[Federal Register Volume 67, Number 217 (Friday, November 8, 2002)]
[Notices]
[Pages 68103-68106]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28511]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 000817236-2242-04, I.D. No. 082702F]


General Grant Administration Terms and Conditions of theCoastal 
Ocean Program for FY2003

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

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

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SUMMARY: It is the intent of NOAA/NOS/NCCOS/CSCOR/COP to provide direct 
financial assistance in the form of discretionary research grants and 
cooperative agreements under its program for the management of coastal 
ecosystems.
    This document does not solicit proposals but rather describes the 
general grant administration terms and conditions of the NCCOS/CSCOR/
COP program for fiscal year 2003. It is NCCOS/CSCOR/COP's intent to 
issue supplemental Announcements of Opportunities (AOs) to request 
proposals on specific projects throughout the year according to the 
appropriations issued by Congress. AOs will be issued through the 
Federal Register. Information regarding these announcements will be 
made available on the NCCOS/CSCOR/COP Home Page and NCCOS/CSCOR/COP's 
e-mail list. These announcements will provide specific program 
descriptions.

DATES: Effective November 8, 2002.

ADDRESSES: Center for Sponsored Coastal Ocean Research/Coastal Ocean 
Program, National Oceanic and Atmospheric Administration, 1305 East 
West Highway, SSMC4, Room 8218, Silver Spring, MD 20910-3282

FOR FURTHER INFORMATION CONTACT: Leslie McDonald, NCCOS/CSCOR/COP 
Grants Administrator, (301)713-3338/x155.

SUPPLEMENTARY INFORMATION:

Electronic Access

    NOAA Standard Form and COP-specific application forms are 
accessible with instructions on the following COP Internet Site: http://www.cop.noaa.gov, under the COP Grants Information 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 NCCOS/CSCOR/COP with 
original signatures. If you are unable to access this information, you 
may call COP at 301-713-3338 to leave a mailing request.
    General information about the COP's projects and publications is 
also available on the NCCOS/CSCOR/COP Internet Site.

Background

    (1) Program Authority(s): 16 U.S.C. 1456c; 33 U.S.C. 883d; 33 
U.S.C. 1442; 15 U.S.C. 1540; and/or Pub.L. 105-383.
    (2) Catalog of Federal Domestic Assistance (CFDA): 11.478 Coastal 
Ocean Program.
    (3) Program Description: NOAA's NCCOS/CSCOR/COP provides predictive 
capability for managing coastal ecosystems through sponsorship of 
research. NCCOS/CSCOR/COP seeks to deliver the highest quality science 
in a timely manner for important coastal decisions. It supports 
research on critical issues that exist in the Nation's estuaries, 
coastal waters, and Great Lakes and translates its findings into 
accessible information for coastal managers, planners, lawmakers, and 
the public. The COP also supports educational activities at the 
graduate and undergraduate level to facilitate the development of 
qualified professionals in the fields of coastal science, management, 
and policy.

Coastal Ecosystem Oceanography

    NCCOS/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

[[Page 68104]]

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 cod 
and haddock on Georges Bank, and salmon in the Pacific Northwest.

Cumulative Coastal Impacts

    NCCOS/CSCOR/COP sponsors a series of regional watershed projects on 
the causes and impacts of multiple stresses on coastal ecosystems. 
Studies focus on (l) developing indicators of stress; (2) predicting 
impacts of multiple stresses (3) valuing natural resources in 
ecological and economical terms; and (4) predicting the outcomes of 
management strategies. Current efforts are located in Chesapeake Bay, 
Florida Bay and the Keys, the coastal areas of South Carolina, the 
Pacific Northwest, and coral reefs in Florida and Hawaii.

Harmful Algal Blooms (HABs) and Hypoxia

    NCCOS/CSCOR/COP also sponsors studies on the ecology and 
oceanography of harmful algal blooms (HABs), focusing on identifying 
and modeling linkages between the physiology, ecology, behavior and 
toxicity of HABs and local/regional circulation patterns and water 
quality. These results will not only generate greater general knowledge 
of problematic species in the U.S. coastal waters, but also provide a 
foundation for development of regional HAB forecasting capabilities, 
eventually providing a means to assess the effectiveness of prevention, 
control, and mitigation strategies developed in the programs. Current 
regional efforts are located in the Gulf of Maine, the Pacific 
Northwest, Hawaii, eastern Long Island, the coastal regions of the mid-
Atlantic States, the Great Lakes, 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 NCCOS/CSCOR/COP supports research examining the influences 
of nutrient loading, physical forcing, climate change, and extent of 
hypoxic conditions (i.e., the ``dead zone'') on the ecosystem and 
fisheries of the northern Gulf of Mexico.

Benefits of the NCCOS/CSCOR/COP

    Continued population pressures on the Nation's coastal areas and 
ongoing changes in the environment will continue to stress our coastal 
waters, bays, and estuaries and the Great Lakes. NCCOS/CSCOR/COP has 
focused on developing information for longer range U.S. management and 
policy at large and complex scales. NCCOS/CSCOR/COP research will help 
the U.S. respond to the major challenges of the next century and to 
balance the needs of economic growth with those of conserving the 
environment and its coastal resources.
    (4) Funding Availability: On average, annual funding for each 
Announcement of Opportunity is approximately $l,000,000. Each NCCOS/
CSCOR/COP project generally consists of several coordinated 
investigations with separate awards, ranging from $5,000 to $500,000. 
Actual funding levels will depend upon the final budget appropriations 
for the fiscal year. Individual AOs will be released with specific 
applicable dollar amounts.
    The funding history of NCCOS/CSCOR/COP's Direct Financial 
Assistance is as follows: FY99 $8.5M; FY00 $15M, FY01 15.5M; FY02 $20M; 
and FY03 is estimated at $22.2M. 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, NCCOS/CSCOR/COP has no obligation to provide any additional 
prospective funding in connection with that award in subsequent years.
    (5) Matching Requirements: None.
    (6) Type of Funding Instrument: They are project grants and 
cooperative agreements.
    (a) Research Project Grants: A research project grant is one in 
which substantial programmatic involvement by NOAA is not anticipated 
by the recipient during the project period. Applicants for grants must 
demonstrate an ability to conduct the proposed research with minimal 
assistance, other than financial support, from NOAA.
    (b) Cooperative Agreements: A cooperative agreement implies that 
NOAA will assist recipients in conducting the proposed research. The 
application should be presented in a manner that demonstrates the 
applicant's ability to address the research problem in a collaborative 
manner with NOAA. A cooperative agreement is appropriate when 
substantial NOAA involvement is anticipated. This means that the 
recipient can expect substantial agency collaboration, participation, 
or intervention in project performance. Substantial involvement exists 
when: responsibility for the management, control, direction, or 
performance of the project is shared by the assisting agency and the 
recipient; or the assisting agency has the right to intervene 
(including interruption or modification) in the conduct or performance 
of project activities.
    (c) Determination of which instrument to use: Applicants must 
specify the type of award for which they are applying, either a grant 
or a cooperative agreement. The funding agency will review the 
applications in accordance with the evaluation criteria. Before issuing 
awards, NOAA will determine whether a grant or cooperative agreement is 
the appropriate instrument based upon the need for substantial NOAA 
involvement in the project.
    (d) In an effort to maximize the use of limited resources, 
applications from non-Federal, non-NOAA Federal and NOAA Federal 
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.
    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.
    Proposals deemed acceptable from NOAA Federal researchers will be 
funded through an intraagency transfer.
    (7) Eligibility Criteria: Eligible applicants are institutions of 
higher education, other non-profits, state, local, Indian Tribal 
Governments, and Federal agencies that possess the statutory authority 
to receive financial assistance.
    (i) Researchers must be employees of an eligible institution listed 
above; and proposals must be submitted through that institution. Non-
Federal researchers should comply with their institutional requirements 
for proposal submission.
    (ii) Non-NOAA Federal applicants will be required to submit 
certifications

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or documentation showing that they have specific legal authority to 
receive funds from the Department of Commerce (DOC) for this research.
    (iii) NCCOS/CSCOR/COP will accept proposals that include foreign 
researchers as collaborators with a researcher, who has met the above 
stated eligibility requirements; and who also is an employee of an 
eligible institution listed above.
    (iv) 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.
    (8) Award Period: Typically, NCCOS/CSCOR/COP's projects average 1 
to 5 years in length. Projects covering more than 1 year will usually 
be funded on an annual basis.
    (9) Indirect Costs: Regardless of any approved indirect cost rate 
applicable to the award, the maximum dollar amount of allocable 
indirect costs for which DOC will reimburse the recipient shall be the 
lesser of (a) the line item amount for the Federal share of indirect 
costs contained in the approved budget of the award or (b) the Federal 
share of the total allocable indirect costs of the award based on the 
indirect cost rate approved by a cognizant or oversight Federal agency 
and current at the time the cost was incurred, provided the rate is 
approved on or before the award end date.
    (10) Application Forms: When applying for financial assistance 
under a published AO, applicants will be able to obtain both the 
standard NOAA application forms and COP-specific application forms at 
the COP home page. Forms may be viewed and, in most cases, filled in by 
computer. All forms must be printed, completed, and mailed to NCCOS/
CSCOR/COP with original signatures in blue ink. If you are unable to 
access this information, you may also call (301)713-3338 to leave a 
mail request. At time of submission, the applicant will follow the 
proposal requirements presented in the funding announcement.
    At time of original application for financial assistance, all 
applicants are required to submit the NOAA Standard Form 424 (Rev July 
1997), ``Application for Federal Assistance'' and a COP Summary 
Proposal Budget Form for each fiscal year increment in lieu of the NOAA 
Standard Form 424A (Rev July 1997),``Budget Information for Non-
Construction Programs.'' Applicants shall also include a budget 
narrative/justification that supports all proposed budget categories. 
The SF-424A shall be requested only from those recipients subsequently 
recommended for award. Multi-institution proposals must include a 
Summary Proposal Budget Form from each institution.
    Disposition of Unsuccessful Application: Applications not adhering 
to these stated guidelines will be returned to the applicant without 
further review.
    In addition, other forms required as part of a complete application 
package from only those recipients subsequently recommended for award 
include the NOAA Standard Form 424-B, ``Assurances for Non-Construction 
Programs''; the CD-511, ``Certifications Regarding Debarment, 
Suspension and Other Responsibility Matters; Drug-Free Workplace 
Requirements and Lobbying''; the CD-512, ``Certification Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying'' (this certification is to remain 
with the recipient and is not forwarded to the Grants Officer); the CD-
346, ``Applicant for Funding Assistance''(for non-profit organizations) 
and the SF-LLL, ``Disclosure of Lobbying Activities'' (if applicable).
    (11) Project Funding Priorities: Priority considerations will be 
given to proposals that promote balanced coverage of the science 
objective stated in the later AOs, avoid duplication of completed or 
ongoing work, and increase geographic diversity. Additional and/or 
other priorities may be detailed in NCCOS/CSCOR/COP AOs.
    (12) 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): The capability of 
the investigator and collaborators to complete the proposed work as 
evidenced by past research accomplishments, previous cooperative work, 
timely communication, and the sharing of findings, data, and other 
research products;
    (c) Relevance (20 percent): Likelihood that the research will make 
substantial contributions or develop products leading to improved 
management of coastal resources;
    (d) Technical Approach (20 percent): The proposed work has focused 
science objectives and a complete and efficient strategy for making 
measurements and observations in support of the objectives. The 
approach is sound and logically planned throughout the cycle of the 
proposed work;
    (e) Linkages (10 percent): Connections to existing or planned 
studies, or demonstrated cooperative arrangements to provide or use 
data or other research results to achieve the objectives.
    (f) Costs (10 percent): Adequacy of the proposed resources to 
accomplish the proposed work, and the appropriateness of the requested 
funding with respect to the total available funds.
    (l3) 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), Poor 
(5).
    The peer panel will comprise of 4 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. All 
proposals will be evaluated and scored individually. The peer panel 
shall rate the proposals using the evaluation criteria and scores 
provided above and used by the mail reviewers. The individual peer 
panelist scores shall be averaged for each application and presented to 
the program officers. No consensus advice will be given by the 
independent peer mail review or the review panel.
    The program officers 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 average panel ratings,

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and/or by applying the project funding priorities listed in section 11 
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 subject to the availability of fiscal 
year funds. Awards may not necessarily be made in rank order. In 
addition, proposals rated by the panel as either ``Excellent,'' ``Very 
Good,'' or ``Good'' that are not funded in the current fiscal period, 
may be considered for funding in another fiscal period without having 
to repeat the competitive, review process.
    Recommendations for funding are then forwarded to the selecting 
official, the Director of NCCOS/CSCOR/COP, for the final funding 
decision. The Director shall make his final funding decisions based 
upon the program officials' recommendations, project funding priorities 
and availability of funds.
    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 NCCOS/CSCOR/COP for 
the required 3 years in accordance with the current retention 
requirements, and then destroyed.
    (14) Other Requirements:
    (a) 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), as amended by 
the Federal Register notice published on October 30, 2002 (67 FR 
66109), is applicable to this solicitation.
    (b) Intergovernmental Review: (a) Applications under this program 
are not subject to Executive Order (E.O.) 12372,
    ``Intergovernmental Review of Federal Programs.'' (b) It has been 
determined that this notice is not significant for purposes of E.O. 
12866. Pursuant to 5 U.S.C. 553 (a)(2), an opportunity for public 
notice and comment is not required for this notice relating to grants, 
benefits and contracts. Because this notice is exempt from the notice 
and comment provisions of the Administrative Procedure Act, a 
Regulatory Flexibility Analysis is not required, and none has been 
prepared. It has been determined that this notice does not contain 
policies with Federalism implications as that term is defined in 
Executive Order 13132.
    (c) Data Archiving: Any data collected in projects supported by 
NCCOS/CSCOR/COP should be delivered to a National Data Center (NDC), 
such as the National Oceanographic Data Center (NODC), in a format to 
be determined by the institution, the NODC, and the 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 NCCOS/CSCOR/COP are encouraged to be made 
available to the general research community at no or modest handling 
charge (to be determined by the institution, Program Officer, and DOC).
     (d) Please note that NOAA is developing a policy on internal 
overhead charges, NOAA scientists considering submission of proposals 
should contact the appropriate NCCOS/CSCOR/COP Program Manager for the 
latest information.
    (e) Paperwork Reduction Act: This notification involves collection-
of-information requirements subject to the Paperwork Reduction Act. The 
use of Standard Forms 424, 424A, 424B, and SF-LLL has been approved by 
the Office of Management and Budget (OMB) under control numbers 0348-
0043, 0348-0044, 0348-0040 and 0348-0046.
     The 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 the Grants Information section.
    Notwithstanding any other provision of law, no person is required 
to respond to, nor shall any person be subject to a penalty for failure 
to comply with a collection of information subject to the requirements 
of the Paperwork Reduction Act, unless that collection displays a 
currently valid OMB control number.

    Dated: October 31, 2002.
Alan Neuschatz,
Associated Assistant Administrator for Ocean Services and Coastal Zone 
Management.
[FR Doc. 02-28511 Filed 11-7-02; 8:45 am]
BILLING CODE 3510-22-S