[Federal Register Volume 64, Number 46 (Wednesday, March 10, 1999)]
[Pages 11839-11846]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-5956]

[[Page 11839]]



National Oceanic and Atmospheric Administration

National Science Foundation

[Docket No. 981211301-8301-01; I.D. No. 122398A]
RIN 0648-ZA53

Request for Proposals for the Global Ocean Ecosystems Dynamics 

AGENCIES: Coastal Ocean Program, National Oceanic and Atmospheric 
Administration, Commerce and the National Science Foundation.

ACTION: Supplemental Notification for financial assistance for project 


SUMMARY: The purpose of this notice is to advise the public that the 
NOAA Coastal Ocean Program (COP) and the National Science Foundation 
(NSF) are soliciting 5-year proposals for the Global Ocean Ecosystems 
Dynamics (GLOBEC) Project. This program is a federal research 
partnership with NSF - Directorate for Geosciences, Division of Ocean 

DATES: The deadline for proposals is April 15, 1999 by 3:00 pm, local 

ADDRESSES: Submit the original and two copies of your proposal to 
Coastal Ocean Program Office (GLOBEC 99), SSMC#3, 9th Floor, Station 
9700, 1315 East-West Highway, Silver Spring, MD 20910. NOAA Standard 
Form Applications with instructions are accessible on the following COP 
Internet Site: http://www.cop.noaa.gov/cop-home.html.
    Specific information about the NEP Study, including descriptions 
and points of contact of presently funded GLOBEC NEP projects, can be 
obtained from the following address or homepage: U.S. GLOBEC Northeast 
Pacific Coordinating Office, Department of Integrative Biology, 
University of California, Berkeley, CA 94720-3140; Phone: 510- 642-
7452; Fax: 510-643-1142; Internet: [email protected] or 

    Dr. Elizabeth Turner, GLOBEC Program Manager, COP Office, 301-713-
3338/ext 135, Internet: Elizabeth.T[email protected]; or Dr. Phillip 
Taylor, NSF Division of Ocean Sciences, 703-306-1584, Internet: 
[email protected].
    Business Management Information: contact Leslie McDonald, COP 
Grants Office, (301) 713-3338/ext 137, Internet: 
Leslie.McD[email protected].



    Research activities in the coastal Northeast Pacific (NEP) Ocean 
are supported by a number of organizations including the Division of 
Ocean Sciences (OCE), and the National Oceanic and Atmospheric 
Administration's (NOAA) Coastal Ocean Program (COP). NSF/OCE generally 
supports research projects focused on basic oceanographic and 
ecological processes and the study of natural systems. A component of 
NOAA's COP focus is directed toward developing tools and capabilities 
to improve ecosystem management. Environmental and resource management 
decisions are most appropriately based on knowledge gained from both 
basic and applied research.
    Global Ocean Ecosystems Dynamics (U.S. GLOBEC) is a component of 
the U.S. Global Change Research Program, with the goals of 
understanding and ultimately predicting how populations of marine 
animal species (holozooplankton, fish and benthic invertebrates) 
respond to natural and anthropogenic changes in global climate. U.S. 
GLOBEC is also the U.S. component of the GLOBEC International program, 
a core project of the International Geosphere-Biosphere Program with 
co-sponsorship from the Scientific Committee on Oceanic Research and 
the Intergovernmental Oceanographic Commission.
    This notice is under the auspices of the U.S. GLOBEC program within 
NSF/OCE and the regional ecosystem studies and U.S. GLOBEC initiatives 
of NOAA's COP. U.S. GLOBEC has identified ecosystem studies in the 
California Current System (CCS) and Coastal Gulf of Alaska (CGOA) as 
priorities for the next decade.
    For complete Program Description and Other Requirements criteria, 
see COP's General Grant Administration Terms and Conditions initial 
notice in the Federal Register--63 FR 44237, August l8, 1998, and also 
at http://www.cop.noaa.gov/cop-home.html.
    This notice requests proposals for:
    (1) process-oriented field studies in the CCS;
    (2) mesoscale surveys in the CCS;
    (3) long-term observation projects in the CCS;
    (4) modeling studies in the CCS and the CGOA; and
    (5) retrospective studies in the CCS and the CGOA.
    It is anticipated that a similar announcement will be issued 
approximately 1 year from now requesting research proposals for NEP 
studies in the CGOA, with field years in 2001 and 2003. In the event of 
a delay in the CCS program, the CGOA activities would be similarly 
delayed. Research Proposals For Field Work (Long-Term Observations, 
Mesoscale Surveys, Process-Studies) solely in the CGOA should not 
respond to this present notice.
    To provide for long-term coordinated strategic planning of the NEP 
program in the CCS, proposals are being solicited now for all future 
U.S. GLOBEC research activities in the CCS. This includes process-study 
research in the two field phases of the CCS program. At this time, the 
major field process years are anticipated to occur in 2000 and 2002, 
contingent on the availability of funding. In the event that funding is 
insufficient to support a full field program in 2000, the field years 
will be delayed a year, occurring in 2001 and 2003, respectively.
    In addition to soliciting research proposals for field work the 
U.S. GLOBEC CCS program in the NEP, this Notice is requesting proposals 
for modeling and retrospective analysis that augments or complements 
existing U.S. GLOBEC NEP efforts in these components. Modeling and 
retrospective proposals submitted in response to this Notice need not 
be CCS-specific, but those that are peripheral to the core activities 
in the CCS will have lower priority than those focusing on the CCS.
    U.S. GLOBEC emphasizes studies on the biology/ecology of juvenile 
salmon, the euphausiids Euphausia pacifica and Thysanoessa spinifera, 
several large copepoda, and forage fishes (salmon prey) in coastal 
regions of the North Pacific and how these populations are controlled 
by climatically variable physical forcing, especially at large to meso-
scales. Several other national and international programs will examine 
similar ecosystems and processes, and proposers should be aware of 
these ongoing and planned efforts.
    The Pacific component of Canada GLOBEC is conducting similar 
ecosystem studies on La Perouse Bank off the western coast of Vancouver 
Island; the NOAA-sponsored Pacific Northwest Coastal Ecosystems 
Regional Study program is carrying out studies on near shore and 
estuarine processes related to the estuarine phase of salmon life 
history in the U.S. Pacific Northwest (1998-2001); the California 
Cooperative Oceanic Fisheries Investigations (CalCOFI) Program is in 
its fifth decade of study on fish and zooplankton populations off the 
coast of southern California. The North Pacific Marine Science 
Organization Climate Change

[[Page 11840]]

and Carrying Capacity (CCCC) Program emphasizes comparative studies of 
ecosystems along the continental margins of the north Pacific, 
examining all trophic levels, but with special emphasis on salmon. U.S. 
GLOBEC's studies in the Northeast Pacific region are an integral part 
of the pan-North Pacific CCCC effort.
    In addition to these ongoing studies, the Coastal Ocean Processes 
(CoOP) program plans studies for 2000 and 2001 in a strongly, wind-
driven region of the CCS, at a specific site still to be determined. 
These national and international investigations and others (such as the 
recently begun, salmon- sampling program in the Columbia River plume 
and adjacent waters, funded by the Bonneville Power Authority [BPA]) 
complement the studies being done and the research planned by U.S. 
GLOBEC in the NEP. They provide a unique opportunity for both regional 
and inter-regional comparisons and the evaluation of large-scale 
climatic influences (e.g., the El Nino and Southern Oscillation) on 
several pan-North Pacific species (e.g., salmon and Euphausia 
    The U.S. GLOBEC Northeast Pacific Implementation Plan (U.S. GLOBEC, 
Report No. 17) was developed following several community-wide meetings 
at which U.S. scientists from the oceanographic and fisheries 
communities identified key scientific issues and research prospectuses 
for the NEP. The overall objectives of the U.S. GLOBEC program are 
described in the U.S. GLOBEC Initial Science Plan (Report No. 1). 
Background information pertinent to the Northeast Pacific is found in 
U.S. GLOBEC, Report Nos. 7, 11, 15 and 16. This GLOBEC report provides 
the most up-to-date guidance about the NEP program and supplements and, 
to a limited extent, supplants all earlier documents.
    Investigators who plan to submit proposals in response to this 
announcement should refer first to this GLOBEC notice, and secondarily 
to the Northeast Pacific Implementation Plan (U.S. GLOBEC, Report No. 
17). Copies of these documents are available from the following address 
or homepage:
    U.S. GLOBEC Coordinating Office, Center for Environmental and 
Estuarine Studies, the University of Maryland System, Chesapeake 
Biological Laboratory, P.O. BOX 38, Solomons, MD 20688; Phone: 410-326-
7289; Fax: 410-326-7318; Internet: [email protected], or http://
 The recommendations contained in the U.S. GLOBEC, Report No. 17 
present the rationale for a coordinated study in the Northeast Pacific 
in two regions: the CGOA and the CCS, ranging from Washington to 
Central California. Critical to that rationale is the observation that 
the salmon production domains, both in the CGOA and CCS co-vary, but 
are out of phase. Field programs will alternate between the CCS and 
CGOA in successive years.
    U.S. GLOBEC proposes to investigate this coupling and the 
biophysical mechanisms through which zooplankton and salmon populations 
respond to physical forcing and biological interactions in the coastal 
regions of the two gyres. This will be accomplished through a 
combination of modeling, retrospective data analysis, long-term 
observations (LTOP), mesoscale surveys, and focused field programs. 
This document solicits proposals for all components of the NEP program, 
with the exception of LTOP's, mesoscale surveys and process oriented 
field studies focused exclusively on CGOA. A future notice will request 
applications to support research on the CGOA activities outlined in 
previous paragraphs.
    Proposals are currently requested for mesoscale surveys and process 
oriented field studies, and
    (1) to execute CCS field programs, including LTOPs, and
    (2) for retrospective data analysis and modeling in the NEP (both 
CCS and CGOA). Contingent on the availability of funds, mesoscale 
surveys and process oriented field studies will occur in the CCS in 
2000 and in 2002.
    Process oriented field studies in 2000 will focus on the effects of 
upwelling and cross-shelf exchange on the population dynamics of the 
target organisms north and south of Cape Blanco, OR. When feasible 
(when timing and geography overlap), parts of the field program may be 
carried out in close coordination with nearshore interdisciplinary 
studies of the effects of wind-driven transport conducted by the NSF-
funded CoOP program slated to take place in 2000 and 2001.
    Process-oriented studies in 2002 will focus on the effects of 
upwelling and three-dimensional mesoscale circulation on the population 
dynamics of the target species north and south of Cape Blanco. Biotic 
processes and interactions, including factors affecting primary 
production and predation processes, will be studied in both 2000 and 
    In the event that funding levels cannot support simultaneous 
studies north and south of Cape Blanco, it may be necessary to conduct 
studies north of the cape in 2000 and south of the cape in 2002. 
Proposals should consider contingency plans to accommodate such 
    The NEP CCS study is not restricted to the continental margin and 
shelf, but encompasses also the processes and phenomena of the larger 
oceanic boundary region that affect the CCS. U.S. GLOBEC began funding 
activities in the NEP in 1997. The initial phases of this inter-agency 
research program have supported integrated, multi-investigator, inter-
disciplinary programs of modeling, retrospective analysis, and pilot-
scale monitoring (henceforth referred to as LTOP. Proposers are advised 
to refer to the preliminary results from these programs (see http://
www.usglobec.berkeley.edu/nep/index.html) prior to preparation of new 
    Ultimately, the U.S. GLOBEC effort in the NEP has an overall goal 
of improving predictability and management of living marine resources 
of the region through improved understanding of ecosystem interactions 
and the coupling between the physical environment and the living 

Program Goals

    The overall goals of the GLOBEC Northeast Pacific program are: (1) 
To determine how biological processes and characteristics of 
zooplanktonic populations are affected by mesoscale features and 
dynamics in the Northeast Pacific; and
    (2) To quantify the biological and physical processes that 
determine growth and survival of juvenile salmon in the coastal zone.
    Within these overall goals, the NEP/CCS process-oriented field 
program has four general goals:
    (l) To determine how changing climate, especially its impacts on 
local wind forcing and basin-scale currents, affect
    spatial and temporal variability in mesoscale circulation and 
vertical stratification.
    (2) To quantify how physical features in the CCS impact zooplankton 
biomass, production, distribution, and the retention and loss of 
zooplankton from coastal regions, with particular emphasis on the 
euphausiids Euphausia pacifica and Thysanoessa spinifera and calanoid 
copepods, and how these, in turn, influence the distributions of higher 
trophic levels.
    (3) To quantify the impacts of, first, primary and secondary 
production, second, intensity and effectiveness of upwelling, third, 
cross-shelf transport associated with wind-driven upwelling, and 
fourth, variability in the timing of the spring transition, on 

[[Page 11841]]

juvenile salmon growth and survival in the coastal zone of the CCS.
    (4) To determine the extent to which high and variable predation 
mortality on juvenile coho and chinook salmon in the coastal region of 
the California Current is responsible for large interannual variation 
in adult salmon populations, and the factors responsible for the 
variable predation intensity.
    Toward these ends, the Northeast Pacific field program has been 
structured to 2 years of intensive study (2000 and 2002) in the CCS. 
The geographic domain of the study extends from approximately Newport, 
OR, to approximately Eureka, CA, and encompasses two different 
physically forced regimes as described in previous U.S. GLOBEC reports 
(Report Nos. 11 and 17).
    Three dimensional mesoscale surveys (through ship, drifter, mooring 
and satellite observations) and process oriented field studies will be 
conducted over a 7-month period (around March through September) in 
each of the two intensive, process-study years. LTOP observations will 
continue during the ``off'' years 1999, 2001, and 2003.
    During field years, the LTOP program will include mesoscale surveys 
of physical conditions and biological distributions in spring and fall. 
The surveys will provide the short-term spatial context for the process 
oriented field studies and will provide three- dimensional data to 
supplement the predominantly two-dimensional LTOP data.
    U.S. GLOBEC process-oriented field research will focus on target 
species chosen to represent key elements of the marine ecosystem in the 
northern part of the CCS. These are the euphausiids Euphausia pacifica 
and Thysanoessa spinifera, calanoid copepods, and juvenile coho and 
chinook salmon. A broader suite of species may be the focus of modeling 
and retrospective studies as described in Table 4 of the U.S. GLOBEC, 
Report No.. 17, page 26.
    The primary focus of process oriented field studies will be on:
    (1) Physical (e.g., stratification intensity; timing of the spring 
transition; intensity of upwelling) and biological (e.g., prey and 
predator abundance and distributions) factors influencing the 
population dynamics and vital rates of juvenile salmon and other target 
taxa (euphausiids, copepods) in the coastal region;
    (2) Retention and loss of populations of target species, as 
impacted by mesoscale circulation and cross-shelf transport into
    the coastal jet off Oregon/No. Calif. (loss) or maintenance in the 
coastal upwelling zone (retention); and
    (3) Comparison of these processes (1,2) north and south of Cape 
Blanco, Oregon.

Structure of the CCS Research Program

    The NEP Study will comprise of five major components:
    (1) Long-term observation programs (LTOP),
    (2) Mesoscale surveys,
    (3) Process-oriented field studies,
    (4) Modeling investigations, and
    (5) Retrospective/comparative analysis.
    The large range of spatial and temporal scales of important forcing 
processes and responses in the NEP requires a nested sampling approach 
(and some associated tradeoffs), which is reflected in the descriptions 
of the long-term observation programs, mesoscale surveys, and process-
studies listed here.

Long-Term Observation Programs

    LTOP have already been established by U.S. GLOBEC at two NEP sites: 
the first along the Gulf of Alaska (GAK) transect extending offshore 
from Seward, AK, and, the second, along several offshore extending 
transects off Newport and Coos Bay, OR. In both regions, the programs 
are sampling ocean physics, nutrients, and biology at approximately 
bimonthly intervals (both projects are described on the NEP web site).
    GLOBEC is an ecosystem program that focuses on zooplankton and 
juvenile salmon in the NEP, but we encourage sampling of phytoplankton 
and nutrients as well. The LTOPs provide the fundamental seasonal 
description of the physical, chemical and biological environment that 
is required to complement the mesoscale surveys and process oriented 
field studies.
    Moreover, U.S. GLOBEC LTOPs, in conjunction with observations at 
other sites by other programs (Canada GLOBEC, CalCOFI, Ocean Carrying 
Capacity) will document the low-frequency, large amplitude signals 
(e.g., regime shifts, El Ninos) that occur at the largest spatial 
scales in the Pacific. LTOPs are primarily two-dimensional (2-D) cross-
shelf descriptions, which may miss important spatial features and 
processes of the marine ecosystem.
    Mesoscale surveys (described here) conducted twice (spring and 
fall) during process-study years will provide the spatially resolved 
three-dimensional data required to evaluate how well local LTOP data 
generalize to a broader region. Data from the mesoscale surveys will be 
used to bridge the gap between the low spatial, but annual and long-
term coverage of the LTOPs, and the intensive, but spatially limited 
process studies.
    LTOP projects may make use of multi-disciplinary moorings, long-
term drifter deployments, and analysis of satellite data, in addition 
to seasonal ship observations. There is a continuing need for long-term 
mooring-based and drifter-based observations and interpretation of 
regional satellite data, that provide the broadest temporal (moorings, 
drifters) and spatial (satellites) resolution and coverage. This notice 
solicits proposals to conduct core LTOP observations in regions both 
north and south of Cape Blanco. Projects proposing to conduct LTOP 
observations north of Cape Blanco should consider existing LTOP 
programs in place.
    There is presently no LTOP program for the region between Cape 
Blanco and Eureka, CA. We seek proposals to undertake core LTOP studies 
at two or more transects between Cape Blanco and Eureka, CA.
    Present and prospective U.S. GLOBEC LTOP programs should consider 
(1) how they meet future U.S. GLOBEC needs, particularly for process 
oriented field studies, and (2) how they mesh into the larger framework 
of a coastwide network of programs undertaking repeated observations of 
ocean physics and biology at all trophic levels.
    Moreover, potential LTOP projects should contact the principals of 
existing LTOP projects to ensure that methodologies are comparable (see 
the NEP web site) among all of the LTOP sites.

Three-Dimensional Mesoscale Surveys

    Ship surveys are needed to determine the distribution and abundance 
of the target species in relation to their physical environment during 
the period of euphausiid recruitment and juvenile salmon entry into the 
ocean (March to September). This period encompasses the spring-
transition in the CCS, the initiation of upwelling and its 
ramifications for production, and the period of ocean entry by juvenile 
salmon and their first summer of growth.
    Spatially, the ship-based mesoscale sampling should encompass both 
the nearshore upwelling region and the coastal jet that ultimately 
carries a large portion of the flow of the CCS. High priority will be 
given to proposals that would survey a region extending from 
approximately Newport, OR, to Eureka, CA, i.e., about 500 km along 
shore, and extending from nearshore to 100 km (perhaps more south of 
Cape Blanco,

[[Page 11842]]

where the jet meanders further from shore).
    The fundamental objective of the mesoscale studies is to provide 
the basis for comparisons of population processes and their coupling to 
the physical structure and variability of the environment and to 
examine these processes in the two regimes separated by Cape Blanco, 
OR. The mesoscale studies will provide a regional context for the in 
situ, process oriented field studies (described here) and provide 
further data to evaluate the environment for juvenile salmon. Mesoscale 
studies will complement and be complemented by LTOP characterizations 
and descriptions of the physical and biological conditions of the 
nearshore and offshore ocean environment. Surveys will provide data 
required to evaluate coupled circulation-ecosystem models being 
developed for the NEP study sites and for assimilation of data into 
these models.
    Presently, the Oregon LTOP effort samples Coos Bay and Newport 
lines 5 times per year. It is anticipated that the mesoscale surveys 
will be conducted at a given site only in years of process-studies and 
that only two mesoscale surveys per year focused on critical periods in 
the life history of the target species (spring and fall) will be done. 
Mesoscale surveys in spring and fall will augment, and must coordinate 
with, spring and fall LTOP observations.

Salmon Sampling

    Sampling of juvenile salmon (trawling) in the region extending from 
Newport, OR, to Eureka, CA, is a critical addition to the CCS component 
of the NEP program since salmon are a target species of the program. 
Salmon sampling in this region will complement existing efforts to 
describe salmon abundance, distribution, and condition in the vicinity 
of the Columbia River plume by the Bonneville Power Authority (BPA), in 
British Columbia (Canadian GLOBEC) and by NMFS programs further south 
(Gulf of Farallones) and north (SE Alaska, Auke Bay, and off Prince 
William Sound).
    Proposals are requested that will provide spatial descriptions of 
juvenile coho and chinook salmon and their forage prey in this region 
at the time of ocean entry (approximately April through May) and at the 
end of the first summer in the ocean (approx. September).
    These collections would also be useful for examining:
    (1) Trophic relationships in the nearshore ecosystem, and (2) 
Genetic structure/stock identity of the salmonids. Highest priority 
will be given to salmon sampling in the field during process-study 
years, but, contingent on the availability of funding and perceived 
program needs, salmon sampling in ``off'' years might be supported as 
well. Investigators proposing to sample juvenile salmon in Oregon and 
Northern California should coordinate sampling plans/gear with both the 
CGOA salmon sampling effort and other juvenile salmon trawling efforts 
on the west coast (e.g., NMFS research).

Process oriented field studies

    Earlier U.S. GLOBEC reports (Reports Nos. 7, 11) provide the 
rationale for conducting ecosystem studies in coastal regions both 
north and south of Cape Blanco--primarily because of regional 
differences in seasonality and intensity of the physical forcing. For 
example, mesoscale activity is much more pronounced south of Cape 
Blanco than further north. Mesoscale features are important to 
biological processes in many regions (e.g., Arabian Sea from recent 
Joint Global Ocean Flux Study (JGOFS) results and are likely to be very 
important in the CCS. Detailed investigations of mechanisms linking 
biological response to physical forcing at the mesoscale and other 
scales will be accomplished in process-study cruises.
    Specifically, the physical and biological processes that control 
the population dynamics of the target species will be examined in 
process oriented field studies. The northern CCS region has, as its 
main features, a nearshore zone of moderate coastal upwelling, which is 
strongest in spring and summer, and offshore, a relatively narrow jet 
that, south of Cape Blanco, represents a substantial proportion of the 
southward transport of the CCS. Biological populations entrained in 
this highly advective jet, with surface velocities exceeding 40 cm/sec, 
are transported rapidly southward. As wind-driven upwelling intensifies 
early in the year, the upwelling region expands and the jet tends to 
move further offshore.
    The three-dimensional, time-dependent circulation is understood 
conceptually but not in detail. The exchange of physical and biological 
properties across the frontal zones associated with both the nearshore 
upwelling and offshore jet regions can influence the supply of 
nutrients for primary production, the retention (loss) of the target 
species and their prey in (from) the coastal zone, and interactions 
between the target species, their prey, and their predators.
    Cross-frontal exchange is influenced by physical processes that 
determine the location, deformation, and movement of the front, 
including tides, winds, seasonal heating/cooling, and offshore forcing, 
and by biological characteristics and behavior that may enhance or 
minimize exchange. Fronts often are regions of aggregation for marine 
plankton, both because of such physical processes as divergence or 
convergence and of such biological responses as enhanced production or 
behavior (i.e., depth-keeping swimming).
    Such aggregations of plankton may provide an enhanced food source 
for predators, including juvenile salmon. Fine-scale description of the 
physical and biological fields comprising fronts may reveal 
aggregations of phytoplankton and zooplankton associated with specific 
physical (e.g., density, temperature) structures. Determination of the 
population structure of target organisms within the study area is 
further identified as an area of critical research.
    It is recognized that, because of the movement and migratory 
patterns of juvenile salmon and consideration of their current low 
abundance, process oriented field studies of chinook and coho salmon 
may require work outside the region from Newport, OR, to Eureka, CA, to 
ensure success. Proposals that focus in geographical locations outside 
the principal study area should closely consider the availability of 
complementary sampling programs (e.g. BPA funded monitoring in the 
Columbia River plume) to provide a broader geographical context for 
their studies. Proposers seeking additional contact information 
concerning related NEP programs should contact the U.S. GLOBEC 
Northeast Pacific Coordinating Office at the address earlier in this 
    Questions to be addressed by process oriented field studies in the 
CCS include:
    (1) What is the time-dependent three-dimensional circulation 
associated with the nearshore upwelling zone, the offshore jet, and the 
fronts associated with these features in the CCS?
    (2) How do mesoscale transport processes affect the recruitment, 
vital rates, and other measures of population dynamics of the target 
    (3) What are the exchange rates, due to frontal processes, of water 
properties and the target species between the upwelling zone and the 
offshore jet? What are the consequences for individual and population 
growth rates of these exchanges?

[[Page 11843]]

    (4) How do biological and physical processes interact to control 
cross-shelf exchange of target organisms?
    (5) Does frontal movement (e.g., seasonal expansion of the 
nearshore upwelling region) influence the exchange of water and 
organisms across fronts?
    (6) How does distribution, growth and survival of juvenile coho and 
chinook salmon depend on the timing and intensity of coastal upwelling, 
availability and distribution of their prey, and alternative prey for 
juvenile salmon predators?
    (7) How are salmon distributed in relation to mesoscale physical 
features, and what are the mechanisms responsible for the observed 
    (8) What are the dominant predators, and what are their feeding 
rates and impacts on juvenile salmon during the period they sit the 
coastal zone of the CCS?


    The research conducted during the CCS study will result in a 
significant archive of data concerning abundance and distribution of 
the target species, source regions, vital rates, and trophic 
interrelationships. Also expected are specific estimates of population 
dynamics parameters arrived at by inverse modeling. These archives and 
tools will provide significant opportunities for hypothesis testing 
concerning biophysical processes.
    The program is expected to progress toward a data-assimilative 
capability, wherein LTOP and mesoscale survey data are incorporated 
into coupled biophysical models. In addition, process-oriented model 
studies are encouraged.
    Finally, the forthcoming U.S. GLOBEC studies of euphausiids, 
copepods, and salmon in the CGOA, provide an opportunity for larger 
(basin) scale modeling of coupled biological/physical dynamics. Studies 
of Calanus across the North Atlantic and of Euphausia superba in the 
Southern Ocean provide opportunities for broader, global-scale 
comparisons of biophysical/population dynamics among congeners.
    This document solicits additional modeling proposals that 
complement existing projects (described on the GLOBEC NEP web site), 
that provide additional breadth to the program by examining responses 
at additional trophic levels, and that explore processes in other 
targeted regions of the northeast Pacific.
    Proposals responding to this request for additional modeling 
activities in the NEP may deal with the CGOA, the CCS, or both. 
Priority will be given to projects that complement or significantly 
augment ongoing modeling efforts--for example, evaluating the impact of 
other prey (e.g., forage fish) on salmon survival and distribution.

Retrospective/Comparative Analysis

    The first notification for NEP studies in the U.S. GLOBEC program 
resulted in the funding of eight retrospective projects. Abstracts of 
these projects are available in U.S. GLOBEC News, No. 12 and on the NEP 
web site. Projects proposing retrospective analysis should document or 
address population variability of key species (see U.S. GLOBEC, Report 
No. 17) in NEP ecosystems on several different time and space scales. 
These studies should also examine linkages between physical and 
biological processes on these different scales. Previous U.S. GLOBEC 
reports (see especially U.S. GLOBEC Report, Nos. 11 and 15) review some 
of the kinds of data sets and research approaches suitable for 
examining links between climate variability, ocean physics and marine 
animal populations in the NEP.
    Retrospective analysis may include:
    (1) Examination of historical records (e.g., fish scales or other 
hard parts in marine sediments) of population abundances of fishes and 
other species to document effects of oceanic variability on population 
    (2) Documentation of decadal, interannual and perhaps geographical 
variability in individual growth of juvenile salmon and prey species as 
recorded in fish scale circuli and otoliths, and
    (3) Molecular analysis of archival collections of key species to 
estimate historical patterns of spatial and temporal genetic 
    NEP retrospective analysis should attempt to test the core GLOBEC 
NEP hypotheses relating to the linkage between climate and ocean 
variability and population variability. Other research approaches and 
examinations of other existing data sets may be appropriate for 
retrospective examination provided that they address the critical NEP 
GLOBEC mandates emphasized in this document.
    U.S. GLOBEC's phase III research in the Northwest Atlantic (1999 
process studies) also focuses on cross-frontal exchange and provides 
opportunities for comparative investigations of cross-frontal exchange 
between the two systems (CCS and Georges Bank). Moreover, the CCS 
ecosystem is one of many eastern boundary current ecosystems (Benguela, 
North Africa, Humboldt) with which comparisons could be made. 
Similarly, the predominantly downwelling, buoyancy-driven coastal 
ecosystem of the CGOA could be compared with similar ecosystems across 
the globe.

Part I: Schedule and Proposal Submission

    The guidelines for proposal preparation provided here are 
mandatory. 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 will be made available on the COP home page on 
the World Wide Web at http://www.cop.noaa.gov/cop-home.html.
    This opportunity is open to all interested, qualified, non-federal, 
and Federal researchers. Non-NOAA federal applicants will be required 
to submit certifications or documentation which clearly show that they 
can receive funds from the Department of Commerce (DOC) for this 
research. Foreign researchers must subcontract with U.S. proposers. 
Non-federal researchers should comply with their institutional 
requirements for proposal submission. DOC requirements will prevail if 
there is a conflict between DOC requirements and institutional 
requirements. Non-federal researchers affiliated with NOAA-University 
Joint Institutes should comply with joint institutional requirements. 
Proposals deemed acceptable from Federal researchers will be funded 
through NOAA via a mechanism other than a grant or cooperative 
agreement; non-federal awardees will be funded through their joint 
institutes, as appropriate, or through a grant from NOAA or NSF. 
Proposals selected for NSF funding will be required to submit 
additional forms and paperwork for grants processing directly to NSF.

Full Proposals

    Proposals submitted to this announcement must include the original 
and two unbound copies of the proposal. Investigators are not required 
to submit more than three copies of the proposal; however, the normal 
review process requires twenty copies. Investigators are encouraged to 
submit sufficient proposal copies for the full review process if they 
wish all reviewers to receive color or high-resolution graphics, 
unusual- sized materials (not 8.5 x 11''), or otherwise unusual 
materials submitted as part of the proposal. Facsimile transmissions 
and electronic mail submission of full proposals will not be accepted.

[[Page 11844]]

Required Elements

    All recipients are to closely follow the instructions and 
guidelines in the preparation of the standard NOAA Application Forms 
and Kit requirements listed in paragraph under Part II: Further 
Suppementary Information. Each proposal must also include the following 
eight elements:
    (1) Signed Summary title page--The title page should be signed by 
the Principal Investigator (PI) and the institutional representative. 
The Summary Title page identifies the project's title starting with the 
acronym GLOBEC, a short title less than 50 characters), and the lead 
PI's name and affiliation, complete address, phone, FAX, and E-mail 
    (2) One-page abstract/project summary--An abstract must be included 
and should contain an introduction of the problem, rationale, 
scientific objectives and/or hypotheses to be tested, 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) Statement of work/project description--The first section of the 
Project Description must be a Statement of Work for Year One, followed 
by a section of Relevant Results from Prior Support (not to exceed five 
pages). The remainder of the Project Description is as follows: The 
proposed project must be completely described, including identification 
of the problem, scientific objectives, proposed methodology, relevance 
to the overall goals of the GLOBEC NEP program, and its scientific 
    Project management should be clearly identified with a description 
of the functions of each principal investigator within a team. It is 
important to provide a full scientific justification for the research; 
do not simply reiterate justifications presented in this notice. The 
project description section (including Relevant Results from Prior 
Support,) should not exceed 15 pages.
    Both page limits are inclusive of figures and other visual 
materials, but exclusive of references and milestone chart. This 
section should also include:
    (a) the objective for the period of proposed work and its expected 
    (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 the 
overall GLOBEC NEP program goals, and
    (d) potential coordination with other investigators.
    (e) References cited--Reference information is required. Each 
reference must include the name(s) of all authors in the same sequence 
in which they appear in the publications, the article title, volume 
number, year of publications, and page numbers. While there is no 
established page limitation, this section should include bibliographic 
citations only and should not be used to provide further annotated 
information outside the 15-page project description.
    (4) Milestone chart--Time lines of major tasks covering the 
duration of the proposed project up to 60 months.
    (5) Budget--Applicants must submit the Facesheet, Standard Form 424 
(Rev 7-97), ``Application for Federal Assistance'', to indicate the 
total amount of funding proposed for the whole project period. 
Proposals must also include annual budgets which correspond with the 
descriptions provided in the statement of work. Therefore, applicants 
are also required to submit the Standard Form 424A (Rev 7-97), ``Budget 
Information - Non-Construction Programs'' in order to provide a 
detailed budget for fiscal year increments (1999, 2000, . . . 2003).
    Include a budget narrative/justification to support all proposed 
budget object class categories. Note that for multi-year project 
periods, the out-year budget estimates are to be included in Section E, 
page 2, on the Standard Form 424A. These forms are included on the COP 
website listed under Part II, section (10) Application Forms and Kit. 
The program office shall review the proposed budgets to determine the 
necessity and adequacy of proposed costs for accomplishing the 
objectives of the proposed grant.
    NSF requires information on ship requirements in order to schedule 
time on University-National Oceanographic Laboratory System (UNOLS) 
vessels. Ship requirements and costs do not need to be included on the 
budget forms SF 424 or SF 424A, but must be separately identified to 
NSF by submitting a NSF-UNOLS Ship Time Request Form (available from 
UNOLS Office, University of Rhode
    Island, P.O. Box 392, Saunderstown, RI 02874, Telephone:
    (401) 874-6825, Fax: (401) 874-6486, and email address: 
[email protected].
    The form is included as Appendix A of ``Instructions for 
Preparation of Proposals Requesting Support for Oceanographic
    Facilities'', NSF 94-124. The form is also available via the UNOLS 
web site at http://www.gso.uri.edu/unols/ship/shiptime.html. Paper 
copies may be requested from UNOLS, but the electronic version is 
strongly preferred for ease of information exchange and processing. If 
no ship time is required, submit the UNOLS form and indicate that no 
shiptime is required.
    (6) Biographical sketch--Abbreviated curriculum vitae, two pages 
per investigator, are sought with each proposal. Include a list of up 
to five publications most closely related to the proposed project and 
up to five other significant publications. A list of all persons 
(including their organizational affiliation), who have collaborated on 
a project, book, article, or paper within the last 48 months should be 
included in alphabetical order. If there are no collaborators, this 
should be so indicated. Students, post-doctoral associates, and 
graduate and postgraduate advisors of the PI should also be disclosed. 
This information is used to help identify potential conflicts of 
interest or bias in the selection of reviewers.
    (7) Current and pending support--NSF requires information on 
current and pending support of all proposers. Describe all current and 
pending support for all PIs, including subsequent funding in the case 
of continuing grants. A model format is available on NSF Form 1239, 
available at http://www.nsf.gov/cgi-bin/getpub?99form1239. This form is 
part of the NSF Grant Proposal Guide and Proposal Forms Kit. Use of 
this form is optional; however, the categories of information included 
on the NSF Form 1239 must be provided.
    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 PI and 
other senior personnel 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.
    (8) Proposal format and assembly--Clamp the proposal in the upper 
left-hand corner, but leave it unbound. Use one 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 points size. Print on one side of the 
page only.

[[Page 11845]]

Part II: Further Supplementary Information

    (1) Program Authorities: 33 U.S.C. 1121; 33 U.S.C. 883a et seq. 33 
U.S.C. 1442; l6 U.S.C. 1456c; and the National Science Foundation Act 
of l950, as amended (42 U.S.C. l86l-75)
    (2) Catalog of Federal Domestic Assistance Numbers: 11.478 for the 
Coastal Ocean Program; and 47.050 for the National Science Foundation.
    (3) Program Description: See initial COP General Notice--63 FR 
44237, August 18, 1998.
    (4) Funding Availability: Funding is contingent upon receipt of 
fiscal years 1999 - 2003 federal appropriations. The anticipated 
maximum annual funding for NEP GLOBEC activities is approximately $6 to 
$8 million, which may not occur until 2001; until then the program 
expects increments from its current level of approximately $2.5 million 
per year. Of the annual total, approximately half will be devoted to 
CCS activities, and half to CGOA research.
    If an application is selected for funding, NSF and NOAA have no 
obligation to provide any additional prospective funding in connection 
with that award in subsequent years. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of the funding agencies. Not all proposals selected will receive 
funding for the entire duration of the CCS program. Moreover, start 
dates for some proposals may be delayed, or proposals may be funded for 
the second of the two field years only. Proposals selected for funding 
by NSF must comply with NSF grants administration requirements for any 
additional budget forms required by that agency. Publication of this 
announcement does not obligate any agency to any specific award or to 
obligate any part of the entire amount of funds available.
    (5) Matching Requirements: None.
    (6) Type of Funding Instrument: Project grants
    (7) Eligibility Criteria: Opportunity is extended to universities, 
colleges, junior colleges, technical schools, institutions, 
laboratories, and non-profit organizations. Non-federal researchers 
should comply with their institutional requirements for proposal 
submission. Federal researchers in successful multi-investigator 
proposals will be funded through NOAA as NSF does not normally support 
research or education activities by scientists, engineers, or educators 
employed by Federal agencies or Federally Funded Research and 
Development Centers (FFRDCs).
    (8) Award Period: Full Proposals can cover a project period from 1 
to 5 years, i.e. from date of award for up to 60 consecutive months. 
Multi-year project period funding may be funded incrementally on an 
annual basis. For NOAA awards, each annual award shall require a 
Statement of Work that can be easily separated into annual increments 
of meaningful work which represents solid accomplishments if 
prospective funding is not made available, or is discontinued.
    (9) Indirect Costs: If indirect costs are proposed, the following 
statement applies: The total dollar amount of the indirect costs 
proposed in an application must not exceed the indirect cost rate 
negotiated and approved by a cognizant Federal agency prior to the 
proposed effective date of the award.
    (10) Application Forms and Kit: When applying for financial 
assistance under this announcement, applicants will be able to obtain a 
copy of the Federal Register announcement and a standard NOAA 
Application Kit from the COP home page at the following World Wide Web 
address: http://www.cop.noaa.gov/cop-home.html. If you are unable to 
access this information, you may also call COP at (301) 713-3338, 
extension 116 to leave a mail request.
    The Standard Forms 424 (Rev July 1997) Application for Federal 
Assistance; 424A (Rev July 1997); Budget Information - Non-Construction 
Programs; and 424B (Rev July 1997) Assurances - Non Construction 
Programs, shall be used in applying for financial assistance. In 
addition, Forms CD-511, Certifications Regarding Debarment, Suspension 
and Other Responsibility Matters; Drug-Free Workplace Requirements and 
Lobbying; 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 SF-LLL, Disclosure of 
Lobbying Activities, if applicable.
    (11) Project Funding Priorities: Priority consideration will be 
given to a set of proposals that provide balanced coverage of the 
overall goals of the GLOBEC Northeast Pacific program and avoid 
substantial duplication of completed or ongoing work.
    (12) Evaluation Criteria: Consideration for financial assistance 
will be given to those proposals that address one or more of the 
overall GLOBEC NEP program goals listed above and meet the following 
evaluation criteria:
    (a) Scientific Merit (20 percent): Intrinsic scientific value of 
the subject and the study proposed.
    (b) Relevance (20 percent): Importance and relevance to the overall 
goals of the GLOBEC NEP program and to the process oriented field 
program goals listed above.
    (c) Methodology (20 percent): Focused scientific objective and 
strategy, including measurement strategies and data management 
considerations; project milestones; and final products.
    (d) Readiness (20 percent): 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.
    (e) Linkages (10 percent): Connections to existing or planned 
national and international programs; and partnerships with other GLOBEC 
participants, when appropriate.
    (f) Costs (10 percent): Adequacy of proposed resources; appropriate 
share of total available resources; prospects for joint funding; 
identification of long-term commitments.(Matching funding is 
encouraged, but is not required.)
    (13) Selection Procedures: All proposals will be evaluated and 
ranked individually in accordance with the assigned weights of the 
above evaluation criteria by (a) independent peer mail review and by 
(b) independent peer panel review. Both NOAA and non-NOAA 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 their area of expertise, and rank them 
individually on a scale of one to five, where scores represent 
respectively; excellent, very good, good, fair, poor.
    The peer panel will be comprised of 4 - 8 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 the mail reviews of all proposals, and will use the mail 
reviews in discussion and evaluation of theentire slate of proposals. 
Each panel member will rank proposals on the scale of one to five, as 
    The program officer(s) will not vote as part of the independent 
peer panel. Those proposals receiving an average panel rank of fair or 
poor will not be given further consideration and will be notified of 
non-selection. For the proposals rated by the panel as either 
Excellent, Very Good, or Good, the NOAA GLOBEC Program Manager and

[[Page 11846]]

the NSF Biological Oceanography Program Director will first apply the 
project funding priorities listed in section 11; second, select the 
proposals to be recommended for funding; third, determine the total 
duration of funding for each proposal; and fourth, determine the amount 
of funds available for each proposal. Awards may not necessarily be 
made to the proposals scored highest by individual panel and/or mail 
    The NOAA GLOBEC Program Manager or the NSF Biological Oceanography 
Program Director or staff will notify lead proposers for those projects 
recommended for support, and negotiate revisions in the proposed work 
and budget. Final awards will be issued by the agency responsible for a 
specific project after receipt and processing of any specific materials 
required by the agency.
    When a decision has been made (whether an award or declination), 
verbatim copies of reviews, excluding the names of the reviewers, and 
summaries of review panel deliberations, if any, are available to the 
proposer. No information directly identifying reviewers or other 
pending or declined proposals will be released.
    (14) Other Requirements: See initial COP Notice--63 FR 44237, 
August 18, 1998, at the COP Internet Site: http://www.cop.noaa.gov/cop-
    (15) This notification involves collections of information subject 
to the requirements of the Paperwork Reduction Act. The standard NOAA 
forms have been approved by the Office of Management and Budget (OMB) 
under control numbers 0348-0043, 0348-0044, 0348-0040 and 0348-0046. 
The NSF-UNOLS Ship Time Request Form and the NSF Form for Current and 
Pending Support have been approved by OMB as follows:
    Proposals to NSF must include a one-page NSF-UNOLS Ship Time 
Request Form. The investigator is responsible for sending copies to the 
UNOLS office and ship operators. The form is included in Appendix A of 
``Instructions for Preparation of Proposals Requesting Support for 
Oceanographic Facilities'' NSF 94-124. The form, also titled NSF Form 
831 (Rev July 1992) has OMB clearance through September l999 under 
control number OMB #3145-0058.
    The form is also available via the UNOLS web site at http://
www.gso.uri.edu/unols/ship/shiptime.html. Paper copies also may be 
requested from UNOLS, but the electronic version is strongly preferred 
for ease of information exchange and processing. The form has been 
available electronically since l994. The NSF guidelines and ship time 
form were included in the then-existing e-mail based Internet 
electronic dissemination system operated by NSF - Science and 
Technology Information System). The NSF Form l239 (Oct 1998) for 
Current and Pending Support is cleared as part of the NSF Grant 
Proposal Guide and Proposal Forms Kit under OMB# 3145-0058 with an 
expiration date of September l999.
    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 
current valid OMB control number.

    Dated: March 4, 1999.
Captain Ted I. Lillestolen,
Deputy Assistant Administrator for Ocean Service and Coastal Zone 

    Dated: March 2, 1999.
G. Michael Purdy,
Director, Division of Ocean Sciences, National Science Foundation.
[FR Doc. 99-5956 Filed 3-9-99; 8:45 am]