,
Deputy Assistant Administrator for Ocean Services and Coastal Zone
Management.
[FR Doc. 01-29996 Filed 12-3-01; 8:45 am]
BILLING CODE 3510-JS-S
CSCOR FY 2002 General Federal Register Notice