[Federal Register Volume 67, Number 221 (Friday, November 15, 2002)]
[Notices]
[Pages 69197-69201]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-29120]


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DEPARTMENT OF COMMERCE

National Oceanic and Atmospheric Administration

[Docket No. 021028257-2257-01]
RIN 0648-ZB32


NOAA Ocean Exploration Initiative, Fiscal Year 2003

AGENCY: Office of Ocean Exploration, National Oceanic and Atmospheric 
Administration (NOAA), Commerce.

ACTION: Notice.

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SUMMARY: NOAA's Office of Ocean Exploration (OE) is seeking pre-
proposals and full proposals for grants and cooperative agreements and 
other financial collaborations in support of OE's mission to expand our 
knowledge base of the ocean's physical, chemical and biological 
characteristics, processes, and resources and to learn more about our 
maritime cultural heritage by means of experiments and expeditions to 
unknown, or poorly known oceanic and Great Lakes regions. With an 
emphasis on stimulating integrated, interdisciplinary efforts and 
institutional collaborations, the goal is to foster a program in ocean 
exploration in which discovery and the spirit of challenge are the 
cornerstones.

DATES: Pre-proposals are required and must be received in the NOAA 
Office of Ocean Exploration by close of business (U.S. Eastern Time 
Zone), December 16, 2002, and full proposals by close of business, 
January 29, 2003. In the event these dates fall on a weekend or 
holiday, the application deadline shall be the first working day after 
the date specified. E-mail submissions of the pre-proposals and 
proposals are strongly encouraged. Facsimile pre-proposals and/or 
facsimile proposals will not be accepted.

ADDRESSES: Send proposals to NOAA, Office of Ocean Exploration, ATTN: 
OE Science Program Coordinator, Bldg. SSMC3, Rm. 10221, 1315 East West 
Highway, Silver Spring, MD 20910 or via e-mail to: 
noaa.gov">oar.oe.submissions@noaa.gov.

FOR FURTHER INFORMATION CONTACT: Margot Bohan, OE Science Program 
Coordinator, or Randi Neff, OE Program Grants Coordinator, NOAA Office 
of Ocean Exploration, 301-713-9444, facsimile 301-713-4252 or submit 
inquiries via e-mail to the Frequently Asked Questions address: 
noaa.gov">oar.oe.FAQ@noaa.gov. A copy of this notice, as well as ancillary 
information, will be posted on the Ocean Explorer Website which can be 
found at: http://www.explore.noaa.gov.

SUPPLEMENTARY INFORMATION:

I. Program Authority

    Authority: 33 U.S.C. 883d. Catalog of Federal Domestic 
Assistance Number: 11.460.

II. Program Description

A. Background

    In June 2000, the Secretary of Commerce was given a Presidential 
directive to convene a panel of leading ocean explorers, scientists, 
and educators to develop a national strategy for exploring the oceans. 
Upon completion of its undertaking, the Presidential Panel presented 
its recommendations in the report entitled, Discovering Earth's Final 
Frontier: A U.S. Strategy for Ocean Exploration (Presidential Panel 
Report) (http://

[[Page 69198]]

oceanpanel.nos.noaa.gov). Among them was a recommendation to designate 
a lead Federal agency to guide a national program in ocean exploration. 
NOAA was selected and established the Office of Ocean Exploration in 
2001.
    Through implementation of the vision of the Presidential Panel, OE 
seeks to challenge our Nation's scientists to explore the frontiers of 
ocean science and technology for the purpose of discovery and the 
advancement of knowledge of the oceans and their resources.

B. Program Mission

    The mission of OE is to expand our knowledge base of the ocean's 
physical, chemical and biological characteristics, processes and 
resources and to learn more about our maritime cultural heritage by 
means of experiments and expeditions to unknown, or poorly known 
oceanic and Great Lakes regions.

III. Program Notice

A. Notice Objectives

    The purpose of this announcement is to invite the submission of 
pre-proposals and full proposals for grants and cooperative agreements 
and other financial collaborations whose objectives are to explore the 
ocean and map its resources, to gain new insights about its physical 
and chemical processes and its living and non-living resources, 
including maritime cultural heritage, and to contribute to the 
advancement and utilization of ocean technology.

B. General Guidance

    Themes. In 2002, OE conducted eight U.S. regional workshops to 
engage a broad and diverse representation of ocean scientists, 
explorers, and educators from public, private and commercial 
organizations to help define and prioritize ocean exploration 
objectives for the coming years. A number of exploration themes, which 
refine and complement those of the Presidential Panel Report, emerged 
as a result. Persons submitting proposals may elect to address these 
preferred themes, which are listed below (in no order of priority).
    [sbull] Mapping ocean characteristics and bathymetry;
    [sbull] Marine life inventories: vertebrate, invertebrate, macro-
organisms and micro-organisms
    [sbull] Marine archaeology characterization of benthic and pelagic 
habitats and ecosystems
    [sbull] Locating and mapping corals (including deep corals)
    [sbull] New ocean resources
    [sbull] Passive ocean acoustics
    [sbull] Technology: innovative applications and leveraged 
development
    Geographic Areas of Interest. OE is especially interested in, but 
will not limit its consideration to, proposals for exploration within 
the U.S. EEZ and other areas of U.S. jurisdiction, including the Great 
Lakes. Additional areas of geographic interest include the Polar 
Regions and the following regions where OE anticipates being able to 
provide the noted resources:
    [sbull] Gulf of Mexico/Caribbean/Southwest North Atlantic [Class I 
ship w/ sub or ROV, 30 days]
    [sbull] Gulf of Mexico/U.S. East Coast/Caribbean [Class II ship 
with sub or ROV, 40 days]
    [sbull] U.S. East Coast, [Class I ship with ROV, 60 days]
    [sbull] U.S. East Coast, [Class III ship, 30 days]
    [sbull] Northwestern Hawaiian Islands [Class II ship with sub or 
ROV, 60 days]
    Investigators with non-OE-funded shiptime, projects, or other 
resources may wish to propose supplementing them by the addition of 
tasks or objectives that are consistent with (and are, therefore, 
eligible for funding by) the OE program.
    Establishment and support of facilities and infrastructure are not 
OE priorities. Proposals focused solely on ocean-climate issues are 
also not an OE priority.

C. Proposal Requirements

    Outreach & Education. A key recommendation of the Presidential 
Panel Report is ``reaching out in new ways to stakeholders, to improve 
to the literacy of learners of all ages with respect to ocean issues.''
    All funded Principal Investigators (PIs) and collaborators will be 
required to cooperate with OE in facilitating education and outreach 
activities. This may entail development of lesson plans, professional 
development for teachers, accommodation of a teacher/educator-at-sea, 
and at-sea media participation.
    Data Management. In accepting full or partial OE sponsorship, each 
PI is obligated to meet certain data management requirements including:
    1. PIs will provide metadata, e.g., number and type of data, and 
description of the data collected immediately upon completion of a 
project cruise. Other data or data products may also be required at the 
discretion of the OE Director.
    2. PIs will provide OE and the public access to the acquired data 
sets collected as soon as practical and, in no case, later than one 
year following the data of collection, unless an extension is specially 
granted by OE.
    Proposals should include a description and justification of data 
funding needs and explain how data will be made accessible or available 
to the public.
    3. NOAA's ocean Explorer Web site (http://oceanexplorer.noaa.gov) 
is the principal vehicle for chronicling and documenting all missions 
supported by OE. PIs and mission participants will be required to 
provide material (i.e., throughout the mission) for this site such as 
cruise tracks, preliminary bathymetry, characterization of data 
collected, photographic or other images from the mission, and 
participants interviews, essays, or written materials. Funded PI's will 
be required to cooperate with the NOAA Ocean Explorer website team 
which may include accommodation of a NOAA web team member. (See 
Ancillary Information at: http://explore.noaa.gov).

IV. Funding Availability

    FY2003 funding for this program has not yet been appropriated. 
Proposals are encouraged for collaborations and explorations ranging 
from the tens of thousands of dollars to funds appropriate for up to 
two months of expeditionary exploration work. Multi-year proposals will 
be accepted, although the principal focus in the first several years of 
the OE program will be on one-year projects and expeditions. Out-year 
funding will be contingent upon factors including successful 
accomplishment of prior-year objectives as well as availability of 
program funding and other relevant resources.
    The funding instrument of extramural awards may be a grant or 
cooperative agreement. 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. NOAA will make decisions regarding the use of 
cooperative agreements on a case-by-case basis. NOAA encourages the 
participation of NOAA scientists in collaborative efforts. Applications 
determined to be for the acquisition of property or services for the 
direct benefit or use of the U.S. government will evaluated for funding

[[Page 69199]]

under agency contract procurements outside of this announcement.
    There is no guarantee that sufficient funds will be available to 
make awards for all qualified projects. Publication of this Notice does 
not obligate NOAA to award any specific project or to obligate all or 
any part of the available funds.

V. Eligibility

    Eligible applicants are institutions of higher education, other 
nonprofits, commercial organizations, international organizations, 
state, local and Indian tribal governments. Applications from non-
Federal and Federal applicants will be competed against each other. 
(Note: NOAA/OE spent approximately 70 percent of Fiscal Year 2002 funds 
outside the agency.) Proposals selected for funding from non-Federal 
applicants will be funded through a project grant or cooperative 
agreement under the terms of this notice. Proposals selected for 
funding from NOAA scientists shall be affected 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. 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.

VI. Project Funding Considerations

    Ideally, proposals should be interdisciplinary, involve legitimate 
collaborations with other institutions or agencies, and have 
contributory funding. An interdisciplinary approach will likely to 
result in a greater breadth of science product. Collaborations will 
enhance the proposal through the contribution of scientific or 
technical expertise, funds, personal, shiptime, and/or equipment. 
Although cost sharing is not required, it is encouraged. Contributory 
funding will leverage OE funds.
    The geographic area of interest of a proposal will also be a 
project funding consideration.
    Communication of research through outreach and education is a 
critical element of the programs, projects and activities that OE 
supports. Proposals should reflect a willingness to facilitate and 
participate in such activities.
    OE may share proposals with other funding entities, such as the 
agencies of the National Ocean Partnership Program, and other NOAA 
funding sources, to ensure the most appropriate funding (see Section 
VIII.B.).

VII. Guidelines for Submission

    There will be a two-stage competition with pre-proposals utilized 
for an initial selection process. Full proposals will be solicited from 
investigators who submit successful pre-proposals. An approved pre-
proposal is a requisite for submission of a full proposal. All pre-
proposals and proposals must conform with the requirements published in 
this notice. Pre-proposals will be judged in terms of their consistency 
with the Presidential Panel Report and the Ocean Exploration program's 
themes (see Section III.B.). The cost of the proposed activities 
relative to available program funds will also be taken into 
consideration.

A. Preliminary Proposals

    A pre-proposal should include a summary of the proposed research, 
project priorities, a statement of objectives, and a description of how 
the proposed project is in keeping with the OE mission described in 
this notice. The area of proposed operations must be clearly defined 
(e.g., including latitude, longitude, and depth). Required platforms or 
other critical assets should be identified. The pre-proposal should 
make clear any time or other operational constraints, especially with 
regard to field operations. Any auxiliary funding sources for the 
proposed project should be identified. Pre-proposals should also 
identify all collaborators and include a summary budget. Pre-proposals 
may not exceed two typewritten single-sided pages, using 10-point font 
or larger. All pre-proposals must also include a completed pre-proposal 
cover page (available electronically at http://explore.noaa.gov) (see 
FOR FURTHER INFORMATION CONTACT to request a hard copy version). 
Electronic submission of pre-proposals to noaa.gov">oar.oe.submissions@noaa.gov 
is strongly encouraged. See ADDRESSES to submit a hard copy submission.

B. Proposals

    All proposals must include the following, packaged in the order 
listed here: (a) A completed proposal cover page (available 
electronically at http://explore.noaa.gov); (b) a maximum half-page 
executive summary; (c) a maximum 15-page description of the entire 
project (including work plan, schedule, and collaborations); (d) a 
summary of relevant current funding support; (e) brief resumes for each 
investigator, including recent relevant publication references, (f) a 
detailed budget (including any ship and equipment costs) and budget 
narrative (including justification for non-standard items) and (g) all 
government forms required for submission (see Section VII.C.). All 
pages should be single-sided, single--or double-spaced, typewritten 
margin in a minimum 10-point font on a 8\1/2\'' x 11'' page. Tables and 
visual materials, including charts, graphs, maps, photographs, and 
other pictorial presentations are to be including in the 15-page limit. 
The signature page, executive summary, references/literature cited, 
budgets and budget notes, current and pending support sections and 
resumes need not be counted against the 15-page limit. All information 
needed for review of the proposal should be included in the main text, 
e.g., not submitted as appendices.
    The proposal must clearly explain each participant's efforts and 
their respective requests for OE funds, as well as any cost-sharing. 
Separate budgets within the single proposal must be provided if more 
than one funding action is anticipated (e.g., if funds are to be 
allocated to more than one institution or agency).
    Forms must be submitted in triplicate, each with original 
signatures, along with any electronic submissions, by the closing timed 
identified in this announcement. All required forms (see Section 
VII.C.) must be mailed to OE. With the exception of these forms, 
electronic submission of proposals to noaa.gov">oar.oe.submissions@noaa.gov is 
strongly encouraged and will have a positive influence on the 
processing time for such proposals. Investigators who elect to submit 
hard copies of their proposal are required to submit 3 copies but are 
encouraged to submit 15 copies, particularly if they wish reviewers to 
receive included color graphics, glossy photographs, or other unusual 
materials. For further information, see Announcement of Opportunity: 
Application Kit at http://www.explore.noaa.gov/ or see ADDRESSES and/or 
FOR FURTHER INFORMATION.
    Proposals and required forms received after the deadline, or 
proposals that deviate from the format described in this Notice will 
not be accepted.

C. Forms

    Standard Forms 424, Application for Federal Assistance, 424A, 
Budget Information-Non-Construction Programs, 424B, Assurances-Non-
Construction Programs, SF-LLL, Disclosure of Lobbying Activities (Rev. 
7-97) (if applicable); DOC forms, CD-346, Applicant for Funding 
Assistance, CD-511, Certifications Regarding

[[Page 69200]]

Debarment, Suspension and Other Responsibility Matters: Drug-Free 
Workplace Requirements and Lobbying, CD-512, Certifications Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier 
Covered Transactions and Lobbying shall be used in applying for 
financial assistance, and, if applicable, please submit your most 
current negotiated indirect cost rate agreement. All necessary forms 
may be obtained via the OE Internet site (see: OE Application Kit) at 
http://explore.noaa.gov. For hard copies, see ADDRESSES and/or FOR 
FURTHER INFORMATION.

VIII. Pre-Proposal and Proposal Selection Process

A. Pre-Proposals

    The OE Director will make the decisions regarding pre-proposal 
acceptance or rejection. These decisions will be based on the following 
factors: (1) Is the proposal consistent with the Presidential Panel 
Report and OE mission?, (2) Does it touch on the OE themes and project 
funding considerations?, (3) Are the costs of the proposed activities 
relative to available program funds?

B. Proposals

    Proposals will be evaluated and rated individually by (a) ad hoc 
independent peer review and/or by (b) independent peer panel review 
using the following equally weighted criteria. In general, the pool of 
reviewers will be composed of scientists, engineers, social scientists, 
economists, outreach specialists, and resource managers as appropriate 
to the scope of proposals received in response to this announcement.
    Scientific and Technical merit: The scientific and/or technical 
value of the work proposed, its probability of success, and the 
applicant's scientific and/or technical capabilities to undertake the 
proposed work.
    Program Relevance: The degree to which the proposal addresses and 
supports Ocean Exploration's mission and notice objectives (see Section 
II and Section III.A.).
    Usability of results: The anticipated scientific and/or technical 
impact of project results on the advancement of knowledge within the 
field(s) of endeavor.
    All proposals submitted for funding via a grant or cooperative 
agreement (or intra/interagency transfer) will be rated by the 
independent peer reviewers according to an adjectival scale ranging in 
order of decreasing merit, as follows:
    Excellent: Comprehensive, thorough and of exceptional merit, one or 
more major strengths, no major weaknesses, and any minor weaknesses 
easily correctable.
    Very Good: Competent, one or more major strengths, strengths 
outweigh weaknesses, and major weaknesses correctable.
    Good: Reasonable, may be strengths and/or weaknesses, weaknesses do 
not significantly detract from the proposal's viability, any major 
weaknesses are correctable.
    Fair: One or more major weaknesses, weaknesses outweigh strengths, 
major weaknesses may possibly be corrected or minimized.
    Poor: One or more major weaknesses which will be difficult to 
correct or may not be correctable.
    Following the peer review, the OE Chief Scientist will compile the 
individual ratings and make recommendations for funding based on OE's 
mission, notice objectives and the project funding considerations.
    The OE Director will have the final authority and responsibility 
for decisions regarding proposal selection. The Director shall have 
discretion in making final decisions and will consider: (1) Peer 
reviews; (2) the Chief Scientist's recommendations; (3) the avoidance 
of duplication with other projects funded by NOAA or other Federal 
Agencies or the proprietary of other funding sources; (4) the extent to 
which the proposal is in the best interest of OE's mission and the 
notice objectives (see Section II and III), (5) the extent to which it 
addresses funding considerations identified in this announcement (see 
Section VI), (6) the availability of program funding, and (7) the 
proposal's geographic location. High proposal peer review ratings may 
not result in funding for a given proposal. Investigators may be asked 
to modify objectives, work plans, or budgets prior to approval of the 
award. Subsequent administrative processing will be in accordance with 
current NOAA financial administrative procedures.
    Other NOAA agencies and programs also have mission objectives which 
involve ocean research and technology development. Examples include the 
National Undersea Research Program, the National Sea Grant College 
Program, the Arctic Research Office, NOAA Fisheries and the National 
Ocean Service. OE anticipates and encourages collaborative proposals 
involving these agencies and programs. Investigators who wish to work 
with OE through any of these other entities should contact them 
directly. Prospective collaborative projects facilitated by these other 
programs will be subject to the OE's proposal review and decision-
making process. For additional details about these other programs, see: 
http://oceanexplorer.noaa.gov.

C. Disposition of Unsuccessful Applications

    Those proposals that are not ultimately selected for OE funding 
will be destroyed.

IX. Federal Policies and Procedures Applicable to OE

A. Environmental Impact

    Applicants whose proposed projects may have an environmental impact 
should furnish sufficient information to assist proposal reviewers in 
assessing the potential environmental consequences of supporting the 
project.

B. Permits and Authorizations

    Proposers are responsible for obtaining relevant permits and 
authorizations required under the laws of the jurisdiction in which the 
work is to be performed and under U.S. law.
    For further information about permits, authorizations or viewing 
marine mammals and other protected species in the wild please visit the 
following NOAA Fisheries Web site: http://www.nmfs.noaa.gov/prot_res/overview/permits.html and http://www.nmfs.noaa.gov/prot_res/MMWatch/MMViewing.html.

X. Other Requirements

    The Department of Commerce Pre-award Notification Requirements for 
Grants and Cooperative Agreements contained in the Federal Register 
Notice (66 FR 49917) published on October 1, 2001, are applicable to 
this solicitation.
    Intergovernmental Review. Applications under this program are 
subject to Executive Order 12372, ``Intergovernmental Review of Federal 
Programs.''

Classification

    Prior notice and an opportunity for public comments are not 
required by the Administrative Procedure Act (5 U.S.C. 553(a)(2)) or 
any other law for this notice concerning grants, benefits, and 
contracts.
    Therefore, a regulatory flexibility analysis is not required for 
purposes of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.).
    This action has been determined to be not significant for purposes 
of Executive Order 12866.
    This notice contains collection-of-information requirements which 
are subject to the Paperwork Reduction Act. The use of Standard Forms 
424, 424A, 424B, SF-LLL, and CD-346 have been approved by OMB under the 
respective

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control numbers 0348-0043, 0348-0044, 0348-0040, 0348-0046, and 0605-
0001. 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 than collection of information displays a 
currently valid OMB control number.

Louisa Koch,
Acting Assistant Administrator, Office of Oceanic and Atmospheric 
Research, National Oceanic and Atmospheric Administration.
[FR Doc. 02-29120 Filed 11-14-02; 8:45 am]
BILLING CODE 3510-KD-M