NOAA Office of Ocean Exploration Announcement of Funding Opportunity, Fiscal Year 2004

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 [Federal Register: July 25, 2003 (Volume 68, Number 143)]
[Notices]
[Page 44050-44053]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr25jy03-41]

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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
[Docket No. 021028257-3178-02]
 
NOAA Office of Ocean Exploration Announcement of Funding 
Opportunity, Fiscal Year 2004

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, cooperative agreements, and 
other financial collaborations to implement OE's mission to expand our 
knowledge of the ocean's physical, chemical, biological and 
archaeological characteristics, processes, and resources. OE's mission 
objectives also include conveying the experience and knowledge gained 
in all of OE's missions though a structured program of public education 
and outreach. Many of OE's missions will be accomplished by projects, 
experiments, and expeditions to unknown, or poorly known, ocean and 
Great Lakes regions. Consistent with OE's intent to explore and 
discover, successful OE proposals will be relatively broad-based in 
terms of their objectives and they may be relatively high-risk. 
Prospective applicants are encouraged to visit the Ocean Explorer Web 
site: http://oceanexplorer.noaa.gov  in order to familiarize 
themselves with past and present OE activities.

DATES: Pre-proposals are required and must be postmarked or received by 
September 3, 2003. Full proposals must be postmarked or received by 
October 28, 2003. In the event that these dates fall on a weekend or 
holiday, the effective date shall be the first working day after the 
date specified. Email and/or facsimile pre-proposals and/or proposals 
submissions will not be accepted.

ADDRESSES: Send pre-proposals and proposals to NOAA, Office of Ocean 
Exploration, ATTN: OE Science Program Coordinator, Bldg. SSMC3, Rm. 
10221, 1315 East West Highway, Silver Spring, MD 20910. Email and/or 
facsimile pre-proposals and/or proposals submissions will not be 
accepted.

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 email to the Frequently Asked Questions address: 
oar.oe.FAQ@noaa.gov. Email inquiries should include the Principal 
Investigator's name in the subject heading. A copy of this notice, as 
well as ancillary information, will be posted on the OE Web site 
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, a panel of leading ocean explorers, scientists, and 
educators developed a national strategy for exploring the oceans, and 
presented its recommendations in a report entitled, Discovering Earth's 
Final Frontier: A U.S. Strategy for Ocean Exploration (http://
oceanpanel.nos.noaa.gov).  NOAA was selected as the lead 
Federal agency to guide a national program in ocean exploration and the 
Office of Ocean Exploration was established in 2001.

B. Program Mission

    The mission of OE is to search, investigate, and document unknown 
and poorly known areas of the ocean and Great Lakes through 
interdisciplinary exploration, and to advance and disseminate knowledge 
of the ocean environment and its physical, chemical, biological, and 
historical resources.

III. Program Notice

A. Notice Objectives

    The purpose of this announcement is to invite the submission of 
pre-proposals and full proposals for grants, cooperative agreements, 
and other financial collaborations whose objectives are to explore the 
ocean and map its resources, to gain new insights about its physical, 
chemical, biological, and archaeological characteristics, and its 
living and non-living resources.

B. Program Guidance

    Themes. Persons submitting proposals may elect to address these 
preferred themes, developed in part from eight regional workshops of 
ocean scientists, explorers, and educators from public, private and 
commercial organizations. Applicants 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 mission. The themes 
are (in no order of priority):
    1. Mapping ocean characteristics and bathymetry;
    2. Marine life inventories: vertebrate, invertebrate, macro-
organisms and micro-organisms;
    3. Marine archaeology;
    4. Characterization of benthic and pelagic habitats and ecosystems;
    5. Locating and mapping corals (including deep corals);
    6. New ocean resources;
    7. Passive ocean acoustics;
    8. Technology: innovative applications and leveraged development;
    9. Outreach: communicating exploration efforts in new and 
innovative ways to broad audiences.
    Workshop reports can be viewed online at http://explore.noaa.gov/
workshops/welcome.html. 

C. Program Priorities

    The following are requirements for proposals successfully funded by 
OE.

[[Page 44051]]

    Outreach & Education. All funded applicants and collaborators will 
be required to cooperate with OE in facilitating education and outreach 
activities. This may entail participation in the 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 
applicant is obligated to meet certain data management requirements 
including:
    1. Applicants 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. Applicants will provide OE and the public access to acquired 
data sets collected as soon as practical and, in no case, later than 
one year following the date of collection, unless an extension is 
specifically 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 NOAA and OE. Applicants 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 
applicants 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). 

D. Funding Considerations

    OE will give priority to the following factors when making funding 
decisions: (1) Proposals that are interdisciplinary in approach; (2) 
Proposals which have substantial collaborations with multiple 
institutions, government, academia, or industry; (3) Proposals whose 
costs are leveraged with available OE funds; (4) The propriety of the 
level of investment for OE; (5) Applicants which express a willingness 
to facilitate and participate in outreach and education activities that 
OE supports; and (6) The heightened level of risk.

IV. Funding Availability

    FY2004 funding for this program has not yet been appropriated. Not 
all available FY2004 program funds will be awarded through this 
announcement. Publication of this Notice does not obligate NOAA to 
award any specific project or to obligate all or any part of the 
available funds.
    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 may be accepted, although the present principal focus 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.

V. Eligibility

    Eligible applicants are institutions of higher education, other 
nonprofits, commercial organizations, international organizations, 
federal, state, local and Indian tribal governments. Proposals from 
non-Federal and Federal applicants will be competed against each other. 
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 effected by an intra-agency fund transfer. Proposals selected 
for funding from a non-NOAA Federal agency will be funded through an 
inter-agency transfer. Please note: Before non-NOAA Federal applicants 
may be funded, they must demonstrate that they have legal authority to 
receive funds from another Federal agency in excess of their 
appropriation. 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.
    There is no limit to the number of pre-proposals and proposals an 
applicant may submit. Applicants that fail to meet eligibility 
requirements and guidelines for submission will not be funded (see 
section V. and VI.)
Cost Sharing
    Cost sharing or matching is not required by this program (However, 
see section II.D. Funding Considerations (3)).

VI. 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 prerequisite for submission of a full proposal. Pre-
proposals will be judged in terms of their consistency with OE's 
program mission and themes. Available program funds will also be taken 
into consideration (See DATES for submission deadlines and ADDRESSES 
for hard copy submission address).

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 relates with OE's mission. 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 must identify all collaborators and 
include a summary budget. Pre-proposals must not exceed two typewritten 
single-sided pages and must use 12-point font. Additionally, pre-
proposals must include a completed pre-proposal cover sheet (available 
electronically at http://explore.noaa.gov)  (see FOR FURTHER 
INFORMATION CONTACT to request a hard copy version). The applicant's last 
name must be typed in the bottom right-hand corner of each page. Three 
hard copies of the complete pre-proposal must be postmarked or received 
by September 3, 2003. See ADDRESSES for hard copy submission address.

B. Proposals

    All proposals must include the following, packaged in the order 
listed here:
    (a) completed proposal cover sheet (available electronically at 
http://explore.noaa.gov); 
    (b) maximum half-page executive summary;
    (c) maximum 15-page description of the entire project (including 
work plan, schedule, and collaborations);
    (d) summary of relevant current funding support;
    (e) brief resumes for each investigator, including recent relevant 
publication references,
    (f) SF-424, Application for Federal Assistance (Rev July 1997) 
(available electronically at http://explore.noaa.gov); 
    (g) detailed budget (including all ship and equipment costs) and

[[Page 44052]]

    (h) budget narrative (including justification for non-standard 
items).
    All pages should be single-sided, single-or double-spaced, 
typewritten margin in a minimum 12-point font on an 8\1/2\'' x 11'' 
page. The bottom right-hand corner of every page, excluding cover 
sheet, must be numbered and labeled with the applicant's last name. 
Tables and visual materials, including charts, graphs, maps, 
photographs, and other pictorial presentations are to be included in 
the 15-page limit. The cover sheet, executive summary, current support, 
resumes, references/literature cited, SF-424 Application for Federal 
Assistance, budgets, and budget narrative sections need not be counted 
against the 15-page limit. All information needed for review of the 
proposal should be included in the main text, 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). Three hardcopies of 
the proposal are required. For the proposal only, in addition to the 
hard copies it is highly recommended that applicants submit a digital 
version (cdrom, floppy disk, or zip disk) of a complete proposal, 
preferably in Adobe .pdf format in order to facilitate proposal review. 
All proposals, hard copies and digital versions, must be postmarked or 
received by October 28, 2003. If applicants wish reviewers to receive 
included color graphics, glossy photographs, or other unusual 
materials, applicants are encouraged to submit a total of 10 complete 
hard copies. For further information, see Announcement of Opportunity: 
Application Kit at http://www.explore.noaa.gov/  or see 
ADDRESSES and/or FOR FURTHER INFORMATION CONTACT.
    Intergovernmental Review. Applications under this program are 
subject to Executive Order 12372, ``Intergovernmental Review of Federal 
Programs.'' Applicants must contact their State's Single Point of 
Contact (SPOC) to find out about and comply with the State's process 
under EO 12372. The names and addresses of the SPOCs are listed in the 
Office of Management and Budget's Web site: http://www.whitehouse.gov/
omb/grants/spoc.html. 

C. Forms

    The following government forms shall be required only from those 
applicants subsequently recommended for award. Forms must be submitted 
in triplicate, each with original signatures. These forms include:
    SF-424A Budget Information--Nonconstruction Programs (Rev July 
1997)
    SF-424B Assurances--Nonconstruction Programs
    SF-LLL Disclosure of Lobbying Activities
    Form CD-346 Application for Funding Assistance,
    Form CD-511 Certification Regarding Debarment, Suspension and Other 
Responsibility matters: Drug-Free Workplace Requirements and Lobbying,
    Form CD-512 Certifications Regarding Debarment, Suspension, 
Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions 
and Lobbying and 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 Web site (see: OE 
Application Kit at http://explore.noaa.gov,  for hard copies, 
see ADDRESSES and/or FOR FURTHER INFORMATION CONTACT).
    Proposals received after the deadline, or proposals that deviate 
from the format described in this Notice will not be accepted.

VII. Pre-Proposal and Proposal Review and Selection Process

A. Pre-Proposal Evaluation

    The OE Director will make the decision to request or not request 
full proposal submissions based on the following factors: (1) Proposal 
consistency with the format of this announcement (2) Consistency with 
the OE program and mission (3) Applicability of the project objectives 
to OE themes and project funding considerations (4) Extent to which the 
proposal focuses on a geographical area that is unknown or poorly known 
(5) Reasonableness of project costs relative to available program funds 
(6) Logistical feasibility (e.g., ship availability), given OE resource 
availability. The final decision to submit a full proposal is up to the 
applicant.

B. Proposal Evaluation

    Proposals will be evaluated and rated individually by (a) 
independent peer panel review or by (b) correspondence review. The 
evaluators 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. Some proposals, including those focused on activities 
such as technology development, organizing and implementing workshops, 
and outreach activities, will be reviewed by correspondence (i.e., at 
least three mail peer-reviews) rather than by independent peer panel 
review. The following criteria will be used to review proposals using 
the corresponding weight value:
    Scientific and Technical merit:
    This criterion assesses whether the approach is technically sound 
and/or innovative, if the methods are appropriate, and whether there 
are clear project goals and objectives. For the OE review process this 
includes: (a) 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; (b) the 
anticipated scientific and/or technical impact of the results of the 
project on the advancement of knowledge within the field(s) of the 
endeavor. (40%)
    Importance/Relevance and Applicability of Proposal to the Program 
Goals:
    This criterion ascertains whether there is intrinsic value in the 
proposed work and/or relevance to NOAA, international, federal, 
regional, state, or local activities. For the OE review process this 
includes the degree to which the proposal addresses and supports OE's 
mission and this notice's objectives. (20%)
    Project Costs:
    This criterion evaluates the budget to determine if it is realistic 
and commensurate with the project needs and time-frame. For the OE 
review process this includes the reasonableness of project costs 
relative to the scope of work proposed. (20%)
    Overall qualifications of applicants:
    This criterion ascertains whether the applicant possesses the 
necessary education, experience, training, facilities, and 
administrative resources to accomplish the project. For the OE review 
process this includes the qualifications of the applicant to accomplish 
the work proposed. (20%)
    All proposals will be rated by the independent peer reviewers or 
correspondence review panel according to an adjectival scale (that will 
later be converted into a score) 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

[[Page 44053]]

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.

C. Selection Process

    The Selecting Official (the OE Director) in consultation with the 
OE Chief Scientist will select proposals after considering the peer 
reviews and the selection factors listed below. In making the final 
selections, the Selecting Official will endeavor to award in rank order 
unless the proposal is justifiably selected out of rank order based 
upon one or more of the selection factors below. The OE Director will 
have the final authority and responsibility for decisions regarding 
proposal selection.
    The selection factors include the following: (1) The availability 
of program funding (i.e., feasibility for OE to meet applicants 
requests given projects costs and logistics); (2) the extent to which 
the proposal contributes to a balanced national program in terms of 
distribution of funds by geography/institution/partners/study areas/ 
and project; (3) the avoidance of duplication with other projects 
funded or considered for funding by NOAA or other Federal Agencies; (4) 
the responsiveness to overall program priorities (section III.C.) and 
policy factors (see section III.D., Funding Considerations); (5) 
applicant's prior award performance; and (6) partnerships with 
participation of targeted groups.
    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.
    The National Science Foundation, the federal agencies of the 
National Ocean Partnership Program, and other NOAA programs have 
mission objectives which involve ocean research and technology 
development. Examples of NOAA agencies and programs are: 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 investigators to seek complementary 
funding for their proposed projects through linked proposals to these 
agencies. OE will work with program managers at other agencies to 
facilitate such projects. OE places a high priority on proposed co-
funded projects that receive high ratings through each agency's 
respective evaluation process. For additional details about these other 
programs, see: http://oceanexplorer.noaa.gov. 

D. Notification of Award

    Successful applicants will receive an email or letter notifying the 
applicant that his/her proposal has been recommended for funding. It is 
the applicant's responsibility to notify all collaborators of the 
award.

E. Disposition of Unsuccessful Applications

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

VIII. 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

    Applicants 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,  http://www.nmfs.noaa.gov/prot_res/
MMWatch/MMViewing.html. 

IX. Other Requirements

    The Department of Commerce Pre-award Notification 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.
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. Because notice and comment are not required, the analytical 
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) 
are inapplicable. Therefore, a regulatory flexibility analysis is not 
required and has not been prepared. 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: July 22, 2003.
Julie Scanlon,
Director, Management and Organizational Development, Office of Oceanic 
and Atmospheric Research, National Oceanic and Atmospheric 
Administration.
[FR Doc. 03-18975 Filed 7-24-03; 8:45 am]
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NOAA Office of Ocean Exploration Announcement of Funding Opportunity, Fiscal Year 2004

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