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Catalog of Federal Domestic Assistance

Program Descriptions

11.432:  Office of Oceanic and Atmospheric Research (OAR) Cooperative Institutes

Popular Name:  Joint Institutes or Cooperative Institutes

Objectives:  To increase the effectiveness of research and the quality of education in the environmental sciences by facilitating cooperation between government, university, and nonprofit research institutions.

PROGRAM AND AWARD	FINANCIAL AND INFORMATION CONTACTS
ELIGIBILITY REQUIREMENTS	FINANCIAL AND ADMINISTRATIVE INFO.
APPLICATION AND AWARD PROCESS	INFORMATION CONTACTS
RELATED PROGRAMS	ASSISTANCE CONSIDERATIONS
PROGRAM ACCOMPLISHMENTS	POST ASSISTANCE REQUIREMENTS

11.432 ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:  Major State university or major nonprofit research institution located near a NOAA/Oceanic and Atmospheric Research (OAR) Research Laboratory or other NOAA Program Facility.

Beneficiary Eligibility:  Organizations and individuals with interests in oceanographic research, atmospheric research, limnology, solar environment research, near-space research, and Arctic research.

Credentials/Documentation:  Proposals with statements of work and estimated budgets. Costs will be determined in accordance with OMB Circular Nos. A-21 for agreements with educational institutions, A-87 for State and local governments, A-110 for institutions of higher education and other nonprofit organizations, and A-122 for nonprofit institutions.

11.432 APPLICATION AND AWARD PROCESS:

Preapplication Coordination:  The standard application forms as furnished by the agency and required by OMB Circular Nos. A-21 and A-110 must be used for this program. This program is excluded from coverage under E.O. 12372 and OMB Circular No. A-102.

Application Procedure:  Proposals are sent to the OAR Joint Institute Program Manager and are subject to the requirements of OMB Circular Nos. A-21 and A-110, as applicable.

Award Procedure:  Awards are made on the basis of proposal evaluations, technical reviews, administrative reviews, and external reviews, if applicable.

Deadlines:  December and/or March of each calendar year or annually as applicable for OSU and Princeton.

Range of Approval/Disapproval Time:  From 90 to 180 days from time of proposal submission.

Appeals:  None.

Renewals:  By negotiation with OAR or other NOAA components when applicable.

Criteria for Selecting Proposals:  Proposals are subject to professional specialty evaluations, technical reviews, administrative reviews, and external reviews, if applicable, taking into consideration primarily scientific merit and application to the goals of NOAA.

Examples of Funded Projects:  STACS - Subtropical Atlantic Climate Studies; EPOCS - Equatorial Pacific Ocean Climate Studies; FOCI - Fisheries Oceanography Coordinated Investigations; IGOSS - Sea Level Pilot Project, Pacific Sea -Level Network; TOGA - Tropical Ocean and Global Atmosphere; CODAR - Coastal Ocean Dynamics Applications Radar; VENTS - Ocean Floor Venting Systems; NOZE - National Ozone Expedition; RITS - Radioactively Important Trace Species; NAPAP - National Acid Precipitation Assessment Program; and FIRE - First ISCCP Regional Experiment; U.S. GLOBEC (Global Ecosystems Coupling); El Nino effects, impacts, responses, etc.

Range and Average of Financial Assistance:  Individual proposals tend to range from $3,000 to $60,000; $25,000. Group proposals tend to range from $60,000 to $150,000; $80,000.

11.432 RELATED PROGRAMS:

• 11.405 Anadromous Fish Conservation Act Program;
• 11.417 Sea Grant Support;
• 11.420 Coastal Zone Management Estuarine Research Reserves;
• 11.426 Financial Assistance for National Centers for Coastal Ocean Science;
• 11.430 Undersea Research;
• 11.431 Climate and Atmospheric Research;
• 11.440 Research in Remote Sensing of the Earth and Environment;
• 11.455 Cooperative Science and Education Program;
• 11.459 Climate and Air Quality Research;
• 11.460 Special Oceanic and Atmospheric Projects.

11.432 PROGRAM ACCOMPLISHMENTS:

In fiscal year 1999, awards were made through 13 cooperative agreements/amendments. The same is expected in fiscal years 2000 and 2001.

11.432 FINANCIAL AND ADMINISTRATIVE INFO:

Federal Agency:  NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION, DEPARTMENT OF COMMERCE

Type of Assistance:  Project Grants (Cooperative Agreements).

Obligations:  (Cooperative Agreements/Grants) FY 99 $20,243,697; FY 00 est $22,000,000; and FY 01 est $24,000,000. (Note: Obligations are for NOAA/OAR funds only.)

Budget Account Number:  13-1450-0-1-306.

Authorization:  15 U.S.C. 313; 15 U.S.C. 1904; 15 U.S.C. 2904; 15 U.S.C. 1540; 15 U.S.C. 2901 et seq.; 16 U.S.C. 753a; 31 U.S.C. 6301 et seq.; 33 U.S.C. 883d; 49 U.S.C. 1463; 49 U.S.C. 4720.

Regulations, Guidelines, and Literature:  Department Administrative Order 203-36, dated May 15, 1985 (Department of Commerce Grants Administration) and also the NOAA Grants and Cooperative Agreement Policy Manual.

11.432 INFO CONTACTS:

Regional or Local Office:  Marilyn I. Moll, Program Manager, NOAA/OAR c/o NOAA/GLERL (Great Lakes Environmental Research Laboratory), 2205 Commonwealth Blvd., Ann Arbor, MI 48105. Phone: (734) 741-2041.

Headquarters Office:  Director, OAR Office of Scientific Support, 1315 East-West Highway, Silver Spring, MD 20910. Phone: (301) 713-2465, ext. 119.

(See Appendix IV for more contact info.)

11.432 ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:  None. Universities and other nonprofit institutions make contributions as partial indirect costs in accordance with the cooperative agreement.

Length and Time Phasing of Assistance:  Generally, five years with funding approved on individual and group proposal basis throughout the five years in accordance with the DOC approvals.

Uses and Use Restrictions:  Cooperative agreements may be used for research and development, education and training, advisory services and operational systems as they relate to specific programs. Specific restrictions, other than those mandated for cooperative agreements, are evaluated on an individual program basis. The Joint Institutes operate under a Memorandum of Understanding/Memorandum of Agreement and are geographically located near an OAR Research Laboratory or a NOAA facility. Cooperative agreements currently exist with the University of Colorado, Colorado State University, University of Oklahoma, University of Michigan, University of Miami, University of Washington, the University of Hawaii, University of Alaska, University and Community College System of Nevada, Scripps Oceanographic Institute, Woods Hole Oceanographic Institution, Oregon State University, and Princeton University.

11.432 POST ASSISTANCE REQUIREMENTS:

Reports:  Financial status reports are required quarterly. Program status reports are required annually.

Audits:  In accordance with the provisions of OMB Circular No. A-133 (Revised, June 24, 1997), recipients that are States, Local Governments, Non-profit Organizations (to include Hospitals), and Institutions of Higher Learning shall be subject to the audit requirements contained in the Single Audit Act of 1996 (31 U.S.C. 7501-7507). Commercial organizations shall be subject to the audit requirements as stipulated in the award document.

Records:  Recipients are expected to maintain complete records for each cooperative agreement to insure funds are used for the purposes that the cooperative agreement was made.