[Federal Register Volume 65, Number 203 (Thursday, October 19, 2000)]
[Notices]
[Pages 62706-62709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-26937]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 000817236-0236-01; I.D. 091100B]
RIN 0648-ZA92


General Grant Administration Terms and Conditions of the 
CoastalOcean Program

AGENCY: Center for Sponsored Coastal Ocean Research/Coastal Ocean 
Program (CSCOR/COP), National Ocean Service (NOS), National Oceanic and 
Atmospheric Administration (NOAA), Commerce.

ACTION: Notice for financial assistance for project research grants and 
cooperative agreements.

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SUMMARY: It is the intent of NOAA/NOS/CSCOR/COP to provide direct 
financial assistance in the form of discretionary research grants and 
cooperative agreements under its program for the management of coastal 
ecosystems.
    This document does not solicit proposals but rather describes the 
general grant administration terms and conditions of the CSCOR/COP 
program for fiscal year 2001. It is CSCOR/COP's intent to issue 
supplemental Announcements of Opportunities (AOs) to request proposals 
on specific projects throughout the year on an as-needed basis. Any AOs 
will be issued through the Federal Register. Information regarding 
these announcements will be made available on the CSCOR/COP Home Page 
and CSCOR/COP's e-mail list. These announcements will provide specific 
program descriptions.
    CSCOR/COP supports research on critical issues that exist in the 
Nation's estuaries, coastal waters, and the Great Lakes and translates 
research findings into accessible information for coastal managers, 
planners, lawmakers, and the public. CSCOR/COP's projects are multi-
disciplinary, large in scale, and long in duration (usually 3 to 5 
years.) Projects covering more than 1 year will usually be funded on an 
annual basis.

DATES: Effective October 19, 2000.

ADDRESSES: Center for Sponsored Coastal Ocean Research/Coastal Ocean 
Program, National Oceanic and Atmospheric Administration, 1315 East 
West Highway, Room 9700, Silver Spring, MD 20910-3282

FOR FURTHER INFORMATION CONTACT: Leslie McDonald, CSCOR/COP Grants 
Administrator,(301)713-3338/x137.
    NOAA Standard Form and COP-specific application forms are 
accessible with instructions on the following COP Internet Site: http://www.cop.noaa.gov, under the COP Grants Support section, Part D, 
Application Forms for Initial Proposal Submission. If you are unable to 
access this information, you may call COP at 301-713-3338 to leave a 
mailing request. Further information on this program may be viewed at 
the same web site.

SUPPLEMENTARY INFORMATION:

Background

    (1) Program Authority(s): 16 U.S.C 1456c, 33 U.S.C 1121 et seq.; 33 
U.S.C 883a et seq.; 33 U.S.C 1442; and Pub. L. 105-383.
    (2) Catalog of Federal Domestic Assistance (CFDA): 11.478 Coastal 
Ocean Program.
    (3) Program Description: NOAA's CSCOR/COP provides predictive 
capability for managing coastal ecosystems through sponsorship of 
research. CSCOR/COP seeks to deliver the highest quality science in a 
timely manner for important coastal decisions. It supports research on 
critical issues that exist in the Nation's estuaries, coastal waters, 
and Great Lakes and translates its findings into accessible information 
for coastal managers, planners, lawmakers, and the public. The COP also 
supports educational activities at the graduate and undergraduate level 
to facilitate the development of qualified professionals in the fields 
of coastal science, management, and policy.
Coastal Ecosystem Oceanography
    CSCOR/COP supports the conservation and management of marine 
ecosystems through sponsorship of improved ecological and oceanographic 
predictions for resource management. Studies focus on (1) understanding 
critical processes that control the abundance, distribution, and 
replenishment of fishery resources; (2) determining critical habitat 
processes that influence fishery ecosystems; and (3) quantifying 
ecosystem species interactions to develop models that can be used in 
management decisions. Current efforts support studies dealing with 
Bering Sea pollock, cod and haddock on Georges Bank, salmon in the 
Pacific Northwest, and the finfish and shellfish resources of the Gulf 
of Mexico.
Cumulative Coastal Impacts
    CSCOR/COP sponsors a series of regional watershed projects on the 
causes and impacts of multiple stresses on coastal ecosystems. Studies 
focus on (l) developing indicators of stress; (2) predicting impacts of 
multiple stresses (3) valuing natural resources in ecological and 
economical terms; and (4) predicting the outcomes of management 
strategies. Current efforts are located in Chesapeake Bay, Florida Bay 
and the Keys, the Great Lakes and coastal areas of South Carolina, the 
Pacific Northwest, and coral reefs in Florida and Hawaii.
Harmful Algal Blooms (HABs) and Hypoxia
    CSCOR/COP also sponsors studies on the ecology and oceanography of 
harmful algal blooms (HABs), focusing on identifying and modeling 
linkages between the physiology, ecology,

[[Page 62707]]

behavior and toxicity of HABs and local/regional circulation patterns 
and water quality. These results will not only generate greater general 
knowledge of problematic species in the U.S. coastal waters, but also 
provide a foundation for development of regional HAB forecasting 
capabilities, eventually providing a means to assess the effectiveness 
of prevention, control, and mitigation strategies developed in the 
programs. Current regional efforts are located in the Gulf of Maine, 
eastern Long Island, the coastal regions of the mid-Atlantic States, 
and the western coast of Florida.
    Eutrophication and resulting hypoxia have become common problems 
affecting living marine resources and recreational uses of coastal 
waters. The CSCOR/COP supports research examining the influences of 
nutrient loading, physical forcing, climate change, and extent of 
hypoxic conditions (i.e., the ``dead zone'') on the ecosystem and 
fisheries of the northern Gulf of Mexico.
Benefits of the CSCOR/COP
    Continued population pressures on the Nation's coastal areas and 
ongoing changes in the environment will continue to stress our coastal 
waters, bays, and estuaries and the Great Lakes. CSCOR/COP has focused 
on developing information for longer range U.S. management and policy 
at large and complex scales. CSCOR/COP research will help the U.S. 
respond to the major challenges of the next century and to balance the 
needs of economic growth with those of conserving the environment and 
its coastal resources.
    (4) Funding Availability: On average, annual funding for each 
Announcement of Opportunity is approximately $l,000,000. Each CSCOR/COP 
project generally consists of several coordinated investigations with 
separate awards, ranging from $5,000 to $500,000. Actual funding levels 
will depend upon the final budget appropriations for the fiscal year. 
Individual AOs will be released with specific applicable dollar 
amounts.
    The financial history of CSCOR/COP grants, interagency agreements, 
and intra-NOAA funding transfers is as follows: FY97 $10.00M; FY98 
$8.5M; FY99 $8.5M, and FY00 $8.5M. Publication of this notice does not 
obligate Commerce/NOAA to any specific award or to obligate any part of 
the entire amount of funds available. Recipients and subrecipients are 
subject to all Federal laws and agency policies, regulations, and 
procedures applicable to Federal financial assistance awards.
    If an application for a financial assistance award is selected for 
funding, CSCOR/COP has no obligation to provide any additional 
prospective funding in connection with that award in subsequent years.
    (5) Matching Requirements: None.
    (6) Type of Funding Instrument: They are project grants and 
cooperative agreements, interagency agreements and transfers, and 
intra-NOAA funding transfers.
    In an effort to maximize the use of limited resources, applications 
from non-Federal, non-NOAA Federal and NOAA applicants will be competed 
against each other. Research proposals selected for funding from non-
Federal researchers will be funded through a project grant. Research 
proposals selected for funding from non-NOAA Federal applicants will be 
funded through an interagency transfer, provided legal authority exists 
for the Federal applicant to receive funds from another agency. Support 
may be solely through COP or partnered with other Federal offices and 
agencies.
    (7) Eligibility Criteria: CSCOR/COP funding opportunities are open 
to all interested, qualified, non-Federal, and Federal researchers. 
Researchers must be affiliated with a not-for-profit institution, and 
proposals must be submitted through a not-for-profit institution. Non-
Federal researchers should comply with their institutional requirements 
for proposal submission.
    Non-NOAA Federal applicants will be required to submit 
certifications or documentation showing that they have specific legal 
authority to receive funds from the Department of Commerce (DOC) for 
this research. Foreign researchers must subcontract with U.S. 
proposers. Non-Federal researchers affiliated with NOAA-University 
Joint Institutes should comply with joint institutional requirements; 
they will be funded through grants either to their institutions or to 
joint institutes.
    Proposals deemed acceptable from Federal researchers will be funded 
through a mechanism other than a grant or cooperative agreement, where 
legal authority allows for such funding. DOC requirements will prevail 
if there is a conflict between DOC requirements and institutional 
requirements.
    (8) Award Period: Typically, CSCOR/COP's projects average 1 to 5 
years in length. Projects covering more than 1 year will usually be 
funded on an annual basis.
    (9) Application Forms: When applying for financial assistance under 
a published AO, applicants will be able to obtain both the standard 
NOAA application forms and COP-specific application forms at the COP 
home page. Forms may be viewed and, in most cases, filled in by 
computer. All forms must be printed, completed, and mailed to CSCOR/COP 
with original signatures in blue ink. If you are unable to access this 
information, you may also call (301)713-3338 to leave a mail request. 
At time of submission, the applicant will follow the proposal 
requirements presented in the funding announcement.
    At time of original application for financial assistance, all 
proposers are required to submit the NOAA Standard Form 424 (Rev July 
1997), ``Application for Federal Assistance'' and a COP Summary 
Proposal Budget Form for each fiscal year increment in lieu of the NOAA 
Standard Form 424A (Rev July 1997),``Budget Information for Non-
Construction Programs.'' Applicants shall also include a budget 
narrative/justification that supports all proposed budget categories. 
The SF-424A shall be requested only those recipients subsequently 
recommended for award.
    Multi-institution proposals must include a Summary Proposal Budget 
Form from each institution. Applications not adhering to these stated 
guidelines will be returned to the applicant without further review.
    In addition, other forms required as part of a complete application 
package from only those recipients subsequently recommended for award 
include the NOAA Standard Form 424-B, ''Assurances for Non-Construction 
Programs''; the CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying''; the CD-512, ``Certification Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying'' (this certification is to remain 
with the recipient and is not forwarded to the Grants Officer); and the 
SF-LLL,''Disclosure of Lobbying Activities'' (if applicable).
    (10) Project Funding Priorities: Priority considerations will be 
given to proposals that promote balanced coverage of the science 
objective stated in the later AOs, avoid duplication of completed or 
ongoing work, and increase geographic diversity. Additional and/or 
other priorities may be detailed in CSCOR/COP AOs.
    (11) Evaluation Criteria: Unless otherwise stated in an individual 
funding announcement, the following criteria and evaluation weightings 
will be used for evaluating both solicited and unsolicited proposals:
    (a) Scientific Merit (20 percent): Intrinsic scientific value of 
the proposed work and the likelihood that it will lead to fundamental 
advancements, new

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discoveries or 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 the sharing of findings, data, and other 
research products;
    (c) Relevance (20 percent): Likelihood that the research will make 
substantial contributions or develop products leading to improved 
management of coastal resources;
    (d) Technical Approach (20 percent): The proposed work has focused 
science objectives and a complete and efficient strategy for making 
measurements and observations in support of the objectives. The 
approach is sound and logically planned throughout the cycle of the 
proposed work;
    (e) Linkages (10 percent): Connections to existing or planned 
studies, or demonstrated cooperative arrangements to provide or use 
data or other research results to achieve the objectives.
    (f) Costs (10 percent): Adequacy of the proposed resources to 
accomplish the proposed work, and the appropriateness of the requested 
funding with respect to the total available funds.
    (12) Selection Procedures: All proposals will be evaluated and 
ranked individually in accordance with the assigned weights of the 
above evaluation criteria by independent peer mail review and/or by 
independent peer panel review. Both Federal and non-Federal experts in 
the field may be used in this process. The peer mail reviewers will be 
several individuals with expertise in the subjects addressed by 
particular proposals. Each mail reviewer will see only certain 
individual proposals within his or her area of expertise, and rank them 
individually on a scale of one to five, where scores represent 
respectively: Excellent, Very Good, Good, Fair, Poor.
    The peer panel will comprise of 6 to 12 individuals, with each 
individual having expertise in a separate area, so that the panel, as a 
whole, covers a range of scientific expertise. The panel will have 
access to all mail reviews of proposals, and will use the mail reviews 
in discussion and evaluation of the entire slate of proposals.
    The program officer(s) will neither vote or rank proposals as part 
of the independent peer panel nor participate in discussion of the 
merits of the proposal. Those proposals receiving an average panel rank 
of ``Fair'' or ``Poor'' will not be given further consideration, and 
proposers will be notified of non-selection.
    For the proposals rated by the panel as either ``Excellent,'' 
``Very Good,'' or ``Good'', the program managers will ,first, select 
the proposals to be recommended for funding by applying the project 
funding priorities listed in section 10 and specific objectives 
published in the AO; second, determine the total duration of funding 
for each proposal; and, third, determine the amount of funds available 
for each proposal. Because of consideration of the project funding 
priorities, awards may not necessarily be made in rank order.
    Investigators may be asked to modify objectives, work plans or 
budgets, and provide supplemental information required by the agency 
prior to the award. When a decision has been made (whether an award or 
declination), verbatim anonymous copies of reviews and summaries of 
review panel deliberations, if any, will be made available to the 
proposer.
    (13) Other Requirements:
    (a) Federal Policies and Procedures: Recipients and subrecipients 
are subject to all Federal laws and Federal and DOC policies, 
regulations, and procedures applicable to Federal financial assistance 
awards.
    (b) Past Performance: Unsatisfactory performance by a recipient 
under prior Federal awards may result in an application not being 
considered for funding.
    (c) Preaward Activities: If applicants incur any costs prior to an 
award being made, they do so solely at their own risk. Notwithstanding 
any verbal assurance that they may have received regarding an award, 
there is no obligation on the part of the Department of Commerce to 
cover pre-award expenditures unless approved by the Grants Officer, in 
writing, as part of the terms when the award is made.
    (d) No Obligation for Future Funding: If an application is selected 
for funding, DOC/NOAA has no obligation to provide any additional 
future funding in connection with that award. Amendment of an award to 
increase funding or, unless the award specifically provides to the 
contrary, to extend the period of performance is at the total 
discretion of DOC/NOAA.
    (e) Delinquent Federal Debts: No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
until:
    (i) The delinquent account is paid in full.
    (ii) A negotiated repayment schedule is established, and at least 
one payment is received, or
    (iii) Other arrangements satisfactory to the Department of Commerce 
are made.
    (f) Name Check Review: All non-profit and for-profit applicants are 
subject to a name check review process. Name checks are intended to 
reveal if any key individuals associated with the applicant have been 
convicted of, or are presently facing criminal charges such as fraud, 
theft, perjury, or other matters that significantly reflect on the 
applicant's management honesty or financial integrity.
    (g) Debarment, Suspension, Drug-Free Workplace, and Lobbying 
Provisions: All applicants must comply with the requirements of l5 CFR 
part 26, ``Government-wide Debarment and Suspension (nonprocurement) 
and Government-wide Requirements for Drug-Free Workplace (Grants)'' and 
with l5 CFR part 28, ``New Restrictions on Lobbying,'' including the 
submission of required forms and the acquisition of certifications from 
lower tier applicants/bidders.
    (h) False Statements: A false statement on an application is 
grounds for denial or termination of funds andgrounds for possible 
punishment by a fine or imprisonment as provided in 18 U.S.C. l00l.
    (i) Intergovernmental Review: Applications under this program are 
not subject to Executive Order l2372, ``Intergovernmental Review of 
Federal Programs.''
    (j) Executive Order 12866: This action was determined to be not 
significant for purposes of Executive Order 12866.
    (k) Minority Serving Institutions: Pursuant to Executive Orders 
12876, 12900, and 13021, the Department of Commerce, National Oceanic 
and Atmospheric Administration (DOC/NOAA), is strongly committed to 
broadening the participation of Historically Black Colleges and 
Universities, Hispanic Serving Institutions, and Tribal Colleges and 
Universities in its educational and research programs. The DOC/NOAA 
vision, mission, and goals are to achieve full participation by 
Minority Serving Institutions (MSI) in order to advance the development 
of human potential, to strengthen the nation's capacity to provide 
high-quality education, and to increase opportunities for MSIs to 
participate in, and benefit from, Federal Financial Assistance 
programs. DOC/NOAA encourages all applicants to include meaningful 
participation of MSIs.
    (l) Buy America: Applicants are hereby notified that they are 
encouraged, to the greatest practicable extent, to purchase American-
made

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equipment and products with funding provided under this program.
    (m) Data Archiving: Any data collected in projects supported by 
CSCOR/COP must be delivered to a National Data Center (NDC), such as 
the National Oceanographic Data Center (NODC), in an electronic format 
to be determined by the institution, the NODC, and Program Officer. It 
is the responsibility of the institution for the delivery of these 
data; the DOC will not provide additional support for delivery beyond 
the award. Additionally, all biological cultures established, molecular 
probes developed, genetic sequences identified, mathematical models 
constructed, or other resulting information products established 
through support provided by CSCOR/COP must be made available to the 
general research community at no or modest handling charge (to be 
determined by the institution, Program Officer, and DOC). For more 
details, refer to CSCOR/COP data policy posted at the COP home page.
    (n) Please note that NOAA is developing a policy on internal 
overhead charges, NOAA scientists considering submission of proposals 
should contact the appropriate CSCOR/COP Program Manager for the latest 
information.
    (o) Paperwork Reduction Act: This notification involves collection-
of-information requirements subject to the Paperwork Reduction Act. The 
use of Standard Forms 424, 424A, 424B, and SF-LLL has been approved by 
the Office of Management and Budget (OMB) under control numbers 0348-
0043, 0348-0044, 0348-0040 and 0348-0046.
    The COP Grants Application Package has been approved by OMB under 
control number 0648-0384 and includes the following information 
collections: a Summary Proposal Budget Form, a Project Summary Form, 
standardized formats for the Annual Performance Report and the Final 
Report, and the submission of up to 20 copies of proposals. Copies of 
these forms and formats can be found on the COP Home Page.
    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall any person be subject to a penalty for failure 
to comply with a collection of information subject to the requirements 
of the Paperwork Reduction Act, unless that collection displays a 
currently valid OMB control number.

    Dated: October 12, 2000.
Margaret A. Davidson,
Acting Assistant Administrator for Ocean Services and Coastal Zone 
Management.
[FR Doc. 00-26937 Filed 10-18-00; 8:45 am]
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