[Federal Register: March 3, 2003 (Volume 68, Number 41)]
[Notices]
[Page 9985-9991]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03mr03-47]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 020213030-3031-02; I.D. No. 010903C]
-----------------------------------------------------------------------
[[Page 9987]]
(1) Objectives:
(a) Develop a technology that will enhance HAB monitoring
activities in U.S. coastal waters; and (b) incorporate that technology
into existing HAB monitoring programs.
(2) Characteristics:
(a) Should rigorously field-test new technologies to detect algal
species, toxin, or toxicity and/or monitor the environmental conditions
that support HABs. New technologies may include, but are not limited
to, rapid field assays for shellfish, improved diagnostic techniques
for in situ detection of HAB cells, and remote sensing technology to
help target sampling efforts; (b) may be led either by an individual or
by small investigative team; and (c) must address specified research
needs of the HAB community.
Investigators should include in their work plans efforts to build
support for the incorporation of technology into one or more existing
state or regional HAB monitoring programs. (See Part II: Further
Supplementary Information Section (11) ``Project Funding Priorities.'')
B. MERHAB-regional, Intensive Monitoring Projects
(1) Objectives:
(a) Develop new or increase existing regional capabilities for HAB
monitoring; (b) incorporate new tools for HAB measurement into existing
monitoring efforts;(c) include local, state, regional, Federal, or non-
governmental entities as active partners in identifying environmental
measurements and their importance to managing coastal resources and
protecting human health (i.e., generating public advisories) in the
area; (d) determine and work to secure long-term local, state,
regional, or other funding that will support enhancements in HAB
monitoring that result from MERHAB project funding; and (e) develop
local and/or regional capabilities to respond to HAB events.
(2) Characteristics:
(a) Include a suite of annual studies and involve a multi-
disciplinary, collaborative team of investigators. The team should
represent groups with strong interests in improved HAB monitoring,
including, but not limited to, the natural and social science research
community, existing monitoring programs, communities dependent upon
affected resources, business and industry associations, and non-profit
organizations; (b) provide evidence that local, state, tribal,
regional, and Federal representatives were consulted in the development
of the proposal to ensure appropriate economic, regulatory, and
management issues are addressed; (c) include a plan for continued
consultation with these representatives to facilitate the incorporation
of research results into existing monitoring programs and to identify
means to continue HAB monitoring efforts after MERHAB project funding
has ended; and (d) form a management team with a designated chairperson
serving as the main point of contact with the MERHAB Program Manager.
In similar NCCOS/CSCOR/COP research programs i.e., ECOHAB,
management teams provide strong leadership and solid partnerships among
principal investigators and collaborators. Teams serve to interpret
results collected from the expanded suite of pilot studies, permitting
acceptance or rejection of the approaches, techniques, or tools
explored during each annual budget period. MERHAB management teams will
also analyze results for application under local conditions and assess
effectiveness under specific constraints so that application to other
coastal systems or species may be determined.
The following characteristics are shared by both MERHAB-targeted
projects and MERHAB-regional, intensive monitoring projects.
(1) Project results will be distributed to stakeholders via
scientific, peer-reviewed articles, synthesis documents, briefings,
electronic web sites, and any other means defined by the proposers.
(2) Project proposals should clearly identify a timetable of
accomplishments and major program elements that will lead to specific
interim and final assessments of applicability and effectiveness of a
number of monitoring approaches.
Continuation of funding will be contingent upon the availability of
funds from Congress, satisfactory performance, and is at the sole
discretion of the agency; and determination by the awarding agency that
the selected project is on course to provide both interim and final
products that will improve HAB monitoring capabilities in the local or
national coastal environment impacted by HABs.
A. MERHAB-Targeted Projects
(1) Development and testing of new HAB monitoring tools;
(2) Demonstration of effective application of technology in an
existing monitoring program; and
(3) Comprehensive data analysis and integration that advances the
state of
[[Page 9988]]
science and management (i.e., technical reports, peer-reviewed
publications, databases, numerical and conceptual models, etc.).
B. MERHAB-regional, Intensive Monitoring Projects
(1) Include regional stakeholder input and participation through
means that may include, but are not limited to, annual workshops,
management and technical advisory committees that involve a broad
spectrum of regional interests and training in use of new technology;
(2) Provide recommendations to management of the parameters to be
measured in a region and the types of instruments that should be
developed or adapted into existing monitoring programs;
(3) Deploy new HAB monitoring tools in existing monitoring
programs;
(4) Conduct comprehensive data analysis and integration that
advances the state of science and management. (i.e., technical reports,
peer-reviewed publications, data bases, numerical and conceptual
models; regional case studies with explicit applications to important
management issues; risk analysis of management scenarios; regional
economic valuation of direct and indirect costs associated with HAB
events; and region-specific management recommendations based on study
results);
(5) Accept commitments from one or more local, state, tribal,
regional, or Federal organizations for continued, long-term support of
expanding HAB monitoring capabilities;
(6) Develop real-time, scientific response capability during HAB
outbreaks for the region that includes, but is not limited to, the use
of local experts, establishing local academic-government- NGO-private
partnerships for providing immediate analytical and sampling
capacities, and expanding local abilities for transferring samples to
analytical services outside the region; and
(7) Conduct outreach to improve awareness of HAB outbreaks and
their environmental and societal costs, and to mitigate their impact on
vital natural resources, public health and local/regional economies.
All recipients must follow the instructions in the preparation of
the NCCOS/CSCOR/COP application forms included in Part II: Further
Supplementary Information, (10) Application forms and kit.
For clarity in the submission of proposals, the following
definitions are provided for recipient use: (1) Funding and/or Budget
Period--The period of time when Federal funding is available for
obligation by the recipient. The funding period must always be
specified in multi-year awards, using fixed year funds. This term may
also be used to mean ``budget period'' A budget period is typically 12
months. (2) Award and/or Project Period--The period established in the
award document during which Federal sponsorship begins and ends. The
term ``award period'' is also referred to as project period in 15 CFR
14.2(cc) Each proposal must also include the following nine elements or
it will be returned to sender without further consideration:
(1) Standard Form 424. At time of proposal submission, all
applicants anticipating direct funding shall submit the Standard Form,
SF-424, ``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) Signed Summary title page. The title page should be signed by
the Principal Investigator (PI). The Summary title page identifies the
project's title, starting with the acronym: MERHAB 2004, a short title
(less than 50 characters), and the PI's name and affiliation, complete
address, phone, FAX and E-mail information. The requested budget for
each fiscal year should be included on the Summary title page. Multi-
institution proposals must also identify the lead investigator from
each fiscal year for each institution and the requested funding for
each fiscal year for each institution on the title page, but no
signatures are required on the title page from the additional
institutions. Lead investigator and separate budget information is not
requested on the title page for institutions that are proposed to
receive funds through a subcontract to the lead institution; however,
the COP Summary Proposal Budget Form and accompanying budget
justification must be submitted for each subcontractor. For further
details on budget information, please see Section (7) Budget of this
Part.
(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 NCCOS/CSCOR/COP format for the Project
Summary Form can be found on the CSCOR/COP Internet site under the
Grants Information section, Part D.
The summary should appear on a separate page, headed with the
proposal title, institution(s), investigator(s), total proposed cost,
and budget period. It should be written in the third person. The
summary is used to help compare proposals quickly and allows the
respondents to summarize these key points in their own words.
(4) Project description. The description of the proposed project
must be complete and divided into annual increments of work that
include: identification of the problem, scientific objectives, proposed
methodology, relevance to the MERHAB 2004 program goals, and its
scientific priorities. For MERHAB-Targeted project proposals, the
project description (including relevant results from prior support)
should not exceed 15 pages. For MERHAB-regional, intensive monitoring
project proposals, the project description (including relevant results
from prior support) should not exceed 20 pages. Both page limits are
inclusive of figures, other visual materials, and letters of
endorsement, but are exclusive of references, a milestone chart, and
letters of collaboration from unfunded collaborators.
This section should clearly identify project management with a
description
[[Page 9989]]
of the functions of each PI within a team. It should provide a full
scientific justification for the research, rather than simply
reiterating justifications presented in this document. It should also
include:
(a) The objective for the period of proposed work and its expected
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 the
program goals;
(d) Potential coordination with other investigators.
(5) References cited. Reference information is required. Each
reference must include the names of all authors in the same sequence
they appear in the publications, the article title, volume number, page
numbers, and year of publications. While there is no established page
limitation, this section should include bibliographic citations only
and should not be used to provide parenthetical information outside the
15-page MERHAB-targeted project or the 20-page MERHAB-regional project
descriptions.
(6) Milestone chart. Provide time lines of major tasks covering the
duration of the proposed project.
(7) Budget. At time of proposal submission, all applicants are
required to submit a COP Summary Proposal Budget Form for each fiscal
year increment. Multi-institution proposals must include a COP Summary
Proposal Budget Form for each institution, and multi-investigator
proposals using a lead investigator with a subcontract's approach must
submit a COP Summary Proposal Budget Form for each subcontractor.
Each subcontract or subgrant should be listed as a separate item.
Describe products/services to be obtained and indicate the
applicability or necessity of each to the project. Provide separate
budgets for each subgrant or contract regardless of the dollar value
and indicate the basis for the cost estimates. List all subgrant or
contract costs under line item number 5--Subcontracts on the COP
Summary Proposal Budget Form.
The use of this budget form will provide for a detailed annual
budget and for the level of detail required by the NCCOS/CSCOR/COP
program staff to evaluate the effort to be invested by investigators
and staff on a specific project. The COP budget form is compatible with
forms in use by other agencies that participate in joint projects with
NCCOS/CSCOR/COP and can be found on the CSCOR/COP home page under
Grants Information section, Part D.
All applications must include a budget narrative and a
justification to support all proposed budget categories. The SF-424A,
Budget Information (Non-Construction) Form, will be requested only from
those applicants subsequently recommended for award. See references to
single year or multi year awards under Part II: Further Supplementary
Information, (10) Application Forms and Kits regarding submission of
the SF-424A.
Ship time needs should be clearly identified in the proposed
budget. The investigator is responsible for requesting ship time and
for meeting all requirements to ensure the availability of requested
ship time. Copies of relevant ship time request forms should be
included with the proposal.
(8) Biographical sketch. All principal and co-investigators must
provide summaries of up to 2 pages 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, and the rest should not be included;
(c) A list of all persons (including their organizational
affiliation) in alphabetical order, with whom the investigator has
collaborated on a project or publication within the last 48 months,
including collaborators on the proposal and persons listed in the
publications. If no collaborators exist, this should be so indicated;
(d) A list of persons (including their organizational affiliation)
with whom the individual has had an association like 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
financial/funding support for all principal and co-investigators,
including subsequent funding in the case of continuing grants. All
current support from all sources (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 or co-investigators should be included, even if
they receive no salary support from the projects. 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. The original proposal should be
clamped in the upper left-hand corner, but left unbound. The 15
additional copies can be stapled in the upper left-hand corner or bound
on the left edge. The page margin must be one inch (2.5 cm) at the top,
bottom, left, and right, and the typeface standard 12-point size must
be clear and easily legible. Proposals should be single spaced.
(1) Program authorities. For a list of all program authorities for
the NCCOS/CSCOR/COP, see General Grant Administration Terms and
Conditions of the Coastal Ocean Program published in the Federal
Register November 8, 2002 (67 FR 68103) and at the CSCOR/COP home page.
Specific authority cited for this announcement is 33 U.S.C. 1442 and
Public Law 105-383, title VI, Nov. 13, 1998.
(2) Catalog of Federal Domestic Assistance (CFDA) number. The CFDA
number for the Coastal Ocean Program is 11.478.
(3) Program description. For complete NCCOS/CSCOR/COP program
descriptions, see General Grant Administration Terms and Conditions of
the Coastal Ocean Program published in the Federal Register November 8,
2002 (67 FR 68103).
(4) Funding availability. Funding is contingent upon availability
of Federal appropriations. It is anticipated that three to five MERHAB-
Targeted research projects will be funded at approximately $100,000 per
year for up to 3 years and that two to three MERHAB-regional, intensive
monitoring proposals will be funded at approximately $600,000 per year
for up to 5 years. Support in out years after FY 2004 is contingent
upon the availability of funds.
If an application is selected for funding, NOAA has no obligation
to provide any additional prospective funding in connection with that
award in subsequent years. Continuation of an award to increase funding
or extend the period of performance is based on satisfactory
performance and is at the total discretion of the funding agency.
Priority for these funds will be given to proposals that promote
balanced
[[Page 9990]]
coverage of the science objectives stated under this announcement.
Publication of this document does not obligate the CSCOR/COP 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.
(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. For complete eligibility criteria for the
NCCOS/CSCOR/COP, see the General Grant Administration Terms and
Conditions for the Coastal Ocean Program annual document in the Federal
Register November 8, 2002 (67 FR 68103), and the CSCOR/COP home page.
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 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) Project/Award period. Full proposals for targeted projects can
cover a project/award period of up to 3 years, and full proposals for
regional, intensive monitoring projects can cover a project/award
period of up to 5 years. Multi-year awards may be funded incrementally
on an annual basis, but, once awarded, those awards will not compete
for funding in subsequent years. (See section (10) Application Forms
and Kit for directions on submission of Federal forms for multi year
award funding for those applicants subsequently recommended for award.)
Each annual award shall require an Implementation Plan and project
description that can be easily divided into annual increments of
meaningful work representing solid accomplishments (if prospective
funding is not made available, or is discontinued).
(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.
(l0) Application forms and kit. For complete information on
application forms for the NCCOS/CSCOR/COP, see General Grant
Administration Terms and Conditions for the Coastal Ocean Program
document in the Federal Register November 8, 2002 (67 FR 68103), at the
CSCOR/COP home page and the information given under Required Elements,
paragraph (7) Budget. The following is a description of Multi-Year
Awards for those applicants subsequently recommended for award. This
information can also be found on the COP web site under Grants
Information. Multi-Year Awards: Multi Year Awards are awards which have
an award/project period of more than 12 months of activity. Multi Year
Awards are partially funded when the awards are approved, and are
subsequently funded in increments. One of the purposes of Multi Year
Awards is to reduce the administrative burden on both the applicant and
the operating unit. For example, with proper planning, one application
can suffice for the entire multi year award period. Funding for each
year's activity is contingent upon the availability of funds from
Congress, satisfactory performance, and is at the sole discretion of
the agency. Multi-year funding is appropriate for projects to be funded
for 2 to 5 years. Once approved, full applications are not required for
the continuations into the out years.
(11) Project funding priorities. For description of project funding
priorities,
[[Page 9991]]
see the annual General Grant Administration Terms and Conditions for
the Coastal Ocean Program document in the Federal Register November 8,
2002 (67 FR 68103), and the CSCOR/COP home page.
(12) Evaluation criteria. For complete information on evaluation
criteria, see the annual General Grant Administration Terms and
Condition for the Coastal Ocean Program document in the Federal
Register November 8, 2002 (67 FR 68103), and the CSCOR/COP home page.
(13) Selection procedures. For complete information on selection
procedures, see the annual General Grant Administration Terms and
Conditions for the Coastal Ocean Program document in the Federal
Register November 8, 2002 (67 FR 68103), and the CSCOR/COP home page.
All proposals received under this specific document will be evaluated
and ranked individually in accordance with the assigned weights of the
above evaluation criteria by independent peer mail review and/or panel
review. No consensus advice will be given by the independent peer mail
review or the review panel.
(14) Other requirements.
(a) For a complete description of other requirements, see the
annual General Grant Administration Terms and Conditions for the
Coastal Ocean Program document in the Federal Register November 8, 2002
(67 FR 68103) and the CSCOR/COP home page. NOAA has specific
requirements that environmental data be submitted to the National
Oceanographic Data Center (see section 16, Data Archiving).
(b) The Department of Commerce Pre-Award Notification Requirements
for Grants and Cooperative Agreements contained in the Federal Register
October 1, 2001 (66 FR 49917), as amended by the Federal Register
notice published on October 30, 2002 (67 FR 66109), are applicable to
this solicitation.
(c) 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.
(15) Intergovernmental review. Applications under this program are
not subject to Executive Order 12372, ``Intergovernmental Review of
Federal Programs.'' It has been determined that this notice is not
significant for purposes of Executive Order 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.
(16) Data archiving. Any data collected in projects supported by
NCCOS/CSCOR/COP must 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 Program Officer. It is the
responsibility of the funded 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 a modest handling
charge (to be determined by the institution, Program Officer, and DOC).
For more details, refer to NCCOS/CSCOR/COP data policy posted at the
CSCOR/COP home page.
(17) Collection of information requirements. 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 these requirements
and the burden estimate, or any other aspect of this collection of
information, including suggestions for reducing this burden, to
leslie.mcdonald@noaa.gov. Copies of these forms and formats can be
found on the CSCOR/COP home page under Grants Information 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: February 24, 2003.
Ted I. Lillestolen,
Associate Deputy Assistant Administrator, National Oceanic and
Atmospheric Administration, National Ocean Service.
[FR Doc. 03-4895 Filed 2-28-03; 8:45 am]