[Federal Register Volume 66, Number 233 (Tuesday, December 4, 2001)]
[Notices]
[Pages 63019-63025]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-29996]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No.000817236-1268-03; I.D. 100401C]


General Grant Administration Terms and Conditions of the Coastal 
Ocean Program: Announcement of Opportunity

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 and funding opportunity for 
project 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 describes the general grant administration 
terms and conditions of the CSCOR/COP program for fiscal year 2002. 
Additionally, this document solicits proposals under program elements, 
(b) Cumulative Coastal Impacts and (d) Synthesis and Ecological 
Forecasting, described in this notice. It is the CSCOR/COP's intent to 
also issue supplemental Announcements of Opportunities (AOs) to request 
proposals on specific projects throughout the year on an as-needed 
basis. Any future AOs will be issued through the Federal Register. 
Information regarding these announcements will be made available on the 
CSCOR/COP Internet Site 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 December 4, 2001. Proposals for multiple stressors 
projects will be due by 3 p.m. e.s.t. on February 19, 2002. Proposals 
for synthesis projects will be due by 3 p.m. e.s.t. on March 5, 2002. 
The deadline for receipt of proposals is firm. Note that late-arriving 
applications provided to a delivery service, on or before the day prior 
to the closing date, with delivery guaranteed before 3 p.m. e.s.t. on 
the closing date, will be accepted for review if the applicant can 
document that the application was provided to the delivery service with 
delivery to the address listed below (see ADDRESSES) guaranteed prior 
to the specified closing date and time; and in any event, the proposals 
are received in the COP office no later than 2 business days following 
the closing date.

ADDRESSES: Center for Sponsored Coastal Ocean Research/Coastal Ocean 
Program, National Oceanic and Atmospheric Administration, 1305 East 
West Highway, Room 8243, Silver Spring, MD 20910-3281. Proposals for 
synthesis should be mailed to the address above, attn. SYNTHESIS. 
Proposals for multiple stressor studies should be mailed to the address 
above, ATTN: MULTISTRESS.

FOR FURTHER INFORMATION CONTACT: Technical information for synthesis 
proposals: Elizabeth Turner, (603) 862-4680, e-mail: 
[email protected].
    Technical information for cumulative stressors: Kenric Osgood, 
(301) 713-3338/x163, e-mail: [email protected].

[[Page 63020]]

    Business Management Information: Leslie McDonald, CSCOR/COP Grants 
Administrator,(301)713-3338/x155, e-mail [email protected].

SUPPLEMENTARY INFORMATION:

Electronic Access

     NOAA and COP Standard Form Applications with instructions are 
accessible on the COP Internet site (http://www.cop.noaa.gov) under the 
COP Grants Support Section, Part D, Application Forms for Initial 
Proposal Submission. 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. Blue ink for original signatures is 
recommended but not required. If you are unable to access this 
information, you may call CSCOR/COP at 301-713-3338 to leave a mailing 
request.
    General information about the COP's projects and publications is 
also available on the CSCOR/COP Internet Site. For information 
concerning the NOAA Coastal Ocean Program Decision Analysis Series 
reports, see: http://www.cop.noaa.gov/pubs/das.html.

Background

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.

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, estuaries, and the Great Lakes. CSCOR/COP has focused on 
developing information for longer range United States management and 
policy at large and complex scales. CSCOR/COP research will help the 
United States 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.

Program Elements

    The CSCOR/COP Program Elements are listed here. Funding for some 
programs may be limited to ongoing projects. Prospective applicants are 
urged to check the CSCOR/COP Internet Site listed earlier under 
SUPPLEMENTARY INFORMATION: Electronic Access, and future Federal 
Register notices for other possible funding announcements in Program 
Elements (b) and (c), listed below in this document, that may appear at 
later dates.
    (a) 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, and salmon in the Pacific Northwest.
    (b) 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 stressors (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, 
coastal areas of South Carolina and the Pacific Northwest, and coral 
reefs in Florida and Hawaii.
    At this time, proposals are requested describing comprehensive 
studies of up to 5 years in duration to investigate the impacts of 
multiple stresses in estuarine, coastal, or Great Lakes ecosystems. The 
CSCOR/COP anticipates supporting an integrated multi-investigator, 
interdisciplinary project that will develop capabilities for 
understanding, predicting, and managing the effects of multiple 
stressors in coastal systems. A separate announcement of availability 
of funding for proposals in coral reef research (under CSCOR/COP's 
Coral Reef Regional Ecosystem Study program) may be released later this 
year.
    Many of the estuaries, bays, and large lakes of the United States 
suffer the impacts of multiple anthropogenic stressors. The most 
pervasive stressors being nutrient enrichment (leading to 
eutrophication), habitat modification (including benthic, water column, 
and watershed changes), resource exploitation, invasive species, and 
toxic contamination. In addition to anthropogenic impacts, short-term 
and mesoscale environmental variability also impact coastal ecosystems. 
Traditional management approaches have largely targeted single sources 
of stress (e.g., nitrogen, phosphorus, toxic compounds, habitat 
modification, invasive species, etc.). Scientists and resource managers 
are becoming increasingly aware that management practices must address 
the interaction of multiple stressors, and must be integrated over the 
entire ecosystem (i.e., from watershed to receiving water bodies).

Research Objectives

    The objectives that should be addressed in projects proposed under 
this Program Element are: (1) quantification of the effects of 
eutrophication in concert with other anthropogenic and natural 
stressors; (2) identification of indicators of cumulative stress at 
individual, population, and ecosystem levels; (3) evaluation of the 
effectiveness of potential mitigation strategies, and (4) Extension of 
the approaches, results, models and techniques developed in this 
project to other coastal ecosystems.
    Desirable research programs will: (1) conduct integrated studies of 
the effects of multiple stressors on ecological processes within a 
system; (2) examine the role of land use and watershed loadings of 
these stressors; (3) model the ecological effects of natural and/or 
anthropogenic stresses from the organismal to ecosystem level; and (4) 
conduct an economic evaluation of present and proposed management 
practices to mitigate coastal environmental stress.
    Prospective applicants should refer to Part I, Requirements for 
Proposal Submission, which appear later in this notice.
    (c) Harmful Algal Blooms (HABs) and Hypoxia. The CSCOR/COP sponsors 
studies on the ecology and oceanography of harmful algal blooms (HABs), 
focusing on identifying and modeling linkages between the physiology, 
ecology, behavior and toxicity of HABs and local/regional circulation 
patterns and water quality. Results from these studies will improve the 
general knowledge of problematic species in the U.S. coastal waters and 
provide a foundation for development of regional HAB forecasting 
capabilities.

[[Page 63021]]

The latter 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.
    Pending congressional appropriations, separate program 
announcements for research opportunities in the ecology and 
oceanography of harmful algal blooms, and the monitoring HABs and HAB 
event response may be issued later this year.
    (d) Synthesis and Ecological Forecasting. The CSCOR/COP is 
committed to providing decision makers with high quality scientific 
information and predictive tools in formats appropriate to promoting 
near-term improvements in coastal ecosystem management. This 
announcement solicits proposals for projects of 1 to 2 years in 
duration to produce comprehensive syntheses of coastal ecosystem 
research with the overall goal of developing ecological forecasting 
capabilities.
    The CSCOR/COP and other Federal agencies continue to support multi-
disciplinary coastal ecosystem studies to improve our understanding of 
the physical, biological, and chemical processes in these complex 
systems. In general, these types of large scale projects have been 
committed to producing data and information products such as technical 
reports, peer-reviewed publications, data bases, and numerical and 
conceptual models. However, the delivery of comprehensive information 
products and technologies to the appropriate management community for 
application to specific coastal management issues remains the challenge 
to scientific programs that have been largely focused on research.
    The next step in ecosystem research is the development of 
ecological forecasts, i.e., the capability to predict the effects and 
interactions of environmental variability and anthropogenic stressors 
on coastal ecosystems, and the impacts of management actions on 
ecosystems and coastal economies.
    This announcement requests proposals for projects concentrating 
exclusively on the synthesis of results and information generated by 
coastal ecosystem studies that have concluded, or are near completion. 
The overall goal should be to advance and/or develop predictive 
capabilities, i.e., ecological forecasts.
    The accurate prediction of ecosystem parameters or conditions will 
facilitate improved resource management decisions. Some examples of 
forecasting needs include: predictive models of impacts of multiple 
stressors on coastal systems, fisheries, and economies; onset, 
duration, and impacts of hypoxic and/or anoxic conditions; 
vulnerability to, and impacts of invasive species on, specific 
ecosystems; occurrence and impacts of emerging finfish, shellfish, and 
aquatic plant diseases.
    For the purpose of this announcement, coastal ecosystem studies are 
defined as multi-disciplinary, multi-year research programs that have 
examined the effects of multiple anthropogenic stressors and/or natural 
variability and events on coastal ecosystems. The COP is especially 
interested in syntheses of coastal ecosystem studies that consider one 
or more of the following study components: coastal stressors and 
impacts (including land use and watershed loadings to receiving water 
body); coastal processes and their influences on regional or national 
marine resources; environmental valuation; economic impact analysis; 
and risk assessment. Comparative analyses among different coastal 
systems will be considered, as well as detailed syntheses that are more 
regionally based. All proposed comparative analyses, syntheses, and 
forecasts must have clear application to one or more coastal resource 
management issues, and be tractable within the time and budget 
proposed.
    Some examples of synthesis products and ecological forecasts are: 
case studies of regions with explicit applications to important 
management issues; applications of ecosystem models to management-
generated questions; risk analysis of management scenarios; and region-
specific management recommendations based on study results. Active 
transfer of technology to managers involving specialized workshops, 
alternative media, or other approaches will also be considered.
    Proposals should provide detailed descriptions of the management 
issue(s) to be addressed, the target audience or users of the 
synthesis, results and information to be integrated, approaches to 
synthesis, specific information products, and predictive/forecasting 
capability to be developed. Proposals must describe research results to 
be used and how that information will be accessed. Synthesis could 
include the identification of and justification for appropriate 
variables that need to be included in long-term monitoring for the 
purposes of ecological forecasting. Where appropriate, letters 
indicating access to data, results, and information not yet in the 
public domain and generated by investigators not named in the proposal 
should be addended. Explicit identification of the end user group(s) is 
required. Active participation of one or more members of the management 
(or other user community) is also required; either as a co-investigator 
or official collaborator.
    The funding associated with this announcement is intended to 
support higher order synthesis activities, not basic data 
interpretation, or sample collection and analysis. It is assumed that 
the subject ecosystem study has been completed or is very near 
completion, and that basic results and conclusions have been documented 
and/or published. No field work, monitoring, laboratory analyses, or 
other new data acquisition will be considered.

Part I: Schedule and Proposal Submission

    The guidelines for proposal preparation provided here are mandatory 
for all proposals submitted to CSCOR/COP in response to this, and all 
AOs. 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 are available on the COP Internet Site listed 
earlier under SUPPLEMENTARY INFORMATION: Electronic Access.
    Proposals should describe activities for the full project period, 
as specified in the Program Element description. Proposals should be 
written to allow adequate review of the details of such things as 
identification of the issue or problem, scientific objectives, 
methodology and approaches to synthesis, description of information 
products and applications, and integration and/or applications to other 
projects or programs. Upon conclusion of external peer and panel merit 
review, meritorious proposals will be recommended for funding.

Full Proposals

    Letters of intent and/or partial proposals are not requested under 
this notice. Applications submitted in response to this announcement 
require an unbound original proposal and 19

[[Page 63022]]

copies at time of submission. This includes color or high-resolution 
graphics, unusually-sized materials (not 8.5 inches x 11 inches, or 
21.6 cm x 28 cm), or otherwise unusual materials submitted as part of 
the proposal. For color graphics, submit either color originals or 
color copies. The stated requirements for the number of original 
proposal copies provide for a timely review process because of the 
large number of technical reviewers. Facsimile transmissions and 
electronic mail submission of full proposals will not be accepted.
    The project description section should not exceed 20 pages. Page 
limits are inclusive of figures and other visual materials, but 
exclusive of references and milestone chart (as specified in Required 
Elements). The type must be a clear and readily legible 12-point size 
with no more than 6 lines in a vertical space of 1 inch. Margins at the 
top, bottom, and each side of all pages should be a minimum of 1 inch 
(2.5 cm).

Required Elements

    All recipients are to follow closely the instructions and 
requirements in the preparation of the standard NOAA Application Forms 
and Kit requirements listed in Part II: General Grant Terms and 
Conditions, paragraph (9) of this document. Each proposal must also 
include the following ten elements:
    (1) Standard Form 424. At time of proposal submission, all 
applicants shall submit the Standard Form, SF-424 (Rev 7-97), 
``Application for Federal Assistance,'' to indicate the total amount of 
funding proposed for the whole project period. This form is to be the 
cover page for the original proposal and all requested copies. Multi-
institutional proposals must include signed SF-424 forms from all 
institutions requesting funding.
    (2) Title page. The title page identifies the project's title 
starting with the appropriate acronym (SYNTHESIS or MULTSTRESS, for the 
two programs solicited in this announcement) a short title (50 
characters), the proposed project period, and the lead principal 
investigator's name, affiliation, complete address, phone, FAX, and E-
mail information. The requested funding for each fiscal year should be 
included on the title page. The title page should be signed by the lead 
principal investigator. Multi-investigator proposals must include the 
names and affiliations of each investigator on the title page. Multi-
institution proposals must also identify the lead investigator from 
each institution and the requested funding for each fiscal year for 
each institution on the title page, but no signatures are needed on the 
title page from the additional institutions. Lead investigator and 
separate budget information is not needed on the title page for 
institutions that are proposed to received funds through a subcontract 
to the lead institution.
    (3) One-page abstract/project summary. The Project Summary 
(Abstract) Form, which is to be submitted at time of application, shall 
include an introduction of the problem, rationale, scientific 
objectives and/or hypotheses to be tested, and a brief summary of work 
to be completed. The prescribed COP format for the Project Summary Form 
can be found on the CSCOR/COP Internet site under the Grants Support 
Section.
    The summary should appear on a separate page, headed with the 
proposal title, institution(s), principal investigator(s), total 
proposed cost, and project period, and should be written in the third 
person. The summary is used to help compare proposals quickly and 
allows the applicants to summarize these key points in their own words.
    (4) Statement of work/project description. The project description 
section should not exceed 20 pages. The page limit is inclusive of 
figures and other visual materials, but exclusive of references and 
milestone chart (as described here). Project management should be 
clearly defined with descriptions of the responsibilities and 
contributions of each principal investigator (if more than one). It is 
important to provide a full scientific justification for the proposed 
research and approach; do not simply reiterate justifications presented 
in this document. This section should include the following:
    (a) The objectives for the period of proposed work and the expected 
results and 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 CSCOR/
COP Program Element objectives;
    (d) Specific plans for making information products available to the 
scientific and coastal management communities;
    (e) A clear statement describing project management and 
identification of the contributions and responsibilities of each 
investigator within a team (if more than one principal investigator;
    (f) Potential coordination with other investigators or 
stakeholders;
    (g) Intent to adhere to NOAA's specific requirements that 
environmental data be submitted to the National Oceanographic Data 
Center.
    (5) References cited. Reference information is required. Each 
reference must include the names of all authors in the same sequence in 
which they appear in the publication, the article title, volume number, 
page numbers, and year of publication. While there is no established 
page limitation, this section should include bibliographic citations 
only and should not be used to provide parenthetical information 
outside of the 20-page project description.
    (6) Milestone chart. Time lines of major tasks covering the 
duration of the proposed project.
    (7) Budget. At the time of original application, all proposers are 
required to submit a COP Summary Proposal Budget Form for each fiscal 
year increment (i.e., 2002, 2003, etc.). Multi-institution proposals 
must include budget forms from each institution. This is in lieu of the 
Standard Form 424A, ``Budget Information (Non-Construction).''
    Use of the COP Summary Proposal Budget form will provide for a 
detailed annual budget and the level of detail required by the COP 
program staff to evaluate the effort to be invested by investigators 
and staff on a specific project. This form can be found on the COP 
Internet Site under Grants Support, Section D; or may be requested by 
contacting the COP Grants Office listed earlier in this document under 
FOR FURTHER INFORMATION CONTACT.
    All applicants shall include a budget justification that supports 
all proposed budget object class categories. The COP will review the 
proposed budgets to determine the necessity and adequacy of proposed 
costs for accomplishing the objectives of the proposed grant. The SF-
424A, Budget Information (Non-Construction) Form, is not required for 
proposal submission and shall be requested from only those applicants 
subsequently recommended for funding after the competitive review 
process has been completed.
    (8) Biographical sketch. All principal and co-investigators 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. Additional 
lists of publications, lectures, etc., should not be included;
    (c) A list of all persons (including their organizational 
affiliation) in alphabetical order who have

[[Page 63023]]

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.
    (9) Current and pending support. Describe all current and pending 
support for all principal and co-investigators, including subsequent 
funding in the case of continuing grants. 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 principal investigator and co-
investigators 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.
    (10) Proposal format and assembly. Clamp the original proposal in 
the upper left-hand corner, but leave it unbound. Use 1-inch (2.5-cm) 
margins at the top, bottom, left and right of each page. Use a clear 
and easily legible type face in standard 12-point size with no more 
than six lines in a vertical space of 1 inch. Print on one side of each 
page only. Proposals that deviate from the prescribed format will be 
returned to the sender without further consideration.

Part II: General Grant Terms and Conditions

    (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) 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. 
Future individual AOs will be released with specific applicable dollar 
amounts. It is anticipated that two to three synthesis proposals will 
be funded at approximately $700,000 per year for up to 2 years, and one 
to two multiple stressor projects will be funded at approximately 
$1,000,000 per year for up to 5 years.
    The financial history of CSCOR/COP grants, interagency agreements, 
and intra-NOAA funding transfers is as follows: FY97 $10.00 million; 
FY98 $8.5 million; FY99 $8.5 million, FY00 $15 million, and FY01 $15.5 
million. 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.
    (4) Matching Requirements. None.
    (5) 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 or 
cooperative agreement under the terms of this notice. 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. PLEASE 
NOTE: Before non-NOAA Federal applicants may be funded, they must 
demonstrate that they have legal authority to receive funds from 
another Federal agency in excess of their appropriation. Because this 
announcement is not proposing to procure goods or services from the 
applicants, the Economy Act (31 U.S.C. Section 1535) is not an 
appropriate basis. Support may be solely through COP or partnered with 
other Federal offices and agencies.
    (6) Eligibility Criteria. CSCOR/COP funding opportunities are open 
to all interested, qualified, non-Federal, and Federal researchers. 
Eligible applicants are institutions of higher education, other non-
profits, state, local, and Indian Tribal Governments, and Federal 
agencies. 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 United States 
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.
    (7) Award Period. Typically, CSCOR/COP's projects average 1 to 5 
years in length. Projects covering more than 1 year will typically be 
funded on an annual basis. Projects submitted under Program Element (b) 
can be up to 5 years in duration; projects submitted under Program 
Element (d) should be 1 to 2 years in duration.
    (8) 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 
Internet Site. 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. Blue ink is suggested, but not required. 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 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 Standard Form 
424A (Rev July 1997), ``Budget Information for Non-Construction 
Programs.'' Applicants shall also include a budget narrative/

[[Page 63024]]

justification that supports all proposed budget categories. The SF-424A 
shall be requested only from those recipients subsequently recommended 
for award.
    Multi-institution proposals must include COP Summary Proposal 
Budget Forms 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 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).
    (9) Project Funding Priorities. Priority considerations will be 
given to proposals that promote balanced coverage of the science 
objective stated in this and later AOs; avoid duplication of completed 
or ongoing work, and increase geographic diversity. Additional and/or 
other priorities may be detailed in other CSCOR/COP AOs.
    (10) 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 discoveries or will have substantial impact on 
progress in that field;
    (b) Research Performance Competence (20 percent). 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). Presence of focused science 
objectives and completeness and efficiency of the 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). Adequacy of 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.
    (l1) Selection Procedures. All proposals will be evaluated and 
scored 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 score 
them individually on a scale of one to five, where scores represent 
respectively: Excellent (1), Very Good (2), Good (3), Fair (4), and 
Poor (5).
    The peer panel will comprise 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. No 
consensus advice will be given by the independent peer mail review or 
the review panel.
    The program officer(s) will neither vote or score proposals as part 
of the independent peer panel nor participate in discussion of the 
merits of the proposal. Those proposals receiving an average panel 
score 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 officers will (a) select the 
proposals to be recommended for funding by applying the project funding 
priorities listed earlier in this section, paragraph (9) Project 
Funding Priorities; and specific objectives published in the AO; (b) 
determine the total duration of funding for each proposal; and (c) 
determine the amount of funds available for each proposal. As a result 
of consideration of the project funding priorities, awards may not 
necessarily be made in rank order. Recommendations for funding are then 
forwarded to the selecting official, the Director of CSCOR/COP.
    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. Declined applications will be held in the CSCOR/COP for the 
required five years in accordance with the current retention 
requirements, and then destroyed.
    (12) Award Conditions. Institutions accepting awards agree to meet 
programmatic award conditions as specified by NOAA and CSCOR/COP. Those 
conditions include:
    (a) Submission of annual progress reports, comprehensive final 
reports, and semi-annual financial reports as outlined on the CSCOR/COP 
Internet Site.
    (b) All environmental data and associated metadata furnished in 
electronic format to the National Oceanographic Data Center (NODC). 
Refer to (13) Other Requirements, paragraph (c), Data Archiving, 
referenced later in this document.
    (c) All mathematical model code, parameters, and guidelines 
developed as a result of a CSCOR/COP award must be made available in 
electronic format to the CSCOR/COP Program Manager. Refer to (13) Other 
Requirements, paragraph (c), Data Archiving, referenced later in this 
document.
    (d) Copies of all technical reports and publications resulting from 
a CSCOR/COP award will be forwarded to the CSCOR/COP.
    (13) Other Requirements. (a) The Department of Commerce Pre-Award 
Notification Requirements for Grants and Cooperative Agreements 
contained in the Federal Register (66 FR 49917-49922, Volume 190, 
October 1, 2001) are applicable to this solicitation.
    (b) Intergovernmental Review. Applications under this program are 
not subject to Executive Order l2372, ``Intergovernmental Review of 
Federal Programs.'' It has been determined that this notice is not 
significant for purposes of E.O. 12866. Because notice and comment are 
not required under 5 U.S.C. 553, or any other law, for this notice 
relating to public property, loans, grants benefits or contracts (5 
U.S.C. 553(a)), a Regulatory Flexibility Analysis is not required and 
has not been prepared for this notice, 5 U.S.C. 603(a). It has been 
determined that this notice does not contain policies with

[[Page 63025]]

Federalism implications as that term is defined in E.O. 13132.
    (c) 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.
    (d) 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.
    (e) This notification involves collection-of-information 
requirements subject to the Paperwork Reduction Act. The use of 
Standard Forms 424, 424A, 424B, and SF-LLL have been approved by the 
Office of Management and Budget (OMB) under control numbers 0348-0043, 
0348-0044, 0348-0040 and 0348-0046.
    The following requirements have been approved by OMB under control 
number 0648-0384; a Summary Proposal Budget Form (30 minutes per 
response), a Project Summary Form (30 minutes per response), a 
standardized format for the Annual Performance Report (5 hours per 
response), a standardized format for the Final Report (10 hours per 
response), and the submission of up to 20 copies of proposals (10 
minutes per response). The response estimates 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 regarding this burden estimate 
or any other aspect of this collection of information, including 
suggestions for reducing this burden, to [email protected]. 
Copies of these forms and formats can be found on the COP home page 
under Grants Support sections, Parts D and F.
    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: November 28, 2001.
Jamison S. Hawkins,
Deputy Assistant Administrator for Ocean Services and Coastal Zone 
Management.
[FR Doc. 01-29996 Filed 12-3-01; 8:45 am]
BILLING CODE 3510-JS-S