[Federal Register Volume 67, Number 183 (Friday, September 20, 2002)]
[Notices]
[Pages 59264-59268]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-23926]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 020821203-2203-01]
RIN 0648-ZB24


Call for Proposals for Research in Satellite Data Assimilation 
for Numerical and Climate Prediction Models

ACTION: Notice of availability of financial assistance.

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SUMMARY: The recently established NOAA/NASA Joint Center for Satellite 
Data Assimilation (JCSDA) announces the availability of financial 
assistance for research in the area of satellite data assimilation in 
numerical weather and climate prediction models. The goal of the JCSDA 
is to accelerate the use of observations from earth-orbiting satellites 
in operational numerical prediction models for the purpose of improving 
weather forecasts, improving seasonal to interannual climate forecasts, 
and increasing the physical accuracy of climate data sets. The advanced 
instruments of current and planned NOAA, NASA, DoD, and international 
agency satellite missions will provide large volumes of data on 
atmospheric, oceanic, and land surface conditions with accuracies and 
spatial resolutions never before achieved. The JCSDA will ensure that 
the nation realizes the maximum benefit of its investment in space as 
part of an advanced global observing system. Funded proposals will help 
accelerate the use of satellite data from both operational and 
experimental spacecraft in operational and product driven weather and 
climate prediction environments, develop community radiative transfer 
models, develop improved surface emissivity models, and advance data 
assimilation science.

[[Page 59265]]

    This notice of availability of financial assistance is being 
managed by NOAA on behalf of the JCSDA.

DATES: Proposals must be received by the National Environmental 
Satellite, Data, and Information Service (NESDIS) at the address 
identified in the ADDRESSES section of this notice no later than 5 p.m. 
EST on November 15, 2002. Facsimile transmissions and electronic mail 
submissions will not be accepted. Late applications will not be 
considered and will be returned to the applicant.

ADDRESSES: Send proposals to the NOAA/NASA Joint Center for Satellite 
Data Assimilation, 5200 Auth Road, Room 701, Camp Springs, MD 20746-
4304. Proposals should cite this Notice and be sent to the attention of 
Kathy LeFevre.

FOR FURTHER INFORMATION: Regarding administrative questions, Kathy 
LeFevre, (301) 763-8127, [email protected]. Technical points of 
contact are Richard Rood, Acting Director of the JCSDA, (301) 286-8834, 
[email protected] or Steve Lord, Acting Deputy Director, JCSDA, 
(301) 763-8000 ext. 7200, [email protected].

SUPPLEMENTARY INFORMATION: Authority: Statutory authority for this 
program is provided under 49 U.S.C. 44720 and 15 U.S.C. 5631.
    Catalog of Federal Domestic Assistance (CFDA): This program is 
listed in the Catalog of Federal Domestic Assistance under Number 
11.440, Environmental Sciences, Applications, Data, and Education 
(previously titled Research in Remote Sensing of the Earth and 
Environment).

Funding Availability

    Total funding available for this Notice is anticipated to be 
approximately $2,000,000. Individual annual awards in the form of 
grants or cooperative agreements are expected to range from $50,000 to 
$150,000, although successful proposals that are deemed by the 
Selection Panel to be exceptionally meritorious may be larger.

Award Period

    Project duration will be 1-3 years, with funding for multi-year 
projects contingent on satisfactory progress in prior years and funding 
availability. There is no guarantee that sufficient funds will be 
available to make awards for all projects, nor that all research areas 
of interest will be supported. Publication of this Notice does not 
obligate NOAA toward any specific grant or cooperative agreement or to 
obligate all or any part of the available funds.

Cost Sharing

    There is no requirement for cost sharing in response to this 
program announcement.

Eligibility

    Eligible applicants are institutions of higher education, other non 
profits, commercial organizations, state, local and Indian tribal 
governments. Applications from non-Federal and Federal applicants will 
be competed against each other. Joint proposals involving Federal and 
external investigators are encouraged. Proposals selected for funding 
from non-Federal applicants will be funded through a grant or 
cooperative agreement depending upon the amount of collaboration, 
participation, or intervention by NOAA in the management of the 
project. Proposals selected for funding from NOAA scientists shall be 
effected by an intra-agency fund transfer. Proposals selected for 
funding from a non-NOAA Federal agency will be funded through an inter-
agency transfer.

    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. 
The only exception to this is governmental research facilities for 
awards issued under the authority of 49 U.S.C. 44720. Funding for 
contractual arrangements for services or products for delivery to 
NOAA is not available under this notice. Because this announcement 
is not proposing to procure goods or services from applicants, the 
Economy Act (31 U.S.C. 1535) is not an appropriate legal basis.

Program Description

    The NOAA/NASA Joint Center for Satellite Data Assimilation is a 
distributed center that engages units of the NASA Goddard Space Flight 
Center (GSFC), Data Assimilation Office (DAO), NASA's Seasonal-to-
Interannual Prediction Project (NSIPP), the NOAA/NESDIS Office of 
Research and Applications (ORA), the NOAA/National Weather Service 
(NWS)/National Centers for Environmental Prediction (NCEP)/
Environmental Modeling Center (EMC), and the NOAA/Office of Oceanic and 
Atmospheric Research (OAR). The Joint Center's goal is to accelerate 
the abilities of NOAA and NASA to ingest and effectively use the large 
volumes of data from current satellite-based instruments and planned 
satellite missions over the next 10 years. JCSDA activities are divided 
into infrastructure development and proposal-driven scientific 
projects. Infrastructure activities will focus initially on the 
development and maintenance of a scientific backbone for the JCSDA, 
including a community-based fast radiative transfer model, a community-
based surface emissivity model, and numerical prediction systems for 
performing assimilation experiments with real and simulated 
observations from new and future satellite instruments. The proposal-
driven scientific projects are the primary mechanism for accelerating 
the transition of research and technological advances in remote sensing 
and data assimilation into the operational and product driven weather 
and climate prediction environment.
    This research is to accelerate the science of satellite data 
assimilation in numerical weather forecast models. A primary measure of 
impact in this solicitation will be improvement of numerical weather 
prediction models and forecast accuracy. For numerical weather 
prediction applications, research can be performed NWP models and 
assimilation systems similar to the NOAA or NASA systems.
    Research supporting development of the radiative transfer models 
used in assimilation applications should be in fast radiative transfer 
codes such as those used in real-time NWP.
    Broader research topics in data assimilation, data impact, and 
improvement of radiative schemes for data assimilation applications 
that do not have the potential for direct application to real-time NWP 
systems are of less interest for this announcement.

System Documentation

    Prospective applicants should review JCSDA documentation at:

NOAA/NCEP data assimilation system: http://sgi62.wwb.noaa.gov:8080/RTPUB/index.html
NASA/DAO data assimilation system: http://dao.gsfc.nasa.gov/Intranet/GEOS4
NASA/NSIPP data assimilation system: http://nsipp.gsfc.nasa.gov/research/research_main.html
OPTRAN: http://airs3.ssec.wisc.edu/[sim]paulv/#F90 RTM
Project Priority Areas of Investigation
    This announcement calls for proposals for scientific projects in 
the high-priority project areas described below. If investigators are 
uncertain about the applicability of their proposed research to the 
priorities of the JCSDA, they should discuss their ideas with the 
appropriate technical point of contact listed below, prior to 
submitting their proposals.

[[Page 59266]]

    Radiative Transfer Models (Technical Point of Contact: Al 
Gasiewski, 303-497-7275; [email protected]): Precise and fast means 
of calculating observed satellite radiances and their parametric 
derivatives for specific bands are essential for satellite data 
assimilation. Algorithms are sought for both microwave and infrared 
satellite bands. Proposals are encouraged that focus on (1) fundamental 
issues in atmospheric absorption by gases and/or absorption and 
scattering by aerosols, cloud particles, and/or precipitating 
hydrometeors; and (2) innovative radiative transfer solutions 
applicable to direct radiance assimilation. In the first case, an 
emphasis is placed on improved dielectric, spectral line, and/or 
continuum models and size/shape distributions that will decrease 
current errors in the calculation of satellite observed radiances. In 
the latter case, the emphasis is on fundamental improvements to 
existing radiative transfer models which extend the capability to 
assimilate IR and/or microwave radiances within cloudy and/or 
precipitating regions. For example, proposals could focus on:
    1. Continuum and/or spectral line transmittance models,
    2. Aerosol, cloud, and precipitation size/shape distribution 
models,
    3. Mixed-phase dielectric models,
    4. Hydrometeor absorption and/or scattering models,
    5. Microwave and IR surface emission models,
    6. Surface reflectance models including bidirectional properties,
    7. Algorithms for performing fast forward calculations,
    8. Development and application of tangent linear models,
    9. Application of advanced radiative transfer models in radiance 
assimilation, or
    10. Incorporation of all four Stokes' parameters.

    Note: This priority area is intended for fundamental 
improvements in radiative transfer that are not related to specific 
satellite instruments. The proposed research should advance the 
state of the art leading to improved assimilation of satellite 
observations in general. The radiative transfer topics in the other 
sections are intended to advance the use of current or planned 
instruments, i.e., they are more instrument specific.

    Atmospheric soundings (Technical Point of Contact: Lars-Peter 
Riishojgaard, 301-614-6245; [email protected]): Several new 
high-resolution infrared sounding instruments (e.g., AIRS, CrIS, IASI) 
will be launched over the course of the next 5-6 years, and maximizing 
the impact on numerical weather prediction and data assimilation 
systems of these new instruments has a high priority in the community. 
Likewise, several different areas of improvement in the use of the 
currently available data from satellite sounders have been identified.
    1. Improvement and/or enhancement to the JCSDA radiative transfer 
models for advanced sounding instruments, incorporating cloud and 
aerosol effects, with the aim of working toward (a) assimilation of 
cloudy data, (b) aerosol correction of retrieved quantities, and (c) 
improved surface emissivity for use of data over land and ice (see 
Radiative Transfer Models, above).
    2. Studies addressing the use of sounder data above cloudy areas; 
estimation of cloud-top height for the purpose of channel selection.
    3. Observation System Simulation Experiments (OSSEs) using the 
JCSDA OSSE systems for high-resolution infrared sounders (e.g., AIRS, 
CrIS, IASI) aimed at examining the trade-off between the size of the 
instrument field of view and the noise characteristics.
    4. Data selection and thinning methods aimed at reducing the number 
of horizontal locations for which data are assimilated in a manner that 
preserves as much information as possible.
    5. Channel selection and/or data compression methods aimed at 
reducing the number of data points reported per profile at a minimum 
loss of profile information.
    Clouds and Precipitation (Technical Point of Contact: John Derber, 
301-763-8000, X7230; [email protected]): The proper inclusion of 
clouds and precipitation observations is one of the most difficult 
problems in data assimilation. However, the benefits of incorporating 
this data are expected to be significant for directly enhancing the 
predictive skill of moist components (e.g., clouds, precipitation, 
convection, icing, etc.) of the short and long-term forecasts and 
indirectly enhancing all other components of the models.
    The incorporation of cloud and precipitation data will require 
development of many components of the data assimilation system. These 
developments may include not only appropriate forward models, error 
statistics, bias correction and quality control, but also development 
of appropriate moist balances, new techniques for handling non-
linearities in the balance equations or forward models, and 
modification of the model's parameterizations to increase compatibility 
with the observations and to eliminate inappropriate discontinuities. 
The incorporation of precipitation and clouds in the assimilation 
systems will require addressing a broad range of problems, individual 
proposals directed towards components of the problem will be expected 
to be closely coordinated with NOAA/NCEP and/or NASA/DAO to be 
compatible and consistent with proposals addressing other components. 
For example, proposals could focus on:
    1. Forward models for cloud and precipitation observations from 
specific instruments.
    2. Bias correction and quality control procedures for specific 
instruments.
    3. Specification of observation error statistics for specific 
instruments and forward models.
    4. Moist balance constraints to minimize cloud/precipitation spin-
up/spin-down in data assimilation systems.
    5. Definition of background error statistics for moisture variables 
in assimilation systems.
    6. Efficient minimization algorithms for nonlinear functions 
resulting from cloud/precipitation assimilation.
    Land Surface (Technical Point of Contact: Dan Tarpley, 301-763-8042 
X117; [email protected]): Satellite data contains much information 
about the land surface that is not now utilized in NWP and climate 
models. There are several reasons for this. One is the difficulty in 
deriving physical quantities that can be used in land surface physics 
packages from common remote sensing quantities. Examples are: (1) 
Derivation of leaf area index or vegetation fraction from NDVI or basic 
window channel reflectances, (2) the estimation of snow fraction and 
snow albedo from satellite brightness measurements, and (3) estimation 
of surface thermal emissivity from multispectral window channel data. 
Another difficulty is the complexity of assimilation of satellite 
window band observations into complex surface models. Forward models 
and adjoint formulations are very difficult in the atmospheric window 
regions of the spectrum. For example, proposals could focus on:
    1. Timely (for operational weather prediction) retrieval of 
snowpack properties from satellite observations including snow 
fraction, snow albedo, snow depth, snow water content, and snow cover 
temperature.
    2. Timely retrieval of vegetation properties from satellite 
observations including green vegetation fraction, leaf area index, 
canopy temperature, soil surface temperature, and canopy roughness.
    3. Development of forward models for reflected solar radiation in 
atmospheric window bands for specific instruments (see Radiative 
Transfer Models, above).

[[Page 59267]]

Should include bidirectional properties of the land surface.
    4. Development and demonstration in variational land data 
assimilation of adjoint models for land physics models and treatments 
for background error covariances for use with NWP models.
    5. Intercomparison of land assimilation techniques such as adjoint 
models/variational methods, Kalman filters, neural networks, nudging, 
and direct insertion for use with NWP models.
    Oceans (Technical Point of Contact: Michele Rienecker, 301-614-
5642; [email protected]) Ocean data assimilation is an 
emerging technology with applications that span timescales from weather 
(hurricane forecasting, marine safety) to seasonal-to-interannual 
climate forecasts to longer-term climate analyses. The challenges 
confronting ocean data assimilation stem from the paucity of 
observational data to constrain the models and to provide estimates of 
errors and from the strong negative influence of atmospheric forcing 
errors on estimates of the ocean state from numerical models. It is 
often difficult to distinguish errors and biases in a model from those 
associated with external forcing.
    Successful proposals will require close coordination with NOAA/NCEP 
and/or NASA/NSIPP. For example, proposals could focus on:
    1. Estimation of errors and error covariance in both satellite-
derived and NWP analyses of surface winds, surface stresses and surface 
fluxes of sensible and latent heat and fresh water;
    2. Improvement of surface winds, surface stresses and surface 
fluxes of sensible and latent heat and fresh water from satellite 
observations and NWP analyses for use in forcing ocean models, with a 
priority on surface winds;
    3. Establishing observational error covariances for surface 
altimeter measurements for climate applications;
    4. Establishing observational errors for Argo temperature-salinity 
profiles for climate applications;
    5. Optimal merger of information from satellite altimetry and Argo 
temperature-salinity profiles in data assimilation for large scale 
ocean circulation analyses;
    6. Ocean model bias correction during assimilation;
    7. Improved estimates of ocean model background error covariances;
    8. Improved estimates of mixed layer depth for utilization in 
hurricane forecasts;
    9. Observing system experiments to help define the requirements for 
remotely sensed surface salinity; or
    10. Improved (multi-sensor) SST retrievals with corrections for 
aerosol effects.

Application Procedures

    All non-Federal applicants are required to submit a complete NOAA 
Grant Application Package and proposal. The standard forms and 
additional information are available on the DOC Grants Management Web 
site at http://www.doc.gov/oebam/grants.htm. If Internet access is not 
available, forms can be obtained by mail by contacting the NOAA/NESDIS/
ORA at (301)763-8127. The Department of Commerce Pre-Award Notification 
of Requirements for Grants and Cooperative Agreements contained in the 
Federal Register Notice of October 1, 2001 (66 FR 49917; 
DOCID:fr01oc01-39) are applicable to this solicitation. However, please 
note that the Department will not implement the requirements of 
Executive Order 13202 (66 FR 49921), pursuant to guidance issued by the 
Office of Management and Budget in light of a court opinion which found 
that the Executive Order was not legally authorized. See Building and 
Construction Trades Department v. Allbaugh, 172 F. Supp. 2d 138, 
(D.D.C. 2001). This decision is currently on appeal. When the case has 
been finally resolved, the Department will provide further information 
on implementation of Executive Order 13202.

Proposals Preparation

    Proposals must include the signed original and two unbound copies 
and must be received at the NOAA/NASA Joint Center for Satellite Data 
Assimilation (address above) by the date indicated in the DATES section 
of this Notice. Investigators are required to submit 3 copies of the 
proposal, however, the normal review process requires 10 copies. For an 
optimal review, investigators are encouraged to submit sufficient 
proposal copies, especially color or unusually sized (not 8.5'' x 
11''), or otherwise unusual materials submitted as part of the 
proposal. Facsimile transmissions and electronic mail submission of 
proposals will not be accepted.
    In addition to the information requested below, all proposals 
should include curriculum vitae (CV) for the principal investigator(s). 
The proposals must include the sections identified below and total no 
more than 10 pages in double-spaced, 12-point font format. The title 
page, detailed budget, investigator(s) vitae, any appendices, and 
grants application package forms are not included in the 10 page limit. 
Multi-year proposals up to a maximum of three years will be considered; 
however, funding beyond the first year will be dependent upon 
satisfactory performance and the continued availability of funds.
    1. Title Page. The title page shall provide the project title, the 
name(s) of the lead Principal Investigator (PI), Co-investigator 
name(s) if any, the respective affiliations, complete addresses, 
telephone, FAX, and e-mail information. The title page will also 
present the total amount of Federal funds requested for each budget 
period. The title page shall also identify the specific research area 
of interest (the one most relevant area from those listed by number in 
the ``Program Description'' in this Notice), and clearly identify that 
the proposal is in response to this Notice. The title page should be 
signed by the PI(s) and the institutional representative of the PI's 
organization.
    2. Abstract Page. The abstract page should be headed with the 
proposal title, institution(s), investigator(s), total proposed cost 
and budget period. The abstract should contain an introduction of the 
problem, proposed approach, expected outcome, and relevance to the 
goals of the JCSDA.
    3. Goals and Objectives. Identify broad project goals and 
quantifiable objectives.
    4. Background/Introduction. State the problem and summarize 
existing efforts in the context of present knowledge and/or 
capabilities.
    5. Project Description/Methodology. Describe the specifics of the 
proposed approach to solving the problem and methodology to be used.
    6. Relevance. Summarize the relevance of the proposed work to the 
goals of NWP, the priority areas listed above, and the potential 
improvements to data assimilation systems.
    7. Project Co-investigators. Identify any project Co-investigators, 
their respective roles, and their contributions/relationships to the 
proposed effort.
    8. Milestones and Time Lines. List target milestones and time lines 
(in multi-year proposed efforts, by year).
    9. Project Budget. Provide a detailed budget breakdown by category 
(and in multi-year proposed efforts, by year) and a brief narrative to 
provide the basis for the budget. Joint proposals by Federal and non-
Federal applicants must include separate budget breakdowns for the 
Federal and non-Federal funding portions. Non-Federal applicants must 
submit their budget information using the forms in the

[[Page 59268]]

NOAA Grants Application Package referenced above.

Selection Criteria (With Weights)

    All proposals will be scored according to the following criteria:

1. Importance and Relevance of Research to the Assimilation of 
Satellite Data in NWP Models (25 Points)

    Will the proposed work advance the goal of the JCSDA? Will the 
proposed project make a significant contribution to the high priority 
research and technical areas listed above?

2. Technical Merit (25 Points)

    Is the approach technically sound? Does the proposed project build 
on existing knowledge? Is the approach innovative?

3. Applicability and Effectiveness (25 Points)

    Does the proposed work have the potential to significantly advance 
the use of satellite observations in numerical weather and short-term 
climate prediction models? Does the proposed work provide for flexible, 
early and effective opportunities for evaluation at the JCSDA (e.g., 
through cooperative experiments, demonstrations, or JCSDA evaluations)? 
Does the proposed work have the potential for long-term (lasting) value 
and widespread applicability? Does the proposed work include an 
effective mechanism by which the project's progress can be evaluated?

4. Cost Efficiency (10 Points)

    Is the budget realistic and commensurate with the project needs? 
Does the budget narrative justify the proposed expenditures?

5. Meaningful Participation of Minority Serving (MSI) Institution(s) (5 
Points)

    Is there meaningful participation by an MSI in the proposed work? 
Are there subgrants, subcontracts or other partnership arrangements 
proposed with MSIs?

6. Overall Qualifications (10 Points)

    Are the proposers capable of conducting a project of the scope and 
scale proposed (i.e., scientific, professional, facility, and 
administrative resources/capabilities)? Are appropriate partnerships 
going to be employed to achieve the highest quality content and maximal 
efficiency?

Selection Process

    A selection panel will be convened to review and to provide 
recommendations on selection using the criteria published in these 
guidelines. The panel may include both Federal and non-Federal 
individuals. Each member of the review panel will review each proposal 
and assign the proposal a score. No consensus advice will be given by 
the panel. Proposals will be ranked and presented to the Selecting 
Official for final selection. In addition to the individual proposal 
rankings assigned by the panel, the Selecting Official may consider the 
following programmatic factors: balance among the prioritized research 
areas of programmatic interest described in the ``Program Description'' 
section of this Notice, extent of collaboration between non-Federal and 
Federal investigators, and duplication of existing supported research.
    Disposition of Unsuccessful Proposals. Proposals will be held in 
the Program Office until awards are made to the selected applicants and 
then destroyed.

Project Management

    All projects will be reviewed at an annual meeting of all grantees 
and JCSDA staff. Semi-annual progress reports will be required of all 
grantees.

Intergovernmental Review

    Applications under this program are not subject to Executive Order 
12372, ``Intergovernmental Review of Federal Programs.''

Executive Order 12866

    It has been determined that this notice is not significant for 
purposes of Executive Order 12866.

Executive Order 13132 (Federalism)

    It has been determined that this notice does not contain policies 
with Federalism implications as that term is defined in Executive Order 
13132.
    Because notice and comment are not required under 5 U.S.C. 553, or 
any other law, for notices 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. 601 et seq.

Paperwork Reduction Act

    This document contains collection of information requirements 
subject to the Paperwork Reduction Act (PRA). 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. 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 Paperwork 
Reduction Act unless that collection displays a currently valid OMB 
Control Number.

    Dated: September 13, 2002.
Mary M. Glackin,
Deputy Assistant Administrator for Satellite and Information Services, 
NOAA.
[FR Doc. 02-23926 Filed 9-19-02; 8:45 am]
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