[Federal Register Volume 65, Number 249 (Wednesday, December 27, 2000)]
[Notices]
[Pages 81841-81844]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-32998]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 001027301-0301-01]
RIN 0648-ZA97


Sea Grant Industry Fellows Program: Request for Proposals for FY 
2001

AGENCY: National Sea Grant College Program, National Oceanic and 
Atmospheric Administration, Department of Commerce.

ACTION: Notice of request for proposals.

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SUMMARY: The purpose of this notice is to advise the public that the 
National Sea Grant College Program (Sea Grant) is entertaining 
proposals for the Industry Fellowship program to fulfill its broad 
educational responsibilities and to strengthen ties between academia 
and industry. With required matching funds from private industrial 
sponsors, Sea Grant expects to support five new Industry Fellows in FY 
2001. Each fellow will be a graduate student selected through national 
competition, and will be known as a Company Name/Sea Grant Industry 
Fellow. Proposals must be submitted by academic institutions who have 
identified a graduate fellow and an industrial sponsor who will provide 
matching funds.

DATES: Proposals must be submitted before 5 pm (local time) on April 
24, 2001 to a state Sea Grant Program office. Applications from non Sea 
Grant states, if submitted directly to the National Sea Grant Office, 
must be received by 5 pm (local time) on April 24, 2001.

ADDRESSES: Proposals originating from institutions in Sea grant states 
must be submitted through the state Sea Grant Program. Proposals 
originating elsewhere may be submitted either through the nearest Sea 
Grant Program or directly to the Program Manager at the National Sea 
Grant Office. The addresses of the Sea Grant College Program directors 
may be found on Sea Grant's home page (http://www.mdsg.umd.edu/NSGO/index.html) or may also be obtained by contacting the Program Manager 
at the National Sea Grant Office (see below).

FOR FURTHER INFORMATION CONTACT: Dr. Vijay G. Panchang, Program 
Manager, National Sea Grant College Program, R/SG, NOAA, 1315 East-West 
Highway, Silver Spring, MD 20910. Tel. (301) 713-2435 ext. 142; e-mail; 
[email protected].

SUPPLEMENTARY INFORMATION:

I. Program Authority

    Authority: 33 U.S.C. 1127(a).

    Catalog of Federal Domestic Assistance Number: 11. 417, Sea 
Grant Support.

II. Program Description

Background

    Today's global economy is putting unprecedented demands on the U.S. 
industrial community for innovation and new technology. This situation 
presents challenges to industry and universities to develop new 
paradigms leading to more efficient utilization of available human, 
fiscal, and technical resources. This can be accomplished through the 
recruitment of graduates trained in technologies relevant to an 
industry's future and the creation of opportunities for collaboration 
between industrial and academic scientists and engineers. Academically 
well-trained students with exposure to advanced industrial issues 
constitute a critical component of success in that endeavor.
    To strengthen ties between academia and industry, Sea Grant 
developed the industry Fellows Program in 1995. With required matching 
funds from private industrial sponsors, Sea Grant expects to support 
five new Industry Fellows in FY 2001. Each fellow will be a graduate 
student selected through national competition, and will be known as a 
Company Name/Sea Grant Industry Fellow.

Fellowship Program Objectives

    The goals of the program are: to enhance the education and training 
provided to top graduate students in U.S. colleges and universities; to 
provide real-world experience of industrial issues to graduate students 
and to accelerate their career development; to increase interactions 
between the nation's top scientists and engineers and their industrial 
counterparts; to accelerate the exchange of information and 
technologies between universities and industry; to provide a mechanism 
for industry to influence Sea Grant research priorities and solve 
problems of importance to industry; and to forge long-term 
relationships between Sea Grant colleges and industrial firms.

Program Description

    The Sea Grant Industry Fellows Program provides, in cooperation 
with specific companies, support for highly-qualified graduate students 
who are pursuing research and development projects on topics of 
interest to a particular industry/company. In a true partnership, the 
student, the faculty advisor, the Sea Grant college or institute, and 
the industry representative work together on a project from beginning 
to end. Research facilities and the cost of the activity are shared. 
University faculty are the major source for identifying potential 
industrial collaborators and suitable research topics. However, other 
sources can be used to identify potential industrial partners including 
the Sea Grant Marine Advisory Services, university industrial relations 
offices, and the Sea Grant Review Panel. Sea Grant directors are 
encouraged to use a variety of sources in building successful 
partnerships with industry.

III. Eligibility

    Proposals must be prepared by individuals affiliated with 
institutions

[[Page 81842]]

of higher education in the United States. If the institution is in one 
of the 29 Sea Grant states, then the proposal must be submitted to the 
state's Sea Grant College Program, who will submit the final grant 
application to the National Sea Grant Office. If the institution is in 
a state with no Sea Grant College Program, applications may be 
submitted to the nearest state Sea Grant College Program who will then 
submit the final grant application to the National Sea Grant Office, or 
the institution may submit the application directly to the National Sea 
Grant Office.

IV. Evaluation Criteria

    The evaluation criteria for proposals submitted for support under 
the Sea Grant Industry Fellows Program are:
    A. the importance of the problem and the benefits expected to the 
industrial partner and the nation due to the advancement of technology 
(25%).
    B. The benefit accruing to the student from his or her 
participation as a Sea Grant Industry Fellow, including exposure to 
industrial methods and mentoring by the industrial partner (25%).
    C. The level of commitment of the industrial partner to the 
project, particularly student stipend support (25%).
    D. The caliber of the proposed Fellow, including special skills, 
past experiences, or training that render him/her especially qualified 
for the proposed project. Participation by the Fellow in proposal 
preparation will be viewed favorably (25%).

V. Selection Procedures

    Individual state Sea Grant Programs receiving proposals will 
conduct the mail peer review of the proposed projects in accordance 
with the Evaluation Criteria listed above. Complete proposals and 
copies of the mail reviews will be sent by the state Sea Grant programs 
to the National Sea Grant Office. The National Sea Grant Office will 
conduct mail reviews for proposals submitted directly to it by 
institutions not in Sea Grant states. The applications will be ranked 
in accordance with the assigned weights of the above evaluation 
criteria by an independent peer review panel consisting of government, 
academic, and industry experts with particular expertise in industry/
academic interactions. These panel members will provide individual 
evaluations on each proposal; thus there will be no consensus advice. 
Their recommendations and evaluations will be considered by the 
National Sea Grant Office in the final selection. Only those proposals 
awarded a minimum score of 50% by the panel will be eligible for 
funding. For those proposals, the National Sea Grant Office will: (a) 
Ascertain which proposals best meet the program objectives (stated in 
Section II), and do not substantially duplicate other projects that are 
currently funded or are approved for funding by NOAA and other federal 
agencies, hence, awards may not necessarily be made to the highest-
scored proposals; (b) select the proposals to be funded; (c) determine 
which components of the selected projects will be funded; (d) determine 
the total duration of funding for each proposal; and (e) determine the 
amount of funds available for each proposal. Investigators may be asked 
to modify objectives, work plans, or budgets prior to final approval of 
the award. Subsequent grant administration procedures will be in 
accordance with current NOAA grants procedures. A summary statement of 
the scientific review by the peer panel will be provided to each 
applicant.

VI. Instructions for Application

Timetable

    April 24, 2001, 5 pm (local time)--Proposals due at state Sea Grant 
Program or at NSGO if application is being submitted by a non Sea Grant 
College Program.
    May 1, 2001, 5 pm (local time)--Proposals received at state Sea 
Grant Programs due at NSGO.
    September 1, 2001 (approximate)--Funds awarded to selected 
recipients; projects begin.

General Guidelines

    Interested members of institutions of higher education in the 
United States may submit a proposal (See Section III, Eligibility) for 
a grant to support up to two-thirds of the total budget. The fellowship 
can be for a maximum of two years, though funding will be in annual 
increments. No more than $30,000 of federal funds may be requested per 
year. Indirect costs on federal funds are limited to 10 percent of 
total modified direct costs. The proposal must include a written 
matching commitment, equal to at least half the federal request, from 
the industrial partner to support the budget for the proposed project. 
Allocation of matching funds must be specified in the budget. Use of 
the industrial matching funds for student stipend support will be 
looked on favorably. (See criterion C. under Section IV, Evaluation 
Criteria.)
    The budget should include adequate travel funds for the student, 
the industrial mentor, and the faculty advisor to meet at least twice 
per year during the fellowship period, preferably at the site of the 
industrial partner. The budget may also include up to one month of 
salary of stipend support for one project participant in addition to 
the selected Fellow who are affiliated to the academic institution. The 
selected Fellow may not be changed during the grant period. If the 
selected Fellow is no longer enrolled as a graduate student but 
continues to work on the project under the supervision of the grantee 
institution, federal funds may be used for the Fellow's support for no 
longer than three months beyond the date on which the Fellow's student 
status expires. This three-month latitude is meant to enable suitable 
conclusion of the ongoing phase of work. In other respects, the Fellow 
will be governed by the institution's rules for graduate research 
assistants.

Proposal Guidelines

    Each full proposal should include the items listed below. All pages 
should be single- or double-spaced, typewritten in at least 10-point 
font, and printed on metric A4 (210 mm  x  297 mm) or 8\1/2\  x  11" 
paper. Brevity all assist reviewers and program staff in dealing 
effectively with proposals. Therefore, the Project Description may not 
exceed 10 pages. Tables and visual materials, including charts, graphs, 
maps, photographs and other pictorial presentation are included in the 
10-page limit; literature citations are not included in the 10-page 
limit. Conformance to the 10-page limit will be strictly enforced. All 
information needed for review of the proposal should be included in the 
main text; no appendices are permitted.
    (1) Signed Title Page: The title page should be signed by the 
Principal Investigator and the institutional representative and should 
clearly identify the program area being addressed by starting the 
project title with ``Sea Grant Industry Fellow.'' The Principal 
Investigator and institutional representative should be identified by 
full name, title, organization, telephone number and address. The total 
amount of Federal funds and matching funds being requested should be 
listed for each budget period.
    (2) Project Summary: This information is very important. Prior to 
attending the peer review panel meetings, some of the panelists may 
read only the project summary. Therefore, it is critical that the 
project summary accurately describe the research being proposed and 
convey all essential elements of the research. The project summary 
should include: 1. Title: Use the exact title as it appears in

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the rest of the application. 2. Investigators: List the names and 
affiliations of each investigator who will significantly contribute to 
the project. Start with the Principal Investigator. 3. Funding request 
for each year of the project, including matching funding if 
appropriate. 4. Project Period: Start and completion dates. Proposal 
should request a start date of September 1, 2001. 5. Project Summary: 
This should include the rationale for the project, the scientific or 
technical objectives and/or hypotheses to be tested, and a brief 
summary of work to be completed.
    (3) Project Description: (10-page limit):
    (a) Introduction/Background/Justification: What is the problem 
being addressed and what is its scientific and economic importance to 
the advancement of technology, to the cooperating industrial partner, 
and to the region or nation?
    (b) Research or Technical Plan: What are the goals, objectives, and 
anticipated approach of the proposed project? While a detailed work 
plan is not expected, the proposal should present evidence that there 
has been thoughtful consideration of the approach of the problem under 
study. What capabilities does the industrial partner possess that will 
benefit the Fellow?
    (c) Output/Anticipated Economic Benefits: Upon successful 
completion of the project, what are the anticipated benefits to the 
student, the industrial partner, the university and its faculty, the 
sponsoring Sea Grant program, and the nation?
    (d) References and Literature Citations: Should be included but 
will not be counted in the 10 page project description limit.
    (4) Budget and Budget Justification: There should be a separate 
budget for each year of the project as well as a cumulative annual 
budget for the entire project. Applicants are encouraged to use the Sea 
Grant Budget Form 90-4, but may use their own form as long as it 
provides the same information as the Sea Grant form. Subcontractors 
should have a separate budget page. Matching funds must be indicated; 
failure to provide adequate matching funds will result in the proposal 
being rejected without review. Each annual budget should include a 
separate budget justification page that itemizes all budget items in 
sufficient detail to enable reviewers to evaluate the appropriateness 
of the funding requested. Please pay special attention to any travel, 
supply or equipment budgets and provide details. The total dollar 
amount or indirect costs must not exceed 10 percent of the total 
proposed direct costs dollar amount in the application.
    (5) Current and Pending Support: Applicants must provide 
information on all current and pending Federal support for ongoing 
projects and proposals, including subsequent funding in the case of 
continuing grants. The proposed project and all other projects or 
activities using Federal assistance and requiring a portion of time of 
the principal investigator or other senior personnel should be 
included. The relationship between the proposed project and these other 
projects should be described, and the number of person-months per year 
to be devoted to the projects must be stated.
    (6) Vitae of the student, the faculty advisor, and the company-
appointed research mentor (2 pages maximum per investigator).
    (7) Letter of commitment from the industrial partner.
    (8) A brief (one-page) description of the collaborating industrial 
firm.
    (9) Proposers are encouraged (but not required) to include a 
separate page suggesting reviewers that the proposers believe are 
especially well qualified to review the proposal. Proposers may also 
designate persons they would prefer not review the proposal, indicating 
why. These suggestions will be considered during the review process.
    (10) Standard Application Forms: Applicants may obtain all required 
application forms through the World Wide Web at http://www.mdsg.umd.edu/NSGO/research/rfp/index.html, from the state Sea Grant 
Programs or from Dr. Vijay Panchang at the National Sea Grant Office 
(phone: 301-713-2435 x142 or e-mail: [email protected]). The 
following forms must be included:
    (a) Standard Forms 424, Application for Federal Assistance, 424A, 
Budget Information--Non-Construction Programs; and 424B, Assurances--
Non-Construction Programs, (Rev 4-88). Please note that both the 
Principal Investigator and an administrative contact should be 
identified in Section 5 of the SF424. For Section 10, applicants should 
enter ``11.417'' for the CFDA Number and ``Sea Grant Support'' for the 
title. The form must contain the original signature of an authorized 
representative of the applying institution.
    (b) Primary Applicant Certifications. All primary applicants must 
submit a completed Form CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying,'' and the following explanations are hereby 
provided:
    (i) Nonprocurement Debarment and Suspension. Prospective 
participants (as defined at 15 CFR part 26, section 105) are subject to 
15 CFR part 26, ``Nonprocurement Debarment and Suspension'' and the 
related section of the certification form prescribed above applies;
    (ii) Drug-Free Workplace. Grantees (as defined at 15 CFR part 26, 
section 605) are subject to 15 CFR part 26, subpart F, ``Government-
wide Requirements for Drug-Free Workplace (Grants)'' and the related 
section of the certification form prescribed above applies;
    (iii) Anti-Lobbying. Persons (as defined at 15 CFR part 28, section 
105) are subject to the lobbying provisions of 31 U.S.C. 1352, 
``Limitation on use of appropriated funds to influence certain Federal 
contracting and financial transactions,'' and the lobbying section of 
the certification form prescribed above applies to applications/bids 
for grants, cooperative agreements, and contracts for more than 
$100,000, and loans and loan guarantees for more than $150,000; and
    (iv) Anti-Lobbying Disclosures. Any applicant that has paid or will 
pay for lobbying using any funds must submit an SF-LLL, ``Disclosure of 
Lobbying Activities,'' as required under 15 CFR part 28, appendix B.
    (c) Lower Tier Certifications. Recipients shall require applicants/
bidders for subgrants, contracts, subcontracts, or other lower tier 
covered transactions at any tier under the award to submit, if 
applicable, a completed Form CD-512, ``Certifications Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying'' and disclosure form, SF-LLL, 
``Disclosure of Lobbying Activities.'' Form CD-512 is intended for the 
use of recipients and should not be transmitted to the Department of 
Commerce (DOC). SF-LLL submitted by any tier recipient or subrecipient 
should be submitted to DOC in accordance with the instructions 
contained in the award document.

VII. How To Submit

    Preliminary proposals and proposals must be submitted to the state 
Sea Grant Programs or to the NSGO according to the schedule outlined 
above (See ``Addresses'' and ``Timetable''). Although investigators are 
not required to submit more than 3 copies of the proposal, the normal 
review process requires 10 copies. Investigators are encouraged to 
submit sufficient proposal copies for the full review

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process if they wish all reviewers to receive color, unusually sized 
(not 8.5" x 11"), or otherwise unusual materials submitted as part of 
the proposal. Only three copies of the Federally required forms are 
needed. The addresses of the Sea Grant College Program directors may be 
found on Sea Grant's World Wide Web home page (http://www.mdsg.umd.edu/NSGO/index.html) or may also be obtained by contacting the Program 
Manager, Dr. Vijay Panchang, at the National Sea Grant Office (phone: 
301-713-2435 x142 or e-mail: [email protected]). Proposals sent 
to the National Sea Grant Office should be addressed to: National Sea 
Grant Office, R/SG, Attn: Sea Grant Industry Fellows Program 
Coordinator, NOAA, Room 11828, 1315 East-West Highway, Silver Spring, 
MD 20910 (phone 301-713-2435 for express mail applications).
    Applications received after the deadline and applications that 
deviate from the format described above will be returned to the sender 
without review. Facsimile transmissions and electronic mail submission 
of applications will not be accepted.

VIII. Other Requirements

    (A) Federal Policies and Procedures--Recipients and subrecipients 
are subject to all Federal laws and Federal and Department of Commerce 
(DOC) policies, regulations, and procedures applicable to Federal 
financial assistance awards.
    (B) Past Performance--Unsatisfactory performance 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 of not being 
reimbursed by the Government. Notwithstanding any verbal or written 
assurance that may have been received, there is no obligation on the 
part of DOC to cover preaward costs.
    (D) No Obligation for Future Funding--If an application is selected 
for funding, DOC has no obligation to provide any additional future 
funding in connection with that award. Renewal of an award to increase 
funding or extend the period of performance is at the total discretion 
of DOC.
    (E) Delinquent Federal Debts--No award of Federal funds shall be 
made to an applicant who has an outstanding delinquent Federal debt 
until either:
    (1) The delinquent account is paid in full,
    (2) A negotiated repayment schedule is established and at least one 
payment is received, or
    (3) Other arrangements satisfactory to DOC 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 which significantly reflect on the 
applicant's management honesty or financial integrity.
    (G) False Statements--A false statement on an application is 
grounds for denial or termination of funds and grounds for possible 
punishment by a fine or imprisonment as provided in 18 U.S.C. 1001.
    (H) Intergovernmental Review--Applications for support from the 
National Sea Grant College Program are not subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.
    (I) Purchase of American-Made Equipment and Products--Applicants 
are hereby notified that they will be encouraged to the greatest extent 
practicable, to purchase American-made equipment and products with 
funding provided under this program.

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act or any other law for this 
notice concerning grants, benefits, and contracts. Therefore, a 
regulatory flexibility analysis is not required for purposes of the 
Regulatory Flexibility Act.
    This action has been determined to be not significant for purpose 
of E.O. 12866.
    This notice contains collection-of-information requirements subject 
to the Paperwork Reduction Act. The Sea Grant Project Summary Form and 
the Sea Grant Budget Form have been approved under Office of Management 
and Budget (OMB) Control Number 0648-0362, with estimated times per 
response of 20 and 15 minutes respectively. The use of Standard Forms 
424, 424A, 424B, and SF-LLL have been approved by OMB under the 
respective control numbers 0348-0043, 0348-0044, 0348-0040, and 0348-
0046. The response time estimates above include the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments on these estimates or any 
other aspect of these collections to National Sea Grant Office/NOAA, 
1315 East-West Highway, Silver Spring, MD 20910 and to the Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
Washington, DC 20503 (Attention: NOAA Desk Officer). Notwithstanding 
any other provision of the 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 of information displays 
a currently valid OMB Control Number.

    Dated: December 20, 2000.
David L. Evans,
Assistant Administrator, Office of Oceanic and Atmospheric Research, 
National Oceanic and Atmospheric Administration.
[FR Doc. 00-32998 Filed 12-26-00; 8:45 am]
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