[Federal Register Volume 64, Number 66 (Wednesday, April 7, 1999)]
[Notices]
[Pages 16930-16937]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-8616]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
ENVIRONMENTAL PROTECTION AGENCY
NATIONAL SCIENCE FOUNDATION
DEPARTMENT OF DEFENSE
Office of Naval Research
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
[Docket No. 990203 041-9041-01; I.D. No. 020299B]
RIN 0648-ZA60
Request for Proposals for the Ecology and Oceanography of Harmful
Algal Blooms Project
AGENCIES: The Coastal Ocean Program and the National Sea Grant College
Program/National Oceanic and Atmospheric Administration (NOAA)/
Commerce; the National Center for Environmental Research and Quality
Assurance/Environmental Protection Agency(EPA); the Directorate for
Geosciences, Division of Ocean Sciences/National Science
Foundation(NSF); the Office of Naval Research(ONR) /Department of
Defense; and the Office of Earth Science/National Aeronautics Space
Administration(NASA).
ACTION: Supplemental notification for financial assistance for project
grants.
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SUMMARY: The purpose of this notice is to advise the public that the
NOAA Coastal Ocean Program(COP), the NOAA National Sea Grant College
Program, the EPA National Center for Environmental Research and Quality
Assurance, the NSF Directorate for
[[Page 16931]]
Geosciences, Division of Ocean Sciences, the Department of Defense/
Office of Naval Research, and the Office of Earth Science, National
Aeronautics and Space Administration are soliciting research proposals
of 1 to 5 years in duration for the Ecology and Oceanography of Harmful
Algal Blooms (ECOHAB) program. This program provides support for
research on all aspects of harmful algal bloom(HAB) ecology and
oceanography in U.S. coastal waters. This document details the
requirements for applications for research support to address general
HAB ecology and oceanography that will be considered by the Federal
research partnership consisted of NOAA, NSF, EPA, ONR, and NASA.
DATES: The deadline for proposals is June 7, 1999, by 3:00 PM, EST.
ADDRESSES: Submit the original and two copies of your proposal to
Coastal Ocean Program Office (ECOHAB 99), SSMC#3, 9th Floor, Room 9752,
1315 East-West Highway, Silver Spring, MD 20910. NOAA Standard Form
Applications with instructions are accessible on the following COP
Internet Site in a read-only format. Blank Forms may be printed out,
but information cannot be saved to the web site, nor transmitted
electronically to NOAA.
http://www.cop.noaa.gov
FOR FURTHER INFORMATION CONTACT:
Technical Information: Dr. Kevin Sellner, ECOHAB Coordinator, COP
Office, 301-713-3338/ext 127, Internet: [email protected].
Business Management: Leslie McDonald, COP Grants Office, (301) 713-
3338/ext 137, Internet: Leslie.McD[email protected].
If you have Brown Tide Research Initiative (BTRI) related
questions, contact Sue Banahan, COP Office, 301-713-3338/ext 115,
Internet: [email protected]. More information on the BTRI research
program is available through the World Wide Web on New York Sea Grant's
website (http://www.seagrant.sunysb.edu/pages/btri.htm), or by
contacting Cornelia Schlenk of New York Sea Grant (NYSG) at 516-632-
6906, Internet: [email protected].
SUPPLEMENTARY INFORMATION:
Background
Program Description: For complete Program Description and Other
Requirements criteria for the Coastal Ocean Program, see COP's General
Grant Administration Terms and Conditions initial notice in the Federal
Register (63 FR 44237, August l8, 1998) and at internet site: http://
www.cop.noaa.gov.
Harmful Algal Blooms(HABs) include toxic and noxious phytoplankton
(including Pfiesteria-like organisms) and benthic algae. Evidence
suggests that, over the last few decades, the frequency and duration of
HABs have been increasing nationally and worldwide. Formerly, only a
few regions of the U.S. were affected by HABs, but now virtually every
coastal state has reported major blooms. In many cases, blooms extend
over large geographic areas and are composed of more than one harmful
or toxic species. Furthermore, HABs are not unique to the United States
and have attracted interest from many countries that have commercial
and recreational activities in the coastal ocean. Most recently, a
Intergovernmental Oceanographic Commission-Scientific Committee on
Oceanic Research workshop (GEOHAB, Global Ecology and Oceanography of
HABs) in Denmark convened to consider the establishment of an
international research program on the increasing problem of HABs in our
world's coastal oceans.
In spite of a growing list of affected resources, our understanding
of the biological, physical, and chemical processes that regulate HABs
is limited. Toxic blooms can potentially impact virtually all
compartments of the marine foodweb due to adverse effects on viability,
growth, fecundity, and recruitment of marine organisms. Because toxins
can move through ecosystems, the impacts can be far reaching. Likewise,
dramatic shifts in structure of an ecosystem can accompany plankton
blooms and macroalgal overgrowth in benthic systems. In the context of
ecological effects, our present knowledge is inadequate to define the
scale and complexity of many HAB phenomena.
Impacts of HABs are extensive. Periodic blooms in some coastal
areas have caused collapse of ecosystems, with accompanying serious
economic impacts. Economic losses in the U.S. from HABs are likely to
exceed one billion dollars over several decades. The costs of HABs are
included in toxin monitoring programs, closures of shellfish beds,
collapse of some fisheries and shellfisheries, mortality of fish and
shellfish, disruptions in tourism, threats to public and coastal
resource health, publication of watershed, health and seafood
advisories, and medical treatments.
HABs are not only economically costly, but they also cause severe
human health effects. Human illnesses due to natural algal toxins
include ciguatera fish poisoning, paralytic shellfish poisoning (PSP),
amnesic shellfish poisoning (ASP), neurotoxic shellfish poisoning,
diarrhetic shellfish poisoning, and short-term neurocognitive
dysfunction from exposure to Pfiesteria piscicida. Severe cases of PSP
and ASP can result in death within 24 hours of consuming the toxic
shellfish from respiratory arrest and brain dysfunction. Additionally,
ASP can have the devastating side effect of permanent memory loss.
The interagency ECOHAB program addresses the need for long-term,
large-scale, multidisciplinary research, and is outlined in the
report,`` ECOHAB, the Ecology and Oceanography of Harmful Algal
Blooms'' (Anderson, D.M. 1995. WHOI, Woods Hole, MA, 66 pp.; http://
habserv1.whoi.edu/hab/nationplan/ECOHAB/PDF/ECOHABPDF.html). The
primary objective of this notice is to solicit proposals for research
on the environmental processes that facilitate and regulate HABs in the
coastal ocean. Developing an understanding of how physical and
biological processes interact to promote bloom development,
maintenance, and decline will contribute to the ultimate goal of
preventing, managing, controlling, and mitigating the impacts of HABs,
outlined in the nation's comprehensive Federal approaches, ``Marine
Biotoxins and Harmful Algae: A National Plan'' (Anderson, D.M., S.B.
Galloway, and J.D. Joseph. 1993. WHOI Technical Report 93-02, Woods
Hole Oceanographic Institution, Woods Hole, MA 44 pp.; http://
www.redtide.whoi.edu/hab/nationplan/s-kplan/s-kcontents.html) and
``Harmful Algal Blooms in Coastal Waters: Options for Prevention,
Control, and Mitigation'' (Boesch, D.F. et al 1997. NOAA COP Decision
Analysis Series No.10, NOAA Coastal Ocean Office, Silver Spring, MD 46
pp.).
To address the increased need for research on HABs, NOAA, NSF, EPA,
ONR, and NASA combine each agency's unique interests and missions into
this coordinated research program. The interests and objectives of each
agency are defined in the following paragraphs:
NOAA--HABs and related biotoxin risk must be managed if we are to
build viable and valuable sustainable fisheries, protect threatened and
endangered species, and effectively manage coastal activities and
resources. NOAA's interest is in developing effective techniques for
prevention, control, and mitigation to assist in reducing the impacts
of HABs on public health, living marine resources, and coastal
habitats. Developing predictive
[[Page 16932]]
and early warning capabilities for HABs is a specific area of emphasis.
NSF--Many aspects of species-specific dynamics of plankton,
macroalgal populations, and species succession that contribute to bloom
formation are poorly understood. NSF's interest is in increasing our
understanding of the direct and indirect causes of HABs in our coastal
regions and their ecological consequences through research on the
physiological and ecological basis for bloom formation, the physical
and chemical attributes of coastal oceans that facilitate them, the
population attributes of bloom species, and the long-term consequences
of ecosystem changes.
EPA--Research programs support an integrated approach to protect
the integrity of ecosystems that are affected by blooms through the
development of bioindicators for toxic forms of HABs and through the
restoration of degraded ecosystems using a watershed approach. Specific
areas of emphasis for ecosystem protection related to Pfiesteria and
other HABs include the impact of nutrients from agricultural activities
and other non-point sources of pollution with investigations conducted
at the regional or watershed scale.
ONR--Plankton blooms resulting from complex coupled physical/
biological processes strongly affect the physical, optical, and
acoustic properties of the coastal ocean. ONR's interest is in
characterizing and forecasting the physical, bioacoustical, and optical
properties of blooms to improve the capability of the fleet to operate
effectively within coastal environments worldwide.
NASA--Algal pigments affect optical properties of the water in
well-characterized ways. In the open ocean, it is possible to quantify
pigment concentration using remote sensing techniques because
phytoplankton are solely responsible for variation in water color. In
nearshore, estuarine, and inland waters, suspended sediments and
dissolved organic compounds make the optical properties much more
complex. The goal of detecting algal blooms in the presence of other
colored materials is the subject of ongoing research. NASA is
interested in developing remote sensing techniques that could be
applied to the detection or tracking of harmful algal blooms in
nearshore coastal environments.
Research Goals and Topical Areas:
A. The specific goals of the research solicited by this notice are
to:
(1) Understand the causes of blooms;
(2) Determine the sources, fates, and consequences of HABs in
foodwebs and fisheries;
(3) Develop an enhanced predictive and early warning capability
for the occurrence and impact of HABs; and
(4) Explore means for prevention, mitigation, and control of HABs.
B. To address these needs, ECOHAB will support research on general
themes of:
(1) Characterization and detection of HAB cells, life stages, and
toxins;
(2) Mechanisms underlying the initiation, distribution, and
accumulation of individual bloom-forming species;
(3) Physiological and biochemical bases of the ecological role of
toxins in bloom-forming species;
(4) Physical and biological processes that influence the transport,
fate, and effects of marine biotoxins and other HAB impacts;
(5) The influence of human and natural factors on the biophysical
mechanisms that facilitate and regulate HABs, including detection and
tracking of conditions suspected of being conducive to bloom formation
and potential methods of control;
(6) Longer term consequences of ecosystem changes brought about by
the increasing frequency and persistence of planktonic blooms and
community alterations that can accompany macroalgal overgrowth in
benthic systems; and
(7) Development of models of the physical, biogeochemical, and
ecological processes that can ultimately lead to HAB prediction.
A significant challenge to the implementation of this program is
that HAB phenomena are diverse with respect to the causative organisms
involved, the hydrographic or environmental regimes in which they
occur, the factors regulating bloom dynamics, and the nature and extent
of their impacts. Whereas laboratory research helps define factors that
could be significant in causing blooms, field research and model
development are essential to determine and predict the conditions under
which blooms form. Comprehensive multidisciplinary studies are needed
to fully understand the complex mechanisms underlying the growth and
accumulation of harmful species, the formation, transfer, and fate of
toxins, the impacts of HABs and toxins on ecosystems, and the influence
of human activities on these processes.
This announcement provides an opportunity for investigators to
propose research to address the national problem of HABs. Proposals are
sought for individual studies or small interdisciplinary efforts that
address gaps in knowledge related to the nature of HAB phenomena. These
studies should address fundamental ecological and oceanographic
questions related to HABs. For example, individual studies by one or
more investigators or by small teams could address such research issues
as physical transport and techniques for identifying, detecting, and
monitoring biotoxins and HAB species.
Studies of nutrient kinetics, physiological bases of growth and
toxin production for harmful species, toxin transfer through the
foodweb, and mechanisms for controlling blooms would be of interest.
The purpose of the individual studies is to encourage research into key
questions on the underlying mechanisms involved with HABs and their
control, without necessarily being limited to particular study regions.
Proposals are sought for the following four topical areas:
(1) Ecology and oceanography of HABs, including Pfiesteria,
(2) Long Island brown tides,
(3) Prevention, control, and mitigation of HABs impacting
fisheries, aquaculture, and human health, and
(4) Economic assessments of HABs.
The following describe in detail the type of proposals sought for
each topical area:
(1) Proposals on the ecology and oceanography of HAB species,
including Pfiesteria, are encouraged, with support provided by NOAA,
NSF, and EPA. This is a broad category that encourages proposals on all
aspects of HABs and Pfiesteria along U.S. coasts. Proposals addressing
prevention, control, and mitigation of Pfiesteria will be considered as
part of this topical area; proposals addressing mitigation, management,
and control of other HAB species are to be submitted to the National
Sea Grant College Program topical area three.
(2) Proposals of 1 to 3 years in duration are sought to address the
gaps in knowledge of factors leading to the initiation, persistence,
and subsidence of brown tide (Aureococcus anophagefferens) in New
York's embayments. The NOAA Coastal Ocean Program (COP), in cooperation
with New York Sea Grant, established the Brown Tide Research Initiative
(BTRI). The goal of this program is to understand and predict the onset
of brown tide blooms and to advance strategies for mitigating its
environmental impacts.
Proposals applying for BTRI funds should address one or more of
ECOHAB goals under Section A.,(1)(3) and/or (4) and research themes
under Section B., (2)(5) and/or (7) in the context of the
[[Page 16933]]
specific scientific objectives of the BTRI. Those objectives are:
(a) Identification of the physical, chemical, and biological
factors that initiate and sustain brown tide blooms. Investigations
into a range of factors will be considered. Of special interest are
laboratory, mesocosm, and field studies in the areas of growth
physiology of Aureococcus; nutrient (and other growth factors) budgets
in affected areas, including the role of groundwater and its
constituents; water column conditioning; benthic-pelagic coupling;
dynamics of brown tide blooms and other resident planktonic
communities; and the role of allelopathy in brown tide blooms.
Retrospective analysis and synthesis of existing data and information
that can explain and predict brown tide events will also be considered
(e.g., examinations of water quality monitoring data sets and previous
studies).
(b) Techniques to isolate and maintain axenic cultures of
Aureococcus.
(c) Identification of the factors leading to the cessation of brown
tide blooms. This may include investigations on activities of viruses
and other pathogens, autolysis, and ecology of the resident grazing
community.
Research should be hypothesis-based and focused on understanding
the causes of brown tide blooms, with the goal to advance information
for developing approaches to avoid or minimize these blooms.
Geographically, this effort is focused on New York's affected bays
(e.g., the Peconic Bays and the South Shore Estuary). It is expected
that information gained in this study will provide insight useful in
understanding and managing brown tide occurrences in Rhode Island and
New Jersey and will shed light on other harmful algal bloom phenomena.
Investigators will be expected to justify proposed research within the
context of proposed or on-going work and build upon rather than repeat
previous experimental efforts.
(3) NOAA's National Sea Grant College Program solicits proposals
that focus on two topical areas. The first of these two are the
development of mitigation, management, and potential control strategies
to enhance our ability to protect commercially important fisheries,
aquaculture, and human health from the impacts of HAB species other
than Pfiesteria.
(4) The National Sea Grant College Program is also interested in
requests specific to the assessment of the economic impacts of HABs
(including Pfiesteria) in order to evaluate the cost-effectiveness of
potential management actions.
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.
ECOHAB will support projects ranging from laboratory studies by
individual investigators or by small research teams through
coordinated, well-integrated, multidisciplinary field programs. Studies
will also be supported to develop predictive models and address gaps in
knowledge related to mechanisms that regulate harmful algal species,
including Pfiesteria and related taxa. While the agencies will maintain
separate funding mechanisms, a common review process will be used to
evaluate and select proposals.
Upon conclusion of external peer and panel merit review,
meritorious proposals may be recommended for funding by any of the
agencies. Subsequent grant administration procedures will be in
accordance with the individual policies of the awarding agency. In
addition to the extramural funding, NOAA and other permitted Federal
partnering agencies may fund investigators from other Federal
laboratories that successfully compete through the ECOHAB Program
announcement. To address the increased need for research on HABs, NOAA,
NSF, EPA, ONR, and NASA combine each agency's unique interests and
missions into this coordinated research program.
Full Proposals
Letters of Intent and/or partial proposals are not requested under
this notice. Applications must include the original and two unbound
copies of the full 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 otherwise unusual materials submitted as
part of the proposal. Facsimile transmissions and electronic mail
submission of full proposals will not be accepted.
Required Elements
All applicants must closely follow the instructions and guidelines
in the Standard NOAA Application Forms and Kit (see Part II) for
preparation of the proposal.
Each proposal must 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 ECOHAB, a short title (less than 50 characters), and the lead
PI's name and affiliation, complete address, phone, FAX and e-mail
information.
(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 name(s), total proposed cost, and budget period.
(3) Statement of work/project description. The first section of the
project description must be a summary of previous relevant research.
This section should also include the following: (a) the objective for
the period of proposed work and its expected significance; (b) the
relation to the present state of knowledge in the field and relation to
previous work and work in progress by the proposing principal
investigator(s); (c) a discussion of how the proposed project lends
value to the program goals; and (d) specific plans for making research
products generated in the project, such as environmental data,
cultures, genetic sequences, etc., available to the scientific
community. NOAA and NSF have specific requirements that environmental
data be submitted to the National Oceanographic Data Center;
participating agencies may have additional requirements or guidelines
for sharing of research materials and data.
Project management should be clearly identified with a description
of the management function 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 should not exceed 15 pages. Page
limits are inclusive of figures and other visual materials, but
exclusive of references and milestone chart. The type size must be
clear and readily legible, in 12 point size. There must be no more than
6 lines in a vertical space of 2.5 cm, and margins at the top, bottom,
and each
[[Page 16934]]
side of pages should be a minimum of 2.5 cm.
(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 July 1997), ``Application for Federal Assistance'', to indicate
the total amount of funding proposed for the whole project period.
Proposals must also include annual budgets that 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.
Include a budget narrative/justification to support all proposed
budget object class categories. Note that, for multiyear project
periods, the out-year budget estimates are to be included in Section E
on Standard Form 424A. These forms are included on the COP website
listed under Part II, 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 requests information on ship requirements in order to schedule
time on University-National Oceanographic Laboratory System (UNOLS)
vessels as NSF might fund any of the proposals submitted. Ship
requirements and costs do not need to be included on the budget forms
SF-424 or SF-424A, but must be separately identified by submitting a
NSF-UNOLS Ship Time Request Form (OMB #3145-0058, expiration date
September 1999) identifying ship, sea days, ship requirements (berths,
labs, wire capabilities, special equipment, etc). Support of ships
required for field studies are a significant cost that will be
evaluated in any proposals for funding, so the need should be
adequately justified within the project description. The funding
mechanism for ship time is agency specific.
The NSF form is included as Appendix A, ``Instructions for
Preparation of Proposals Requesting Support for Oceanographic
Facilities'', NSF 94-124. The form is also available via the UNOLS web
site at ttp://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. The
investigator is responsible for sending copies to the UNOLS office and
ship operators. If no ship time is required, submit the UNOLS form and
indicate that no shiptime is required.
(6) Biographical sketch. All senior personnel must provide two-page
summaries that include the following:
(a) A listing of professional and academic essentials and mailing
address;
(b) A list of up to five publications most closely related to the
proposed project and five other significant publications, within the
last five years. Additional lists of publications, lectures, etc.,
should not be included;
(c) A list of all persons and their organizational affiliation in
alphabetical order who have collaborated on a project or publication
within the last 48 months, including collaborators on the proposal and
persons listed in the publications. If there are no collaborators, this
should be so indicated;
(d) A list of persons (including their organizational affiliation),
with whom the individual has had an association as thesis advisor or
postdoctoral scholar sponsor;
(e) A list of the names and institutions of the individual's own
graduate and postgraduate advisors.
The material presented in (c)(d) and (e) is used to assist in
identifying potential conflicts or bias in the selection of reviewers.
(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) Appendices. The only material permitted in the Appendix is an
EPA quality assurance (QA) statement (QANS, OMB #2080-0033, approved 8/
14/97) for proposals for topical area (1), general HAB research
(including Pfiesteria) that involve data collection or processing,
surveys, environmental measurements, and/or modeling. The statement
simply indicates how quality processes or products will be assured.
This statement should not exceed two consecutively numbered, 8.5 x 11-
inch pages of single-spaced standard 12-point type with 1-inch margins.
For topical area (1) projects that involve environmentally related
measurements or data generation, a quality system that complies with
the requirements of ANSI/ASQC E4, ``Specifications and Guidelines for
Quality Systems for Environmental Data Collection and Environmental
Technology Programs'', must be in place as follows:
(a) The activities to be performed or hypothesis to be tested
(reference may be made to the specific page and paragraph number in the
application where this information may be found); criteria for
determining the acceptability of data quality in terms of precision,
accuracy, representativeness, completeness, and comparability.
(b) The study design including sample type and location
requirements and any statistical analyses that were used to estimate
the types and numbers of samples required for physical samples or
similar information for studies using survey and interview techniques
(c) The procedures for the handling and custody of samples,
including sample identification, preservation, transportation, and
storage.
(d) The methods that will be used to analyze samples or data
collected, including a description of the sampling and/or analytical
instruments required.
(e) The procedures that will be used in the calibration and
performance evaluation of the sampling and analytical methods used
during the project.
(f) The procedures for data reduction and reporting, including a
description of statistical analyses to be used and any computer models
to be designed or utilized associated with verification and validation
techniques.
(g) The intended use of the data as they relate to the study
objectives or hypotheses.
(h) The quantitative and or qualitative procedures that will be
used to evaluate the success of the project.
(i) Any plans for peer or other reviews of the study design or
analytical methods prior to data collection.
[[Page 16935]]
ANSI/ASQC E4, ``Specifications and Guidelines for Quality Systems
for Environmental Data Collection and Environmental Technology
Programs'' is available for purchase from the American Society for
Quality Control, phone 1-800-248-1946, item T55. Only in exceptional
circumstances should it be necessary to consult this document.
Proposal Format and Assembly
Clamp the proposal in the upper left-hand corner, but otherwise
leave it unbound. Use 1 inch (2.5 cm) margins at the top, bottom, left,
and right of each page. Use clear and easily legible type face in
standard size of 12 points. Print on one side of the page only. These
guidelines for proposal preparation are mandatory. Proposals that
deviate from the prescribed format will be returned to the sender
without further consideration.
Part II: Further Supplementary Information
(l) Program Authorities for COP and Sea Grant/NOAA-33,U.S.C. 1121
et. seq. as amended; for EPA-33, U.S.C 1251 et. seq. and 40 CFR parts
30 and 40; for NSF-42, U.S.C. 1861 et. seq.; for ONR-10, U.S.C 2358 as
amended and 31 U.S.C 6304; and for NASA-14 CFR part 1260.
(2) Catalog of Federal Domestic Assistance Numbers. 11.478 for the
Coastal Ocean Program; 11.417 for NOAA/Sea Grant; 66.500 for the
Environmental Protection Agency; 47.050 for the National Science
Foundation, and 12.300 for the Office of Naval Research.
(3) Program Description. See initial COP General Notice (63 FR
44237, August 18, 1998).
(4) Funding Availability. Publication of this notice does not
obligate any agency to any specific award or to any part of the entire
amount of funds available. Recipients and subrecipients are subject to
all Federal laws and agency policies, regulations, and procedures
applicable to Federal financial assistance awards.
A total of $2,150,000 is available for general research on HABs,
including Pfiesteria, topical area (1). Small individual studies may
typically request $80,000-$100,000 per investigator annually; EPA
funding will be limited to $150,000 per year for a maximum of 3 years.
Requests to support small group or team projects, including those with
field components, are expected to be proportionately higher. In any
proposal, support should be strongly justified. All projects should
budget funds for investigator participation in an ECOHAB meeting in FY
2000.
Funds available for research under the BTRI, topical area (2), are
approximately $400,000 in FY 1999, $400,000 in FY 2000, and $300,000 in
FY 2001, pending appropriations. Proposed projects may be 1 to 3 years
in length. The annual funding level of a typical grant (one to two
investigators) may be up to $100,000, although more comprehensive,
multidisciplinary proposals may require higher levels of funding. All
proposed BTRI projects should budget funds (as necessary) for
investigators to participate in the BTRI Symposium held annually on
Long Island, NY.
A total of $550,000 is available for the National Sea Grant College
Program research topics, prevention, control, and mitigation for
fisheries and aquaculture and economic assessment, topical areas (3)
and (4). The annual funding level of a typical grant (one to two
investigators) is anticipated to be up to $100,000, although more
comprehensive, multidisciplinary proposals may require higher levels of
funding. Proposed activities may extend for up to 2 years, but funding
to cover both project years will be awarded in FY99; an annual report
showing satisfactory progress must be submitted at the end of the first
year.
Project activities should include identified milestones for each
project year. Support in years after FY99 are contingent upon the
availability of funds and the requirements of an individual agency
supporting the project.
(5) Matching Requirements. For proposals submitted to the National
Sea Grant College Program topical areas on (a) prevention, control, and
mitigation of HABs for fisheries and aquaculture and (b) economic
assessment (see paragraph (4), matching funds equivalent to 50 percent
of Federal funds requested must be provided; for the other two topical
research areas (general HABs and Pfiesteria, and BTR research), no
matching funds are required.
Proposals must include matching funds equivalent to at least 50
percent of Federal funds requested, or at least 33 percent of the total
project cost; for example, a request of $100,000 in Federal funds must
be accompanied by at least $50,000 in matching funds.
(6) Type of Funding Instrument. Project grants.
(7) Eligibility Criteria. This opportunity is open to all
interested, qualified, non-federal, and Federal researchers. Non-
federal researchers should comply with their institutional requirements
for proposal submission. 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 affiliated with NOAA-University Joint
Institutes should comply with joint institutional requirements. Non-
federal awardees will be funded either through grants to their
institutions or through their joint institutes. Proposals deemed
acceptable from Federal researchers will be funded through NOAA via a
mechanism other than a grant or cooperative agreement. DOC requirements
will prevail if there is a conflict between DOC requirements and
institutional requirements.
(8) Award Period. Full Proposals can cover a project period from 1
to 5 years as listed here: Funds are available for general HABs and
Pfiesteria from FY1999 through FY2004; BTRI from FY1999 through FY2001;
and for the National Sea Grant College topics from FY1999 through
FY2000 - all dependent on continuing appropriations. Multiyear awards
may be funded in total or incrementally on an annual basis; the funding
period by participating agencies is at the discretion of the individual
agency.
(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.
(l0) 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. If you are unable to access this
information, you may also call COP at (301) 713-3338, extension 116, to
leave a mailing 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, other forms required include the CD-511, Certifications
Regarding Debarment, Suspension and Other Responsibility Matters; Drug-
Free Workplace Requirements and Lobbying (submitted with the
application package); the CD-512, Certification Regarding Debarment,
Suspension, Ineligibility and Voluntary
[[Page 16936]]
Exclusion-Lower Tier Covered Transactions and Lobbying (this
certification is to remain with the recipient and not to be forwarded
to the Grants Officer); and SF-LLL, Disclosure of Lobbying Activities
(if applicable).
(11) Project Funding Priorities. Priority consideration will be
given to those highly ranked proposals that promote balanced coverage
of ECOHAB science goals (pp. 7-8, Research Goals and Topical Areas),
provide a programmatically balanced approach to missions of each
agency, and avoid duplication of completed or on-going work.
(12) Evaluation Criteria. Consideration for financial assistance
will be given for proposals that address the following elements:
(a) Scientific Merit (20 percent): Intrinsic scientific value of
the proposed work and the likelihood that it will lead to fundamental
advancements and new discoveries, or that it will have substantial
impact on progress in that field;
(b) Research Performance Competence (20 percent): The capability of
the investigator and collaborators to complete the proposed work as
evidenced by past research accomplishments, previous cooperative work,
timely communication, and sharing of findings, data, and other research
products;
(c) Relevance (20 percent): Likelihood that the research will
contribute to the goals of ECOHAB and lead to improved management of
coastal resources;
(d) Technical Approach (20 percent): Availability of focused
science objectives and a complete but efficient strategy for making
measurements and observations in support of the objectives. The
scientific approach is sound and logically planned throughout the cycle
of the proposed work;
(e) Linkages (10 percent): Connections to existing or planned
studies, or demonstrated cooperative arrangements to provide or use
data or other research results to achieve the goals of ECOHAB and this
specific notice;
(f) Costs (10 percent): Adequacy of the proposed resources to
accomplish the proposed work, and the appropriateness of the requested
proportion of the total available funds.
(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 Federal and non-federal experts
in the field may be used in this process. The peer mail reviewers will
be several individuals with expertise in the subjects addressed by
particular proposals. Each mail reviewer will see only certain
individual proposals within his or her area of expertise, and rank them
individually on a scale of 1'' to 5'', where scores represent
respectively: excellent, very good, good, fair, poor.
The peer panel will consist of 8 to 10 individuals, with each
individual having expertise in a separate area, so that the panel as a
whole covers a broad 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 the entire slate of proposals.
Each panel member will rank proposals on the scale of ``1'' to ``5'',
as stated in the preceding paragraph.
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 program managers will first apply
the project funding priorities listed earlier in this document under
Part 11, Paragraph (11). (However, EPA will consider only Excellent and
Very Good proposals for funding). Second, the program managers will
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 the highest by individual
panel and/or mail reviews.
When a decision is made (whether an award or declination), verbatim
copies of reviews, excluding the names of the reviewers, and summaries
of review panel deliberations, if any, become available to the
proposer. No information directly identifying reviewers or other
pending or declined proposals will be released.
Dependent on the agency recommending support, investigators may be
asked to modify objectives, work plans, or budgets and provide
supplemental information required by the agency prior to the award.
Subsequent grant administration procedures will be in accordance with
the individual policies of the awarding agency. A summary statement of
the scientific review by the peer panel will be provided to each
applicant.
(14) Other Requirements. See initial COP Notice (63 FR 44237,
August 18, 1998), at the COP Internet Site: http://www.cop.noaa.gov.
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 EPA-required QA statement was approved in OMB document #2080-0033
(August 14, 1997). The NSF-UNOLS Ship Time Request Form and the NSF
Form for Current and Pending Support have been approved by OMB as
follows:
The UNOLS form, also titled NSF Form 831 (Rev July 1992) has OMB
clearance through September l999 under control number OMB #3145-0058.
The form is available via the UNOLS web site at the following web site:
http://www.gso.uri.edu/unols/ship/shiptime.html. Paper copies may also
be requested from UNOLS, but the electronic version is strongly
preferred for ease of information exchange and processing. 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.
[[Page 16937]]
Dated: March 23, 1999.
Ted I. Lillestolen,
Deputy Assistant Administrator, Ocean Service and Coastal Zone
Management.
Dated: March 17, 1999.
Norine E. Noonan,
Assistant Administrator, Office of Research and
Development,Environmental Protection Agency.
Dated: March 16, 1999.
G. Michael Purdy,
Director, Division of Ocean Sciences, National Science Foundation.
Dated: March 29, 1999.
Steven E. Ramberg,
Department Head, Ocean, Space and Atmosphere Science and Technology
Department, Office of Naval Research.
Dated: March 26, 1999.
Jack A Kaye,
Director, Research Division, Office of Earth Science,NASA Headquarters.
[FR Doc. 99-8616 Filed 4-6-99; 8:45 am]
BILLING CODE 3510-22-F