[Federal Register Volume 63, Number 196 (Friday, October 9, 1998)]
[Notices]
[Pages 54444-54447]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-27177]


-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration
[Docket No. 980413092-8224-03]
RIN 0648-ZA39


NOAA Climate and Global Change Program, Program Announcement

AGENCY: Office of global programs, National Oceanic and Atmospheric 
Administration, Commerce.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The Climate and Global Change Program represents a National 
Oceanic and Atmospheric Administration (NOAA) contribution to evolving 
national and international programs designed to improve our ability to 
observe, understand, predict, and respond to changes in the global 
environment. this program builds on NOAA's mission requirements and 
longstanding capabilities in global change research and prediction. The 
NOAA Program is a key contributing element of the U.S. Global Change 
Research Program (USGCRP), which is coordinated by the interagency 
Committee on Environmental and Natural Resources. NOAA's program is 
designed to complement other agency contributions to that national 
effort.

DATES: Strict deadlines for submission to the FY 1999 CLIVAR-Atlantic 
Program process are: Letters of intent must be received at OGP no later 
than November 6, 1998. Full proposals must be received at OGP no later 
than January 15, 1999. Applicants who have not received a response to 
their letter of intent by December 2, 1998, should contact the program 
office. The time from target date to grant award varies. We anticipate 
that review of full proposals will occur during the spring of 1999 for 
most approved projects. June 1, 1999, should be used as the proposed 
start date on proposals, unless otherwise

[[Page 54445]]

directed by the Program Manager. Applicants should be notified of their 
status within 6 months. All proposals must be submitted in accordance 
with the guidelines below. Failure to heed these guidelines may result 
in proposals being returned without review.

ADDRESSES: Proposals may be submitted to: Office of Global Programs, 
National Oceanic and Atmospheric Administration, 1100 Wayne Avenue, 
Suite 1225, Silver Spring, MD 20910-5603.

FOR FURTHER INFORMATION CONTACT: Irma duPree at the above address, or 
at phone: (301) 427-2089 ext. 107, fax: (301) 427-2073, Internet: 
duP[email protected].

SUPPLEMENTARY INFORMATION:

Funding Availability

    NOAA believes that the Climate and Global Change Program will 
benefit significantly from a strong partnership with outside 
investigators. Current program plans assume that 100% of the total 
resources provided through this announcement will support extramural 
efforts, particularly those involving the broad academic community. 
Approximately one million dollars is expected to be available for this 
program. Actual funding levels will depend upon the final FY 1999 
budget appropriations. This Program Announcement is for projects to be 
conducted by investigators both inside and outside of NOAA, primarily 
over a one, two or three year period. The funding instrument for 
extramural awards will be a grant unless it is anticipated that NOAA 
will be substantially involved in the implementation of the project, in 
which case the funding instrument should be a cooperative agreement. 
Examples of substantial involvement may include but are not limited to 
proposals for collaboration between NOAA or NOAA scientists and a 
recipient scientist or technician and/or contemplation by NOAA of 
detailing Federal personnel to work on proposed projects. NOAA will 
make decisions regarding the use of a cooperative agreement on a case-
by-case basis. Funding for non-U.S. institutions and contractural 
arrangements for services and products for delivery to NOAA is not 
available under this announcement. Matching share is not required by 
this program.

Program Authority

    Authority: 49 U.S.C. 44720 (b); 33 U.S.C. 883d, 883e; 15 U.S.C. 
2904; 15 U.S.C. 2931 et seq.
(CFDA No. 11.431)--Climate and Atmospheric Research

Program Objectives

    The long term objective of the Climate and Global Change Program is 
to provide reliable predictions of climate change and associated 
regional implications on time scales ranging from seasons to a century 
or more. NOAA believes that climate variability across these time 
scales can be modelled with an acceptable probability of success and 
are the most relevant for fundamental social concerns. Predicting the 
behavior of the coupled ocean-atmosphere-land surface system will be 
NOAA's primary contribution to a successful national effort to deal 
with observed or anticipated changes in the global environment. NOAA 
has a range of unique facilities and capabilities that can be applied 
to Climate and Global Change investigations. Proposals that seek to 
exploit these resources in collaborative efforts between NOAA and 
extramural investigators are encouraged.

Program Priority

     CLIVAR-Atlantic Program--As an initial NOAA C&GC 
contribution to the emerging international Climate Variability and 
Predictability Programme (CLIVAR) and a follow-on to the Atlantic 
Climate Change Program (ACCP), proposals are sought which will address 
natural climate variability and predictability in the coupled ocean-
atmosphere tropical Atlantic system and its interaction with higher 
latitude variability, such as the North Atlantic Oscillation (NAO). It 
is anticipated that this initial focus will lay the foundation for a 
more expanded CLIVAR-Atlantic Program which is being planned for FY 
2000 and beyond.
    In FY 1999, preference will be given to those proposals which 
address--through modeling, theoretical study, analysis or synthesis of 
existing data--the underlying mechanisms of tropical Atlantic climate 
variability, including potential linkages to the mid-latitudes. In 
addition, proposals that seek to elucidate the societal impacts of the 
NAO are also encouraged. For an information sheet containing further 
details, please contact James F. Todd, NOAA/Office of Global Programs, 
Silver Spring, MD: 301-427-2089 ext. 139, Internet: [email protected]

Eligibility

    Extramural eligibility is not limited and is encouraged with the 
objective of developing a strong partnership with the academic 
community. Non-academic proposers are urged to seek collaboration with 
academic institutions. Universities, non-profit organizations, for 
profit organizations, State and local governments, and Indian Tribes, 
are included among entities eligible for funding under this 
announcement. While not a prerequisite for funding, applicants are 
encouraged to consider conducting their research in one or more of the 
National Marine Estuarine Research Reserve System or National Marine 
Sanctuary sites. For further information on these field laboratory 
sites, contact Dr. Dwight Trueblood, NOAA/NOS, 301-713-3145 ext. 174.
    The NOAA Climate and Global Change Program has been approved for 
multi-year funding up to a three year duration. Funding for non-U.S. 
institutions is not available under this announcement.

Letters of Intent

    Letters of Intent (LOI) will be used to provide advice to the 
recipient on suitability of projected research. (1) Letters should be 
no more than two pages in length and include the name and institution 
of principal investigator(s), a statement of the problem, brief summary 
of work to be completed, approximate cost of the project, and program 
element(s) to which the proposal should be directed. (2) Evaluation 
will be by program management. (3) It is in the best interest of 
applicants and their institutions to submit letters of intent; however, 
it is not a requirement. (4) Facsimile and electronic mail are 
acceptable for letters of intent only. (5) Projects deemed unsuitable 
during LOI review will not be encouraged to submit full proposals.

Evaluation Criteria

    Consideration for financial assistance will be given to those 
proposals which address one of the Program Priorities listed below and 
meet the following evaluation criteria:
    (1.) Scientific Merit (20%): Intrinsic scientific value of the 
subject and the study proposed.
    (2.) Relevance (20%): Important and relevance to the goal of the 
Climate and Global Change Program. (See Summary)
    (3.) Methodology (20%): Focused scientific objective and strategy, 
including measurement strategies and data management considerations; 
project milestones; and final products.
    (4.) Readiness (20%): Nature of the problem; relevant history and 
status of existing work; level of planning, including existence of 
supporting documents; strength of proposed scientific and management 
team; past performance record of proposers.

[[Page 54446]]

    (5.) Linkages (10%): Connections to existing or planned national 
and international programs; partnerships with other agency or NOAA 
participants, where appropriate.
    (6.) Costs (10%): Adequacy of proposed resources; appropriate share 
of total available resources; prospects for joint funding; 
identification of long-term commitments.

Selection Procedures

    All proposals, including those submitted by NOAA employees, will be 
evaluated and ranked in accordance with the assigned weights of the 
above evaluation criteria by (1) independent peer mail review, and/or 
(2) independent peer panel review; both NOAA and non-NOAA experts in 
the field may be used in this process. The program officer will not be 
a voting member of an independent peer panel. Their recommendations and 
evaluations will be considered by the Program Manager/Officer in final 
selections. Those ranked by the panel and program as not recommended 
for funding will not be given further consideration and will be 
notified of non-selection. Proposals rated Excellent, Very Good or 
Good, are usually awarded in the numerical order they are ranked based 
on the independent peer mail review or the independent peer panel 
review. However, the Program Manager will ascertain which proposals 
meet the program priorities (see Program Priority Section above), and 
do not substantially duplicate other projects that are currently funded 
by NOAA or are approved for funding by other federal agencies. As a 
result of this review, the Program Manager may decide to select an 
award out of the ranking order provided by the peer mail or peer panel 
reviewers. The Program Manager will also determine the total duration 
of funding and the amount of funding for each selected proposal.
    Unsatisfactory performance by a recipient under prior Federal 
awards may result in an application not being considered for funding.

Proposal Submission

    The guidelines for proposal preparation provided below are 
mandatory. Failure to heed these guidelines may result in proposals 
being returned without review.
    Full proposals: (1) Proposals submitted to the NOAA Climate and 
Global Change Program must include the original and two unbound copies 
of the proposal. (2) Investigators are not required to submit more than 
3 copies of the proposal, however, the normal review process requires 
20 copies. Investigators are encouraged to submit sufficient proposal 
copies for the full review process if they wish all reviewers to 
receive color, unusually sized (not 8.5 x 11''), or otherwise unusual 
materials submitted as part of the proposal. Only three copies of the 
Federally-required forms are needed. (3) Proposals must be limited to 
30 pages (numbered), including budget, investigators vitae, and all 
appendices, and should be limited to funding requests for one to three 
year duration. Appended information may not be used to circumvent the 
page length limit. Federally-mandated forms are not included within the 
page count. (4) Proposals should be sent to the NOAA Office of Global 
Programs at the above address. (5) Facsimile transmissions and 
electronic mail submission of full proposals will not be accepted. (b) 
Required Elements: All proposals should include the following elements:
    (1.) Signed title page: The title page should be signed by the 
Principal Investigator (PI) and the institutional representative and 
should clearly indicate which project area is being addressed. The PI 
and institutional representative should be identified by full name, 
title, organization, telephone number and address. The total amount of 
Federal funds being requested should be listed for each budget period.
    (2.) Abstract: An abstract must be included and should contain an 
introduction of the problem, rationale and a brief summary of work to 
be completed. The abstract should appear on a separate page, headed 
with the proposal title, institution(s) investigator(s), total proposed 
cost and budget period.
    (3.) Results from prior research: The results of related projects 
supported by NOAA and other agencies should be described, including 
their relation to the currently proposed work. Reference to each prior 
research award should include the title, agency, award number, PIs, 
period of award and total award. The section should be a brief summary 
and should not exceed two pages total.
    (4.) Statement of work: The proposed project must be completely 
described, including identification of the problem, scientific 
objectives, proposed methodology, relevance to the goal of the Climate 
and Global Change Program, and the program priorities listed above. 
Benefits of the proposed project to the general public and the 
scientific community should be discussed. A year-by-year summary of 
proposed work must be included clearly indicating that each year's 
proposed work is severable and can easily be separated into annual 
increments of meaningful work. The statement of work, including 
references but excluding figures and other visual materials, must not 
exceed 15 pages of text. Investigators wishing to submit group 
proposals that exceed the 15 page limit should discuss this possibility 
with the appropriate Program Officer prior to submission. In general, 
proposals from 3 or more investigators may include a statement of work 
containing up to 15 pages of overall project description plus up to 5 
additional pages for individual descriptions.
    (5.) Budget: Applicants must submit an a Standard Form 424 (4-92) 
``Application for Federal Assistance'', including a detailed budget 
using the Standard Form 424a (4-92), ``Budget Information--Non-
Construction Programs''. The form is included in the standard NOAA 
application Kit. The proposal must include total and annual budgets 
corresponding with the descriptions provided in the statement of work. 
Additional text to justify expenses should be included as necessary.
    (6.) Vitae: Abbreviated curriculum vitae are sought with each 
proposal. Reference lists should be limited to all publications in the 
last three years with up to five other relevant papers.
    (7.) Current and pending support: For each investigator, submit a 
list that includes project title, supporting agency with grant number, 
investigator months, dollar value and duration. Requested values should 
be listed for pending support.
    (8.) List of suggested reviewers: The cover letter may include a 
list of individuals qualified and suggested to review the proposal. It 
also may include a list of individuals that applicants would prefer to 
not review the proposal. Such lists may be considered at the discretion 
of the Program Officer.
    (c) Other requirements:
    (1.) Applicants may obtain a standard NOAA application kit from the 
Program Office.
    Primary applicant Certification--All primary applicants must submit 
a completed Form CD-511, ``Certification Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying''. Applicants are also hereby notified of the 
following:
    1. Nonprocurement Debarment and Suspension--Prospective 
participants (as defined at 15 CFR part 26, section 105) are subject to 
15 CFR part 26, ``Nonprocurement Debarment and Suspension,'' and the 
related section of the certification form prescribed above applies;

[[Page 54447]]

    2. Drug Free Workplace--Grantees (as defined at 15 CFR part 26, 
section 605) are subject to 15 CFR Part 26, Subpart F, ``Governmentwide 
Requirements for Drug-Free Workplace (Grants)'' and the related section 
of the certification form prescribed above applies;
    3. Anti-Lobbying--Persons (as defined at 15 CFR Part 28, section 
105) are subject to the lobbying provisions of 31 U.S.C. 1352, 
``Limitation on use of appropriated funds to influence certain Federal 
contracting and financial transactions'', and the lobbying section of 
the certification form prescribed above applies to applications/bids 
for grants, cooperative agreements, and contracts for more than 
$100,000, and loans and loan guarantees for more than $150,000, or the 
single family maximum mortgage limit for affected programs, whichever 
is greater; and
    4. Anti-Lobbying Disclosures--Any applicant that has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.

Lower Tier Certifications

    (1.) Recipients must require applicants/bidders for subgrants, 
contracts, subcontracts, or lower tier covered transactions at any tier 
under the award to submit, if applicable, a completed Form CD-512, 
``Certifications Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying'' and 
disclosure form SF-LLL, ``Disclosure of Lobbying Activities.'' Form CD-
512 is intended for the use of recipients and should not be transmitted 
to DOC. SF-LLL submitted by any tier recipient or subrecipient should 
be submitted to DOC in accordance with the instructions contained in 
the award document.
    (2.) Recipients and subrecipients are subject to all applicable 
Federal laws and Federal and Department of Commerce policies, 
regulations, and procedures applicable to Federal financial assistance 
awards.
    (3.) Preaward Activities--If applicants incur any costs prior to an 
award being made, they do so solely at their own risk of not being 
reimbursed by the Government. Notwithstanding any verbal assurance that 
may have been received, there is no obligation to the applicant on the 
part of Department of Commerce to cover pre-award costs.
    (4.) This program is subject to the requirements of OMB Circular 
No. A-110, and 15 CFR Part 14, ``Uniform Administrative Requirements 
for Grants and Agreements with Institutions of Higher Education, 
Hospitals, and Other Non-Profit Organizations'' Applications under this 
program are not subject to Executive Order 12372, ``Intergovernmental 
Review of Federal Programs.''
    (5.) All non-profit and for-profit applicants are subject to a name 
check review process. Name checks are intended to reveal if any key 
individuals associated with the applicant have been convicted of, or 
are presently facing criminal charges such as fraud, theft, perjury, or 
other matters which significantly reflect on the applicant's 
management, honesty, or financial integrity.
    (6.) A false statement on an application is grounds for denial or 
termination of funds and grounds for possible punishment by a fine or 
imprisonment as provided in 18 U.S.C. 1001.
    (7.) No award of Federal funds shall be made to an applicant who 
has an outstanding delinquent Federal debt until either:
    (i) The delinquent account is paid in full,
    (ii) A negotiated repayment schedule is established and at least 
one payment is received, or
    (iii) Other arrangements satisfactory to the Department of Commerce 
are made.
    (8.) Buy American-Made Equipment or Products--Applicants are 
encouraged that any equipment or products authorized to be purchased 
with funding provided under this program must be American-made to the 
maximum extent feasible.
    (9.) The total dollar amount of the indirect costs proposed in an 
application under this program must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award or 100 percent of the total 
proposed direct cost dollar amount in the application, whichever is 
less.
    (d) If an application is selected for funding, the Department of 
Commerce has no obligation to provide any additional future funding in 
connection with the award. Renewal of an award to increase funding or 
extend the period of performance is at the total discretion of the 
Department of Commerce.
    (e) In accordance with Federal statutes and regulations, no person 
on grounds of race, color, age, sex, national origin or disability 
shall be excluded from participation in, denied benefits of, or be 
subjected to discrimination under any program or activity receiving 
financial assistance from the NOAA Climate and Global Change Program. 
The NOAA Climate and Global Change Program does not have direct TDD 
(Telephonic Device for the Deaf) capabilities, but can be reached 
through the State of Maryland supplied TDD contact number, 800-735-
2258, between the hours of 8:00 am-4:30 pm.
    Notwithstanding any other provision of law, no person is required 
to respond to nor shall a person be subject to a penalty for failure to 
comply with a collection of information subject to the requirements of 
the Paperwork Reduction Act unless that collection of information 
displays a current valid OMB control number.
    Classification: The standard forms have been approved by the Office 
of Management and Budget pursuant to the Paperwork Reduction Act under 
OMB approval number 0348-0043, 0348-0044, and 0348-0046. This notice 
has been determined to be not significant for purposes of Executive 
Order 12866.

    Dated: September 18, 1998.
J. Michael Hall,
Director, Office of Global Programs, National Oceanic and Atmospheric 
Administration.
[FR Doc. 98-27177 Filed 10-8-98; 8:45 am]
BILLING CODE 3510-12-M