[Federal Register Volume 63, Number 57 (Wednesday, March 25, 1998)]
[Pages 14432-14434]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-7717]



Office of Energy Research

Energy Research Financial Assistance Program Notice 98-15; 
Integrated Assessment of Global Climate Change Research Program

AGENCY: U.S. Department of Energy.

ACTION: Notice inviting research grant applications.


SUMMARY: The Office of Biological and Environmental Research (OBER) of 
the Office of Energy Research (ER), U.S. Department of Energy (DOE), 
hereby announces its interest in receiving applications for the 
Integrated Assessment of Global Climate Change Program. This notice is 
a follow on to four previous notices published in the Federal Register 
(Notice 93-4 published December 9, 1992, entitled Economics of Global 
Change Research Program; Notice 95-12 published December 29, 1994, 
entitled Global Change Assessment Research Program; Notice 96-06 
published January 30, 1996, entitled Global Change Integrated 
Assessment Research, and Notice 97-06 published February 11, 1997, 
entitled Integrated Assessment of Global Climate Change Research 
Program). The research program supports the Department's Global Change 
Research Program, the U.S. Global Change Research Program and the 
Administration's goals to understand and mitigate the rise in 
greenhouse gases.

DATES: Applicants are encouraged (but not required) to submit a brief 
preapplication for programmatic review. All preapplications, 
referencing Program Notice 98-15, should be received by DOE by 4:30 
P.M., E.D.T. April 20, 1998, but early submission of preapplications is 
encouraged to allow time for meaningful dialogue.
    The deadline for receipt of formal applications is 4:30 p.m., 
E.D.T., May 21, 1998, to be accepted for merit review and to permit 
timely consideration for award in fiscal year 1998 and early fiscal 
year 1999.

ADDRESSES: Preapplications, referencing Program Notice 98-15, should be 
sent E-mail to [email protected].
    Formal applications, referencing Program Notice 98-15, should be 
sent to: U.S. Department of Energy, Office of Energy Research, Grants 
and Contracts Division, ER-64, 19901 Germantown Road, Germantown, MD 
20874-1290, ATTN: Program Notice 98-15. This address must also be used 
when submitting applications by U.S. Postal Service Express Mail or any 
other commercial overnight delivery service, or when hand-carried by 
the applicant.

FOR FURTHER INFORMATION CONTACT: Dr. John Houghton, Environmental 
Sciences Division, ER-74, Office of Biological and Environmental 
Research, Office of Energy Research, U.S. Department of Energy, 19901 
Germantown Road, Germantown, MD 20874-1290, telephone: (301) 903-8288, 
E-mail: [email protected], fax: (301) 903-8519. The full text 
of Program Notice 98-15 is available via the Internet using the 
following web site address: http://www.er.doe.gov/production/grants/
fr98__(1 times) 15.html.

SUPPLEMENTARY INFORMATION: The determination of energy policy, such as 
the administration's analysis of international protocols for global 
climate change, is tied to understanding the benefits and costs of 
potential actions with respect to the control of greenhouse gases and 
possible climate change. The research described in this notice supports 
the analysis of those benefits and costs.
    A theme common to the research topics supported by this program is 
the support of integrated assessment of global climate change. 
Integrated assessment of climate change is defined here as the analysis 
of climate change from the cause, such as greenhouse gas emissions, 
through impacts, such as changed energy requirements for space 
conditioning due to temperature changes. Integrated assessment is 
sometimes, but not always, implemented as a computer model. It 
evaluates the benefits and costs, not necessarily measured monetarily, 
for various actions to mitigate global climate change. A description of 
integrated assessment may be found in Chapter 10: ``Integrated 
Assessment of Climate Change: An Overview and Comparison of Approaches 
and Results,'' in Climate Change 1995: Economic and Social Dimensions 
of Climate Change, edited by Bruce, James P.; Lee, Hoesung; and Haites, 
Erik F., Cambridge University Press, 1996.
    This research will be judged in part on its potential to improve 
and/or support the analytical basis for policy development. The program 
is narrowly focused and will primarily concentrate support on the 
topics described below. Applications that involve development

[[Page 14433]]

of analytical models and computer codes will be judged partly on the 
basis of proposed tasks to prepare documentation and make the models 
and codes available to other groups.
    The following is a list of topics that are high priority. Topics 
proposed by principal investigators that fall outside this list will 
need strong justification.

A. Technology Innovation and Diffusion

    This category has been a primary focus of the Integrated Assessment 
of Global Climate Change Program since its initiation five years ago. 
Potential research projects include such issues as:
     Decomposing the effect of technology innovation and 
diffusion on carbon emissions into such components as changes in GDP, 
sectoral mix, innovation, and diffusion. Historical records might be 
used to estimate trends and make projections that vary as a function of 
price effects and policy options.
     Technology innovation and diffusion is an important part 
of several aspects of integrated assessment models, such as backstop 
technologies, adaptation, resource depletion, labor productivity, and 
substitution parameters for shifting factor shares. Investigations 
might include studies to help predict changes in these parameters both 
for a base case and for various policy options, as well as studies to 
analyze the internal consistency among these aspects.
     The rate and nature of technology diffusion from the OECD 
to developing countries is not well understood. Relevant factors 
include the prediction of the energy-use path for developing countries, 
the effects of changes in international trade policies and patterns, 
and carbon leakage.
     The translation of existing literature on the economics of 
technology innovation into a representation that could be adapted for 
IA models.
     Investment or other policies to encourage research and 
development are options for increasing abatement and improving 
adaptation. Research in this topic would investigate such subjects as 
evaluating the effectiveness of alternative modes of implementation, 
such as direct grants or cooperative research projects. How does 
technology innovation and diffusion happen, and how can we improve it?

B. Emissions Trading

    The recent Kyoto protocol has heightened the need to understand the 
issues involved in implementing emission trading procedures. An 
underlying question is to design trading procedures so that actions are 
encouraged that are as coincidental with the goals of the agreement as 
possible. Research in this area would include theoretical work on 
emissions trading as well as applied. Such practical factors include:
     What institutional factors need to be considered? What 
role should be played by national governments? Which set of 
institutions should be regulated (for example, utilities, distributors, 
     In what way should emission trading be phased in?
     What differences are there between CO2 and the 
five other greenhouse gases?
     How flexibly can the emissions trading practices be 
designed? How well will the practices accommodate changes in targets, 
country participation, institutional design, or relative weights among 
the gases?

C. Supply Curves for Non-CO2 Greenhouse Gases

    The Kyoto protocol has included five greenhouse gases other than 
CO2: CH4, N2O, CFC-11, HCFC-22, and 
CF4. The ``supply curves'' (emission scenarios) for the 
other five gases are much more poorly understood than the supply curve 
for CO2. This research topic would provide information on 
global emissions of the other five gases under business-as-usual 
scenarios as well as under plausible alternative scenarios that would 
result from policy actions.

D. Supply Curves for Land Use

    The Kyoto protocol highlighted land use mitigation as an important 
policy option. Carbon dioxide emissions as a function land use 
practices are more poorly approximated than emissions from combustion 
of fossil fuels. Research funded under this topic would develop new 
information on global carbon dioxide emissions from various land use 
scenarios, including forests and agricultural lands. The emphasis is on 
global scale estimates, perhaps regionally disaggregated. What 
potential is there for enhancing CO2 uptake? What changes in 
the global carbon balance could be expected from policy options?

E. Representation of Carbon Management Technologies

    Current integrated assessment models include representations of 
well-known technologies and forecast changes in those technologies into 
the distant future. However, in general, the models do not represent 
with as much reliability forecasts of innovative technology changes 
that might be due to new research and technologies that reduce 
atmospheric concentrations of carbon dioxide. Research is ongoing that 
will improve our understanding and ability to develop innovative clean 
energy sources that will emit less carbon dioxide to the atmosphere. 
Such developments may rely on the use of fossil fuels and carbon 
sequestration in the oceans or deep subsurface. New modes of supplying 
and using substantial amounts of energy, such as hydrogen and fuel 
cells, may alter future energy, emission, and economy parameters 
substantially. Research in this topic would identify reasonable 
technology scenarios that will guide the integrated assessment 
predictions of energy, fossil fuel use, costs, emissions, and so forth, 
in response to various policy options.

Program Funding

    It is anticipated that up to $1 million will be available for 
multiple awards to be made in FY 1998 and early FY 1999 in the 
categories described above, contingent on the availability of 
appropriated funds. Applications may request project support up to 
three years, with out-year support contingent on the availability of 
funds, progress of the research, and programmatic needs. Annual budgets 
are expected to range from $30,000 to $150,000 total costs.


    Applicants are encouraged to collaborate with researchers in other 
institutions, such as: universities, industry, non-profit 
organizations, federal laboratories and FFRDCs, including the DOE 
National Laboratories, where appropriate, and to incorporate cost 
sharing and/or consortia wherever feasible.
    Collaborative research applications may be submitted in several 
    (1) When multiple private sector or academic organizations intend 
to propose collaborative or joint research projects, the lead 
organization may submit a single application which includes another 
organization as a lower-tier participant (subaward) who will be 
responsible for a smaller portion of the overall project. If approved 
for funding, DOE may provide the total project funds to the lead 
organization who will provide funding to the other participant via a 
subcontract arrangement. The application should clearly describe the 
role to be played by each organization, specify the managerial 
arrangements and explain the advantages of the multi-organizational 
    (2) Alternatively, multiple private sector or academic 
organizations who intend to propose collaborative or joint research 
projects may each prepare a

[[Page 14434]]

portion of the application, then combine each portion into a single 
integrated scientific application. A separate Face Page and Budget 
Pages must be included for each organization participating in the 
collaborative project. The joint application must be submitted to DOE 
as one package. If approved for funding, DOE will award a separate 
grant to each collaborating organization.
    (3) Private sector or academic organizations who wish to form a 
collaborative project with a DOE FFRDC may not include the DOE FFRDC in 
their application as a lower-tier participant (subaward). Rather, each 
collaborator may prepare a portion of the proposal, then combine each 
portion into a single, integrated scientific proposal. The private 
sector or academic organization must include a Face Page and Budget 
Pages for its portion of the project. The FFRDC must include separate 
Budget Pages for its portion of the project. The joint proposal must be 
submitted to DOE as one package. If approved for funding, DOE will 
award a grant to the private sector or academic organization. The FFRDC 
will be funded, through existing DOE contracts, from funds specifically 
designated for new FFRDC projects. DOE FFRDCs will not compete for 
funding already designated for private sector or academic 
organizations. Other Federal laboratories who wish to form 
collaborative projects may also follow guidelines outlined in this 


    A brief preapplication may be submitted. The preapplication should 
identify on the cover sheet the institution, Principal Investigator 
name, address, telephone, fax and E-mail address, title of the project, 
and the field of scientific research. The preapplication should consist 
of a two to three page narrative describing the research project 
objectives and methods of accomplishment. These will be reviewed 
relative to the scope and research needs of the Integrated Assessment 
of Global Climate Change Research Program.
    Preapplications are strongly encouraged but not required prior to 
submission of a full application. Please note that notification of a 
successful preapplication is not an indication that an award will be 
made in response to the formal application.
    Applications will be subjected to scientific merit review (peer 
review) and will be evaluated against the following evaluation criteria 
listed in descending order of importance as codified at 10 CFR 
    1. Scientific and/or Technical Merit of the Project,
    2. Appropriateness of the Proposed Method or Approach,
    3. Competency of Applicant's Personnel and Adequacy of Proposed 
    4. Reasonableness and Appropriateness of the Proposed Budget.
    The evaluation will include program policy factors such as the 
relevance of the proposed research to the terms of the announcement and 
an agency's programmatic needs. Note, external peer reviewers are 
selected with regard to both their scientific expertise and the absence 
of conflict-of-interest issues. Non-federal reviewers may be used, and 
submission of an application constitutes agreement that this is 
acceptable to the investigator(s) and the submitting institution.
    Information about the development and submission of applications, 
eligibility, limitations, evaluation, selection process, and other 
policies and procedures may be found in 10 CFR Part 605, and in the 
Application Guide for the Office of Energy Research Financial 
Assistance Program. Electronic access to the Guide and required forms 
is made available via the World Wide Web at: http://www.er.doe.gov/
production/grants/grants.html. The research project description must be 
15 pages or less, exclusive of attachments and must contain an abstract 
or summary of the proposed research. On the ER grant face page, form 
DOE F 4650.2, in block 15, also provide the PI's phone number, fax 
number and E-mail address. Attachments include curriculum vitae, a 
listing of all current and pending federal support, and letters of 
intent when collaborations are part of the proposed research.
    Although the required original and seven copies of the application 
must be submitted, researchers are asked to submit an electronic 
version of their abstract of the proposed research in ASCII format and 
their E-mail address to Karen Carlson by E-mail at 
[email protected]. Curriculum vitae should be submitted in a 
form similar to that of NIH or NSF (two to three pages), see for 
example: http://www.nsf.gov:80/bfa/cpo/gpg/fkit.htm#forms-9.
Related Funding Opportunities
    Investigators may wish to obtain information about the following 
related funding opportunities:
National Oceanic and Atmospheric Administration
    Within the context of its Economics and Human Dimensions of Climate 
Fluctuations Program, the Office of Global Programs of the National 
Oceanic and Atmospheric Administration will support research that 
identifies and analyzes social and economic impacts associated with 
seasonal, year-to-year, and intradecadal climate variability; improves 
our understanding of factors that determine human vulnerability to such 
fluctuations; and identifies options for reducing vulnerability. The 
program is particularly interested in learning how advanced climate 
information (e.g., ENSO-based probabilistic climate forecasts), as well 
as an improved understanding of current coping mechanisms, could be 
used for reducing vulnerability and providing for more efficient 
adjustment to these variations. Notice of this program is included in 
the Program Announcement for NOAA's Climate and Global Change Program, 
which is published each spring in the Federal Register. The deadline 
for proposals to be considered in Fiscal Year 1999 is expected to be in 
late summer 1998. For further information, contact: Caitlin Simpson; 
Office of Global Programs; National Oceanic and Atmospheric 
Administration; 1100 Wayne Ave., Suite 1225; Silver Spring, MD 20910; 
telephone: (301) 427-2089, ext. 47; Internet: [email protected].
Environmental Protection Agency
    In 1998 the Environmental Protection Agency will support research 
on ``Indicators of Global Climate Change.'' Related requests for 
assistance that are currently advertised on the EPA home page include 
``Ecological Indicators,'' ``Regional Scale Analysis and Assessment,'' 
``Water and Watersheds'' and ``Research and Monitoring Program on 
Ecological Effects of Environmental Stressors Using Coastal Intensive 
Sites.'' Information is available through the web site: http://
www.epa.gov/ncerqa or hotline 1-800-490-9194. For further information 
contact Barbara Levinson at [email protected]

    The Catalog of Federal Domestic Assistance Number for this 
program is 81.049, and the solicitation control number is ERFAP 10 
CFR Part 605.

    Issued in Washington, DC, on March 18, 1998.
John Rodney Clark,
Associate Director for Resource Management, Office of Energy Research.
[FR Doc. 98-7717 Filed 3-24-98; 8:45 am]