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NOAA Ocean Exploration Initiative
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[Federal Register: September 4, 2001 (Volume 66, Number 171)]
[Notices]
[Page 46260-46264]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04se01-29]
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 010813205-1205-01]
RIN 0648-XA74
NOAA Ocean Exploration Initiative
AGENCY: Office of Ocean Exploration, National Oceanic and Atmospheric
Administration (NOAA), Commerce.
ACTION: Notice.
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SUMMARY: In June 2000, a U.S. panel of ocean scientists, explorers, and
educators convened to create a National Strategy for Ocean Exploration.
Their final report, ``Discovering Earth's final Frontier: A U.S.
Strategy for Ocean Exploration'', is a plan to undertake new activities
in ocean exploration. NOAA is embarking on this new strategy through
its Ocean Exploration Program, and desires to partner with public,
private, and academic ocean exploration programs outside of NOAA.
The purpose of this notice is to advise the public, academic
institutions, and private sector and government entities that the NOAA
Office of Ocean Exploration (OE) is soliciting proposals in support of
its mission to expand knowledge of the ocean's physical, chemical and
biological environments, processes, characteristics, and resources by
means of interdisciplinary expeditious to unknown, or poorly known,
regions and through innovative experiments.
DATES: Proposals must be submitted to the Office of Ocean Exploration
no later than 1 p.m. EST on November 7, 2001. Applications received
after that time will not be considered for funding. Facsimile
applications will not be accepted.
ADDRESSES: Send proposals to Katherine Croff, NOAA, Office of Ocean
Exploration, Bldg. SSMC3, 11th Floor, 1315 East West Highway, Silver
Spring, MD 20910 or via email to: oar.oe.submissions@noaa.gov.
FOR FURTHER INFORMATION CONTACT: For further information, applicants
and other interested parties are encouraged to contact the Office by
phone at 301-713-9444 x-139 or via email at oar.oe.fag@noaa.gov or by
letter (see ADDRESSES). A copy of this notice, as well as ancillary
information, will be posted on the OE Program webpage which can be
found at: http://oceanexplorer.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. Mission and Background
The OE Program's mission is to search and investigate the oceans
for the purpose of discovery and the advancement of knowledge of the
ocean's physical, chemical and biological environments, processes,
characteristics, and resources by means of interdisciplinary
expeditious to unknown, or poorly known, regions and through innovative
experiments. The Program advocates discovery-based science and
collaboration between multiple partners and disciplines. Education and
outreach are also important OE Program components.
NOAA's OE Program is viewed as a component of an envisioned larger
National Ocean Exploration Program which is described in Discovering
Earth's Final Frontier: A U.S. Strategy for Ocean Exploration http://
oceanpanel.nos.noaa.gov. As envisioned, it would seek to bring the best
of our Nation's ocean scientists to ocean science and technological
frontiers for the purposes of discovering more about life in the
oceans, discovering new oceans processes, learning more about maritime
cultural resources and heritage, and prospecting for biological and
mineral resources. The NOAA OE Program will thereby support NOAA's role
as the Nation's agency for ocean stewardship.
In order to facilitate pathfinding oceanic research and technology
development, the OE Program will invest in well-justified projects that
will expand our knowledge of the ocean's physical, chemical and
biological environments as well as its processes,
[[Page 46261]]
characteristics, and resources. The OE Program will achieve these
goals, in part, by means of interdisciplinary expeditions to unknown,
or poorly known, regions and by means of innovative experiments. The
Program also will seek to expand the Nation's maritime cultural
heritage through support of ocean archeological expeditions.
A major commitment will be devoted to data dissemination and timely
communication of the Program's achievements to a broad audience.
Participants in the program are anticipated to include the public,
private entities, and academic scientists.
B. Notice Objectives
The purpose of this announcement is to invite the submission of
research proposals to explore and discover fundamental, new knowledge
about the ocean and the organisms that live within it, to pursue the
advancement of ocean technology and to develop teaching tools and
innovative means for disseminating results and data.
C. Research Proposal Focus
Proposals should address pathfinding research within the themes and
regions listed below. Research within areas of U.S. legal jurisdiction
is encouraged.
Generalized thematic focuses for Ocean Exploration proposals
include: (1) Exploring unknown or poorly known ocean regions; (2)
exploring ocean dynamics and interactions at new time scales; (3)
developing new sensors and systems; (4) exploring the Nation's maritime
heritage; (5) exploring the ocean using remote sensing techniques,
especially passive acoustics; and (6) exploring for living and
nonliving ocean resources.
Areas of geographic interest include (but are not necessarily
limited to) the: (1) Eastern Pacific (from the Baja peninsula to the
Bering Sea and including the Gulf of Alaska); (2) Northwest Hawaiian
Islands; (3) Arctic; (4) Antarctic; (5) Gulf of Mexico; (6) Gulf of
Maine; (7) South Atlantic Bight.
The scope of proposals is left to the proposer's discretion, e.g.,
a proposal may be for a specific task or a large-scale, multi-
institutional interdisciplinary expedition. Proposals may include costs
for ship time and other facilities, including ROVs, etc.
All funded Principal Investigators (PIs) will be required to
cooperate with the OE Program staff in facilitating education and
outreach activities, which are major priorities for the program. These
activities may entail such things as accommodation of a teacher/
educator-at-sea or at-sea media participation. Proposals should
specifically address these priorities.
NOAA's Ocean Explorer website (http://oceanexplorer.noaa.gov) is
the principle vehicle for chronicling and documenting missions
supported by the OE Program. PIs and mission participants will be
required to provide materials for this site. Mechanisms to do this,
e.g., coordination with the NOAA Ocean Explorer website team (see
Ancillary Information at: http://oceanexplorer.noaa.gov), should be
described in the proposal, and costs for accomplishing this goal should
be included in the budget.
PIs must also be willing to cooperate with OE to ensure that data
acquired through their grants are compatible with the OE data/
information system currently under development. All funded proposals
will be required to provide OE with metadata (via the Internet)
pertaining to all research data sets within 90 days of their
collection. In keeping with OE's education and outreach goals, the
Internet databases also should be friendly to users from a wide
spectrum of abilities and backgrounds. Because of the anticipated wide
diversity in kinds of data to be acquired, dates for access to specific
datasets (by the OE Program, relevant data repositories, and other
requesters) will be individually established prior to each proposal
award.
III. Funding Availability
This solicitation announces that approximately $14M may be
available in FY 2002, in award amounts to be determined by the
proposals and available funds. Applicants are hereby given notice that
funds have not yet been appropriated for this program.
There is no guarantee that sufficient funds will be available to
make awards for all qualified projects. Publication of this notice does
not oblige NOAA to award any specific project or to obligate any
available funds. If one incurs any costs prior to receiving an award
agreement signed by an authorized NOAA official, one would do so solely
at one's own risk of these costs not being included under the award.
Notwithstanding any verbal or written assurance that one may have
received, pre-award costs are not allowed under the award unless the
Grants Officer approves them in accordance with 15 C.F.R. 14.28.
IV. Matching Requirements
Applications must reflect the total budget necessary to accomplish
the project, including contributions and/or donations. However,
applicants are not required to seek matching funds to qualify for this
award. If an applicant chooses to cost-share, and if that application
is selected for funding, the applicant will be bound by the percentage
of the cost-share reflected in the award.
V. Type of Funding Instrument
The type of a funding instrument (either grant or cooperative
agreement) that NOAA will use will be determined by the NOAA Grants
Office in consultation with the NOAA OE Program Office. Mechanism for
actual transfer of funds will depend on the specific agency or
institution and its relationship to NOAA. Note: Grants or cooperative
agreements will not be used in the case of funding for other Federal
agencies. Such agencies will be funded through an inter-agency transfer
(see Section IX for additional information).
IV. Duration of Funding and Award Period
Proposals may request funding for up to three years. Funding in
out-years will be contingent on successful accomplishment of prior-year
objectives and the level of the program's overall funding. A year-end
report of accomplishments will be required for multi-year proposals.
VII. Eligibility
Institutions of higher education, nonprofit organizations,
commercial organizations, foreign governments, organizations under the
jurisdiction of foreign governments, international organizations,
state, local and Indian tribal governments, and Federal agencies are
eligible to apply and be awarded funds. Note: Before other Federal
applicants may be funded, they must demonstrate that they have legal
authority to receive funds for the purpose of this program in excess of
their appropriation; see Section IX for more details on this point.
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.
VIII. Project Funding Considerations
NOAA encourages proposals that are interdisciplinary and involve
legitimate collaborations with more than one institution or agency.
IX. Application Forms and Format
All applications must include the forms listed in section IX(A) and
a proposal that conforms to the specifications in section IX(B). For
other federal agencies wishing to apply, please contact the OE Program
Director at 301-713-9444 or via email at
[[Page 46262]]
oar.oe.fag@noaa.gov prior to the development of any research proposals
to discuss the legal authority for receiving these funds.
A. 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 Debarment, Suspension and
Other Responsibility Matters: Drug-Free Workplace Requirements and
Lobbying, and CD-512, Certifications Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions
and Lobbying shall be used in applying for financial assistance. All
necessary forms may be obtained via the OE Internet site (see: OE
Application Kit) at http://oceanexplorer.noaa.gov. For hard copies, see
ADDESSES and/or FOR FURTHER INFORMATION.
B. Proposal Format
The proposal should be self-contained. The proposal must clearly
delineate each partner's efforts and the associated requests for OE
funds, as well as any cost-sharing. The same proposal will be used to
implement funding of all partners in the proposed effort, if selected.
Thus, separate budgets within the single proposal will be required if
more than one funding action is needed..
All proposals/applications must include the following: (a)
Completed cover page; (b) a maximum half-page executive summary; (c) a
maximum 20-page description of the entire project (including
collaborations, period of performance, and work plan); (d) budget
narrative (including proper budget justification for non-standard
items); (e) a summary of relevant current funding support; (f) a short
Principal Investigator resume, including recent relevant publication
references,and (g) all government forms required for submission.
The entire package must make 40 pages or less. Proposals must be
stapled or bound in the uppermost left-hand corner. Margins should be
one inch on all four sides and the font size should be at least 10
point. A copy of the proposal on floppy diskette or Zip disk in Adobe
Acrobat PDF or Microsoft Word format is requested, but not required.
X. Proposal/Application Submission Procedure
Investigators/applicants may submit hard copies or electronic
copies (via email) of their proposals. Applicants submitting hard
copies must submit three hard copies of the proposal. While extra
copies are not required, submission of an extra twelve copies will
expedite the review process. Although electronic submissions are
welcomed, the forms, identified in Section IX(A), must be submitted in
hard copy with original signatures in conjunction with any electronic
submissions by the closing date/time. Three original copies of the
forms, identified in section IX(A), are needed. Failure to submit the
required forms may result in a proposal being rejected. Please send
electronic submissions to the following email address:
oar.oe.submissions@noaa.gov. For further information, see Announcement
of Opportunity: Application Kit at
http://oceanexplorer.noaa.gov/ or see ADDRESSES and/or FOR FURTHER
INFORMATION.
XI. Evaluation Criteria
Each proposal should take into consideration all of the following
criteria. Listed in order of importance, these criteria will be used by
independent peer mail reviewers and an independent peer review panel to
assist in their evaluations of proposals submitted to the OE Program:
Scientific and Technical Merit
The scientific and/or technical context and value of the work
proposed, and the probability of success.
Relevance of the Proposal to OE Program Objectives
The capacity for the proposal to address and support Ocean
Exploration's missions and objectives (see: Section II., Parts A, B,
and C).
Usability of Results
The anticipated or potential scientific and/or technical importance
of project results.
Other Requirements
All proposals must provide sufficient information to demonstrate
the applicant's scientific and/or technical capability to successfully
undertake the proposed work. All proposals must also provide a complete
and detailed budget, which includes supporting narratives for unusual
and/or unusually costly items.
The proposals will be judged, in accordance with these evaluation
criteria, on a 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.
XII. Selection Process
Proposals will be evaluated by an independent peer mail review,
i.e., each proposal will be reviewed, by three qualified scientific
and/or technical peers drawn from government, academia, and/or industry
(working independently). These reviewers will be required to certify
that they do not have a conflict of interest and that they will
maintain confidentiality concerning the application(s) they are
reviewing. The peer reviewers will (1) assign adjectival ratings to
each proposal based on the evaluation criteria described in section XI,
and (2) compose written assessments.
Proposals and the accompanying written mail reviews will be sent to
OE, who will make them available to the peer review panel. Panel
members may include relevant NOAA and non-NOAA experts. As a group, the
panel members will discuss the scientific merits of each proposal and
the contents of the written assessments composed during the peer mail
reviews process. After the discussion, each peer review panel member
will individually rate each proposal using the evaluation criteria
listed in this announcement. There will be no consensus advice or
evaluation.
Following the panel meeting, the proposals, the written reviews,
and ratings of each panelist then will be sent to the OE Program's
Chief Scientist. The Chief Scientist will compile the individual
ratings for each proposal, and, after taking into account the extent to
which the proposals meet OE's funding considerations, will group all of
the proposals into the following fundable categories: Highest Priority
For Funding, Merits Funding, or Decline.
[[Page 46263]]
The Director of the NOAA OE Program will have the final authority
and responsibility for decisions regarding proposal acceptance or
rejection. The Director, in making his/her final decisions, will
consider: (1) Individual peer reviews, (2) the peer review panel
evaluations, ratings and Chief Scientist groupings; (3) the avoidance
of duplication with other projects funded by NOAA or other Federal
Agencies; (4) the extent to which the proposals meet the funding
considerations in Section VIII; and (5) availability of funding.
Therefore, the highest proposal rating may not ultimately determine
funding. 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 grants procedures.
XIII. Other NOAA Affiliations
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 Office of Oceanic and Atmospheric Research Office's Arctic
Research Office, NMFS and the National Ocean Service. The OE Program
anticipates and encourages collaborative efforts between itself and
these agencies and programs. Investigators who wish to work with the OE
Program through any of these other entities should contact them
directly. Prospective collaborative projects facilitated by these other
programs will be subject to the OE Program's proposal review and
decision-making process. For additional details about these other
programs, see: http://oceanexplorer.noaa.gov.
XIV. Federal Policies and Procedures Applicable to OE
A. Environmental Impact
If a proposed project might have an environmental impact, the
proposal should furnish sufficient information to assist proposal
reviewers in assessing the environmental consequences of supporting the
project.
B. ESA/MMPA Permits and Authorizations
Where relevant, proposals with the potential to impact marine
mammals and/or other protected species must comply with the Marine
Mammal Protection Act of 1972 (MMPA), (16 U.S.C. 1361-1421h) and the
Endangered Species Act of 1973 (ESA), (16 U.S.C. 1531-1544).
For further information about permits, authorizations or viewing
marine mammals and other protected species in the wild please visit the
following NMFS websites:
http://www.nmfs.noaa.gov/protres/MMWatch/MMViewing.html.
XV. Other Requirements
A. Federal Policies and Procedures
Recipients and subrecipients are subject to all Federal laws and
Federal and DOC policies, regulations and procedures applicable to
Federal financial assistance awards. Women and minority individuals and
groups are encouraged to submit applications under this program.
DOC/NOAA is strongly committed to broadening the participation of
Historically Black Colleges and Universities (HBCU), Hispanic Serving
Institutions (HSI), and Tribal Colleges and Universities (TCU) in its
educational and research programs. The DOC/NOAA vision, mission, and
goals are to achieve full participation by Minority Serving
Institutions (MSI) in order to advance the development of human
potential, to strengthen the Nation's capacity to provide high-quality
education, and to increase opportunities for MSIs to participate in and
benefit from Federal Assistance programs. DOC/NOAA encourages all
applicants to include meaningful participation of MSIs.
B. Past Performance
Any first-time applicant for Federal grant funds is subject to a
pre-award accounting survey prior to execution of the award.
Unsatisfactory performance under prior Federal awards may result in an
application not being considered for funding.
C. Pre-Award Activities
If applicants incur any costs prior to an award being made, they do
so solely at their own risk of not being reimbursed by the Government.
Notwithstanding any verbal or written assurance that they may have
received, there is no obligation on the part of DOC to cover pre-award
costs.
D. No Obligation of Future Funding
If an application is selected for funding, DOC has no obligation to
provide any additional future funding in connection with the award.
Renewal of an award to increase funding or extend the period of
performance is at the total discretion of DOC.
E. Delinquent Federal Debt
No Federal funds will be awarded to an applicant or to its
subrecipients who have any outstanding debt until either:
1. The delinquent account is paid in full;
2. A negotiated repayment schedule is established and at least one
payment is received; or
3. Other arrangements satisfactory to DOC are made.
F. Name Check Review
All non-profit and for-profit applicants are subject to a name-
check review process. Name checks are intended to reveal if any key
individuals associated with the applicant have been convicted of or are
presently facing criminal charges such as fraud, theft, perjury, or
other matters which significantly reflect on the applicant's management
honesty or financial integrity.
G. False Statements
A false statement on an application is grounds for denial or
termination of funds and grounds for possible punishment by a fine or
imprisonment as provided in 18 U.S.C. 1001.
H. Primary Applicant Certifications
All primary applicants must submit a completed Form CD-511,
``Certifications Regarding Debarment, Suspension and Other
Responsibility Matters; Drug-Free Workplace Requirements and
Lobbying,'' and the following explanations are hereby provided.
1. Nonprocurement Debarment and Suspension. Prospective
participants (as defined at 15 CFR Part 26, Section 105) are subject to
15 CFR Part 26, ``Nonprocurement Debarment and Suspension'' and the
related section of the certification form prescribed above applies;
2. Drug-Free Workplace. Grantees (as defined at 15 CFR Part 26,
Section 605) are subject to 15 CFR Part 26, Subpart F, ``Governmentwide
Requirements for Drug-Free Workplace (Grants)'' and the related section
of the certification form prescribed above applies;
3. Anti-Lobbying. Persons (as defined at 15 CFR Part 28, Section
105) are subject to the lobbying provisions of 31 U.S.C. 1352,
``Limitation on use of appropriated funds to influence certain Federal
contracting and financial transactions,'' and the lobbying section of
the certification form prescribed above applies to applications/bids
for grants, cooperative agreements, and contracts for more than
$100,000, and loans and loan guarantees for more then $150,000, or the
single family maximum
[[Page 46264]]
mortgage limit for affected programs, whichever is greater; and
4. Anti-Lobbying Disclosures. Any applicant that has paid or will
pay for lobbying using any funds must submit an SF-LLL ``Disclosure of
Lobbying Activities,'' as required under 15 CFR Part 28, Appendix B.
I. Lower Tier Certifications
Recipients shall require applicants/bidders for subgrants,
contracts, subcontracts, or other lower tier covered transactions at
any tier under the award to submit, if applicable, a completed Form CD-
512. ``Certifications Regarding Debarment, Suspension, Ineligibility
and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying''
and disclosure form, SF-LLL, ``Disclosure of Lobbying Activities.''
Form CD-512 is intended for the use of recipients and should not be
transmitted to DOC. SF-LLL submitted by any tier recipient or
subrecipient should be submitted to DOC in accordance with the
instructions contained in the award document.
J. Intergovernmental Review
Applicants under this program are subject to Executive Order 12372,
``Intergovernmental Review of Federal Programs.''
K. Purchase of American-Made Equipment and Products
Applicants are hereby notified that they will be encouraged to the
greatest extent practicable, to purchase American-made equipment and
products with funding provided under this program.
Classification
Prior notice and an opportunity for public comments are not
required by the Administration 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. Sec. 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 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 that collection of information displays
a currently valid OMB control number.
Dated: August 29, 2001.
Louisa Koch,
Deputy Assistant Administrator, Office of Oceanic and Atmospheric
Research, National Oceanic and Atmospheric Administration.
[FR Doc. 01-22142 Filed 8-31-01; 8:45 am]
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