Program Solicitation

NSF 99-100

Office of Polar Programs
Antarctic Biology and Medicine
Antarctic Ocean and Climate Systems




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Program Name:The U.S. Southern Ocean Global Ocean Ecosystems Dynamics Program

Short Description/Synopsis of Program:

The overall goals of the SO GLOBEC program are to elucidate shelf circulation processes and their effect on sea ice formation and krill distribution, and to examine the factors which govern krill survivorship and availability to higher trophic levels, including penguins, seals and whales. The goals will be accomplished through broad scale synoptic studies and process-oriented investigations, to be conducted primarily during the austral winter. The program also seeks to improve the predictability of living marine resources, especially with respect to local and global climatic shifts. Therefore, synthesis and modelling studies which address this need are encouraged. The US component of the multinational SO GLOBEC program will focus on the West Antarctic peninsula (WAP) region.

Cognizant Program Officer(s): Dr. Polly A. Penhale or Dr. Roberta L. Marinelli, Antarctic Biology and Medicine, email:,; Dr. Bernhard Lettau, Antarctic Ocean and Climate Systems, email:; all at Office of Polar Programs, Room 755, (703) 306-1033.

Applicable Catalog of Federal Domestic Assistance (CFDA) No.: 47.078 — Office of Polar Programs






Proposal Preparation Instructions Budgetary Information FastLane Requirements Deadline/Target Dates






The U.S. Global Ocean Ecosystems Dynamics (U.S. GLOBEC) program is a component of the U.S. Global Change Research Program, and is the U.S. component of the International GLOBEC program, a core project of the IGBP (International Geosphere-Biosphere Program). The GLOBEC program has the goal of understanding and ultimately predicting how populations of marine animal species respond to natural and anthropogenic changes in climate. Research in the Southern Ocean (SO) indicates strong coupling between climatic processes and ecosystem dynamics via the annual formation and destruction of sea ice. The Southern Ocean GLOBEC Program (SO GLOBEC) will investigate the dynamic relationship between physical processes and ecosystem responses through identification of critical parameters that affect the distribution, abundance and population dynamics of target species.

The SO GLOBEC program has been developed following national and international meetings where scientists from the oceanographic and fisheries communities identified key scientific issues and target species relevant to the Southern Ocean ecosystem. Workshop reports are available from the following address or home page:

U.S. GLOBEC Scientific Steering
Committee Coordinating Office
University of Maryland Center for
Environmental Science
Chesapeake Biological Laboratory
P.O. Box 38 / Solomons, MD 20688
Tel: (410) 326-7289
Fax: (410) 326-7318

Additional information on International SO GLOBEC activities is available from the International GLOBEC home page:


The overall goals of the SO GLOBEC program are to elucidate shelf circulation processes and their effect on sea ice formation and krill distribution, and to examine the factors which govern krill survivorship and availability to higher trophic levels, including penguins, seals and whales.

With this overall goal, the principal target species for study in the SO GLOBEC program is Antarctic krill (Euphausia superba). Additionally, the multinational SO GLOBEC program will focus on two primary study locations: The West Antarctic peninsula (WAP) region and 70E and surrounding area. The WAP region will be studied through a multi-nation, multi-ship effort in order to obtain seasonal coverage, whereas the 70E region will be studied in the austral summer.

In the WAP, summer studies will focus on foraging and recruitment of krill, whereas winter studies will focus on overwintering strategies. The US field effort will be dedicated to austral winter investigations in the WAP. The field portion of the overall SO GLOBEC Program is scheduled to begin in April 2001. The US SO GLOBEC field program will consist of a two-ship opportunity (consisting of two cruises on the RV Nathaniel B. Palmer and one cruise on the RV Laurence M. Gould) during the austral winter in 2001 and one austral winter cruise in 2002. Total funds available to support the US SO GLOBEC initiative are expected to be $7 million over three years.

The goals of the US SO GLOBEC program will be accomplished through broad-scale synoptic studies and process-oriented investigations, to be conducted primarily during the austral winter, which address the following questions:

  1. What is the physical environment of the WAP shelf and how does it govern the distribution of and the resources available to krill? Many regions of krill abundance appear to coincide with mesoscale physical features. These features may facilitate retention of krill at various times of their life cycle, and may be critical to their reproductive success. Krill are also strongly associated with the sea ice habitat, particularly in winter. Characterization of the physical environment, particularly the existence of mesoscale features and the residence time of water within them, and relationship between circulation processes and sea ice extent, are critical to understanding the conditions in which krill grow and reproduce. Assessment of temporal variability associated with physical processes, on seasonal and annual scales, is necessary for placement of short term process studies in a broader and longer term context.
  2. What physical, chemical and biological factors govern krill recruitment? Successful recruitment to the adult population appears to be governed by complex interactions between circulation, sea ice extent, food resources and the presence of competitors or predators. SO GLOBEC objectives include determination of key physical and biological factors which affect successful reproduction, survivorship and recruitment of krill to the adult population. Areas of emphasis include assessment of available food resources in the context of krill energetic requirements for growth and reproduction. It is also critical to consider geographic variation in recruitment success, particularly as it relates to seasonal or annual variation in physical features.
  3. What is the relationship between the physical environment, krill ecology and the success of krill-dependent predators? Krill are an important component of the diet of penguins, seals and whales. Therefore, variation in krill recruitment can have significant implications for upper trophic levels in Antarctic ecosystems. A primary goal of SO GLOBEC is to determine the distribution and foraging ecology of krill-dependent predators as they relate to the characteristics of the physical environment and the distribution of prey. Annual variation in sea ice extent has been linked to krill recruitment. Therefore, SO GLOBEC goals include examination of annual variation in predator success as it relates to sea ice extent, krill foraging ecology and krill population dynamics.
The goals of the US GLOBEC include improving the predictability of living marine resources, especially with respect to local and global climatic shifts. Therefore synthesis and modeling studies which address this need are also encouraged. Such studies can include diagnostic or prognostic models which elucidate ecosystem dynamics and responses on a range of time scales, including inter-annual fluctuations.

All proposals should address the ways in which education and training are integrated within the research program.


Proposals may be submitted by organizations in support of individuals and groups as specified in NSF99-2, the Grant Proposal Guide.


Under this announcement, proposals may be submitted for a duration of up to three years. NSF expects to fund approximately 20 to 25 standard or continuing grants, depending on the quality of submissions and the availability of funds. Approximately $7 million will be available for this initiative in FY 2000 - 2002. Anticipated date of awards: January 2000.


A. Proposal Preparation Instructions.

Proposals submitted in response to this program announcement should be prepared and submitted in accordance with the general guidelines contained in the Grant Proposal Guide (GPG), NSF 99-2, and with the relevant forms available in the Proposal Forms Kit (NSF publication 99-3). The complete text of the GPG (including electronic forms) and all relevant forms are available electronically on the NSF Web site at: <>. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from

Proposers are reminded to identify the program announcement number (NSF99-100) in the program announcement/solicitation block on the NSF Form 1207, "Cover Sheet for Proposal to the National Science Foundation." Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.

The normal 15-page limit for the project description (including results of prior research) specified in the GPG will be strictly enforced. Group or collaborative proposals involving 3 or more investigators should adhere to the specifications outlined in Section II.D.12.b of the GPG. PI’s wishing to submit group proposals that might exceed the 15-page limitation on the project description should discuss that possibility with the cognizant Program Officer prior to submission. Group or collaborative proposals should include, for each university and its PIs/CoPIs, a signed cover sheet, budget pages and explanation, results from prior NSF support, biographic sketches (up to two pages per person), current and pending support for each PI/CoPI, and facilities and other resources unique to each institution.

For proposals involving field work in Antarctica, guidelines described in the "Antarctic Research Opportunities and Proposal Guide" NSF 99-93 should be followed. Proposals should briefly discuss adherence to GLOBEC and OPP data policies (see Grant Award Conditions below). Proposals prepared for this solicitation may be submitted as paper copies or by electronic submission through the FastLane System.

The FastLane system is available through the World Wide Web at the FastLane homepage ( To access this system, your institution must be a registered FastLane institution. A list of registered institutions and the registration form are located on the homepage. For questions concerning FastLane, please send an email message to or call support services at (703) 306-1142.

For paper submission, twenty stapled copies of each proposal/proposal package, including one copy bearing original signatures from all institutions, should be mailed to

Program Announcement 99-100
National Science Foundation
Proposal Processing Unit
4201 Wilson Blvd.
Arlington, VA 22230

B. Proposal Due Dates.

All proposals (both paper and electronic) submitted in response to this announcement MUST be received no later than 5:00 pm ET on 15 June 1999. Proposals received subsequent to the 15 June 1999 deadline will be returned without review.

Submission of Signed Cover Sheets. For proposals submitted electronically via FastLane, the signed proposal Cover Sheet (NSF Form 1207) should be forwarded to the following address and received by NSF by June 21, 1999:

National Science Foundation
DIS-FastLane Cover Sheet
4201 Wilson Blvd.
Arlington, VA 22230

A proposal may not be processed until the complete proposal (including signed Cover Sheet) has been received by NSF.

C. FastLane Requirements.

The NSF FastLane system is available for electronic preparation and submission of a proposal through the Web at the FastLane Web site at <>. The Sponsored Research Office (SRO or equivalent) must provide a FastLane Personal Identification Number (PIN) to each Principal Investigator (PI) to gain access to the FastLane "Proposal Preparation" application. PIs that have not submitted a proposal to NSF in the past must contact their SRO to be added to the NSF PI database. This should be done as soon as the decision to prepare a proposal is made.

In order to use NSF FastLane to prepare and submit a proposal, the following are required:

Browser (must support multiple buttons and file upload)

PDF Reader (needed to view/print forms)

PDF Generator (needed to create project description)

A list of registered institutions and the FastLane registration form are located on the FastLane Web page.

For paper submission of proposals, the delivery address must clearly identify the NSF announcement or solicitation number under which the proposal is being submitted.


A Merit Review Criteria

Reviews of proposals submitted to NSF are solicited from peers with expertise in the substantive area of the proposed research project. These reviewers are selected by Program officers charged with the oversight of the review process. NSF invites the proposer to suggest, at the time of submission, the names of appropriate or inappropriate reviewers. Care is taken to ensure that reviewers have no conflicts with the proposer. Special efforts are made to recruit reviewers from non-academic institutions, minority serving institutions, and adjacent disciplines to that principally addressed in the proposal.

Proposals will be reviewed against the following general merit review criteria established by the National Science Board. Following each criterion are potential considerations that the reviewer may employ in the evaluation. These are suggestions and not all will apply to any given proposal. Each reviewer will be asked to address only those that are relevant to the proposal and for which he/she is qualified to make judgments.

What is the intellectual merit of the proposed activity?

How important is the proposed activity to advancing knowledge and understanding within its own field or across different fields? How well qualified is the proposer (individual or team) to conduct the project? (If appropriate, the reviewer will comment on the quality of prior work.) To what extent does the proposed activity suggest and explore creative and original concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?

What are the broader impacts of the proposed activity?

How well does the activity advance discovery and understanding while promoting teaching, training, and learning? How well does the proposed activity broaden the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.)? To what extent will it enhance the infrastructure for research and education, such as facilities, instrumentation, networks, and partnerships? Will the results be disseminated broadly to enhance scientific and technological understanding? What may be the benefits of the proposed activity to society?

Integration of Research and Education

One of the principal strategies in support of NSF’s goals is to foster integration of research and education through the programs, projects and activities it supports at academic and research institutions. These institutions provide abundant opportunities where individuals may concurrently assume responsibilities as researchers, educators, and students and where all can engage in joint efforts that infuse education with the excitement of discovery and enrich research through the diversity of learner perspectives. PIs should address this issue in their proposal to provide reviewers with the information necessary to respond fully to both NSF merit review criteria. NSF staff will give it careful consideration in making funding decisions.

Integrating Diversity into NSF Programs, Projects, and Activities

Broadening opportunities and enabling the participation of all citizens -- women and men, underrepresented minorities, and persons with disabilities -- are essential to the health and vitality of science and engineering. NSF is committed to this principle of diversity and deems it central to the programs, projects, and activities it considers and supports. PIs should address this issue in their proposal to provide reviewers with the information necessary to respond fully to both NSF merit review criteria. NSF staff will give it careful consideration in making funding decisions.

Other Criteria

The proposal’s responsiveness to the goals of the SO GLOBEC program, and the degree to which the proposed project complements other proposed and ongoing research projects will also be considered in the evaluation by a panel of expert scientists.

B. Merit Review Process.

Most of the proposals submitted to NSF are reviewed by mail review, panel review, or some combination of mail and panel review. Proposals submitted in response to this announcement will be reviewed by mail and panel review.

All proposals are carefully reviewed by at least three other persons outside NSF who are experts in the particular field represented by the proposal. Reviewers will be asked to formulate a recommendation to either support or decline each proposal. A program officer assigned to manage the proposal’s review will consider the advice of reviewers and will formulate a recommendation. In most cases, proposers will be contacted by the program officer after his or her recommendation to award or decline funding has been approved by his or her supervisor. This informal notification is not a guarantee of an eventual award. NSF will be able to tell applicants whether their proposals have been declined or recommended for funding within six months for 95 percent of proposals in this category. The time interval begins on the proposal deadline or target date or from the date of receipt, if deadlines or target dates are not used by the program. The interval ends when the section head accepts the program officer’s recommendation.

In all cases, after final programmatic approval has been obtained, award recommendations are then forwarded to the Division of Grants and Agreements for review of business, financial and policy implications and the processing and issuance of a grant or other agreement. Proposers are cautioned that only a Grants Officer may make commitments, obligations or awards on behalf of NSF or authorize the expenditure of funds. No commitment on the part of NSF should be inferred from technical or budgetary discussions with an NSF program officer. A Principal Investigator or organization that makes financial or personnel commitments in the absence of a grant or cooperative agreement signed by the NSF Grants Officer does so at its own risk.


A. Notification of the Award.

Notification of the award is made to the submitting organization by a Grants Officer in the Division of Grants and Agreements (DGA). Organizations whose proposals are declined will be advised as promptly as possible by the cognizant NSF Program Officer administering the program. Verbatim copies of reviews, not including the identity of the reviewer, will be provided automatically to the Principal Investigator.

B. Grant Award Conditions.

An NSF grant consists of: (1) the award letter, which includes any special provisions applicable to the grant and any numbered amendments thereto; (2) the budget, which indicates the amounts, by categories of expense, on which NSF has based its support (or otherwise communicates any specific approvals or disapprovals of proposed expenditures); (3) the proposal referenced in the award letter; (4) the applicable grant conditions, such as Grant General Conditions (NSF GC-1)* or Federal Demonstration Partnership Phase III (FDP) Terms and Conditions* and (5) any NSF brochure, program guide, announcement or other NSF issuance that may be incorporated by reference in the award letter. Electronic mail notification is the preferred way to transmit NSF grants to organizations that have electronic mail capabilities and have requested such notification from the Division of Grants and Agreements.

* These documents may be accessed electronically on NSF’s Web site at: <>. Paper copies may be obtained from the NSF Publications Clearinghouse, telephone (301) 947-2722 or by e-mail from

More comprehensive information on NSF Award Conditions is contained in the NSF Grant Policy Manual (GPM) Chapter II, (NSF 95-26) available electronically on the NSF Web site. The GPM also is available in paper copy by subscription from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. The GPM may be ordered through the GPO Web site at: <>.

Proposals should also include plans for the documentation, archiving and dissemination of data. All funded participants must adhere to the U.S. GLOBEC data policy (see U.S. GLOBEC Report No. 10 and the U.S. GLOBEC office and homepage, and to data management policies applying to recipients of federal funding through the Office of Polar Programs. The Office of Polar Programs also requires submission of OPP-supported data, derived data products, samples, physical collections, and other supported materials to national data centers and other specified repositories. See the Office of Polar Programs Guidelines and Award Conditions for Scientific Data (

C. Reporting Requirements.

For all multi-year grants (including both standard and continuing grants), the PI must submit an annual project report to the cognizant Program Officer at least 90 days before the end of the current budget period.

Within 90 days after expiration of a grant, the PI also is required to submit a final project report. Approximately 30 days before expiration, NSF will send a notice to remind the PI of the requirement to file the final project report. Failure to provide final technical reports delays NSF review and processing of pending proposals for that PI. PIs should examine the formats of the required reports in advance to assure availability of required data.

NSF has implemented a new electronic project reporting system, available through FastLane, which permits electronic submission and updating of project reports, including information on: project participants (individual and organizational); activities and findings; publications; and, other specific products and contributions. Reports will continue to be required annually and after the expiration of the grant, but PIs will not need to re-enter information previously provided, either with the proposal or in earlier updates using the electronic system.

Effective October 1, 1998, PIs are required to use the new reporting format for annual and final project reports. PIs are strongly encouraged to submit reports electronically via FastLane. For those PIs who cannot access FastLane, paper copies of the new report formats may be obtained from the NSF Clearinghouse as specified above. NSF expects to require electronic submission of all annual and final project reports via FastLane beginning in October, 1999.

D. New Awardee Information.

If the submitting organization has never received an NSF award, it is recommended that the organization’s appropriate administrative officials become familiar with the policies and procedures in the NSF Grant Policy Manual which are applicable to most NSF awards. The "Prospective New Awardee Guide" (NSF 97-100) includes information on: Administration and Management Information; Accounting System Requirements and Auditing Information; and Payments to Organizations with Awards. This information will assist an organization in preparing documents that NSF requires to conduct administrative and financial reviews of an organization. The guide also serves as a means of highlighting the accountability requirements associated with Federal awards. This document is available electronically on NSF’s Web site at: <>.


General inquiries should be made to the U.S. SO Global Ocean Ecosystems Dynamics program, Dr. Polly A. Penhale or Dr. Roberta L. Marinelli, Antarctic Biology and Medicine, email:,; Dr. Bernhard Lettau, Antarctic Ocean and Climate Systems, email:; all at Office of Polar Programs, Room 755, (703) 306-1033.

For questions related to use of FastLane, contact Sarita Rich, (703) 306-1033,, or Fastlane user support, (703) 306-1142,


The NSF Guide to Programs is a compilation of funding opportunities for research and education in science, mathematics, and engineering. General descriptions of NSF programs, research areas, and eligibility information for proposal submission are provided in each chapter. Beginning in fiscal year 1999, the NSF Guide to Programs only will be available electronically, at
<>. Many NSF programs offer announcements concerning specific proposal requirements. To obtain additional information about these requirements, contact the appropriate NSF program offices listed in Appendix A of the GPG.

Any changes in NSF's fiscal year programs occurring after press time for the Guide to Programs will be announced in the NSF E-Bulletin, available electronically on the NSF Web site at:
<>. Subscribers can also sign up for NSF's Custom News Service to find out what funding opportunities are available.



The National Science Foundation (NSF) funds research and education in most fields of science and engineering. Grantees are wholly responsible for conducting their project activities and preparing the results for publication. Thus, the Foundation does not assume responsibility for such findings or their interpretation.

NSF welcomes proposals from all qualified scientists, engineers and educators. The Foundation strongly encourages women, minorities, and persons with disabilities to compete fully in its programs. In accordance with federal statutes, regulations, and NSF policies, no person on grounds of race, color, age, sex, national origin, or disability shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving financial assistance from NSF (unless otherwise specified in the eligibility requirements for a particular program).

Facilitation Awards for Scientists and Engineers with Disabilities (FASED) provide funding for special assistance or equipment to enable persons with disabilities (investigators and other staff, including student research assistants) to work on NSF-supported projects. See the program announcement or contact the program coordinator at (703) 306-1636.

The National Science Foundation has Telephonic Device for the Deaf (TDD) and Federal Information Relay Service (FIRS) capabilities that enable individuals with hearing impairments to communicate with the Foundation regarding NSF programs, employment, or general information. TDD may be accessed at (703) 306-0090 or through FIRS on 1-800-877-8339.


The information requested on proposal forms and project reports is solicited under the authority of the National Science Foundation Act of 1950, as amended. The information on proposal forms will be used in connection with the selection of qualified proposals; project reports submitted by awardees will be used for program evaluation and reporting within the Executive Branch and to Congress. The information requested may be disclosed to qualified reviewers and staff assistants as part of the review process; to applicant institutions/grantees to provide or obtain data regarding the proposal review process, award decisions, or the administration of awards; to government contractors, experts, volunteers and researchers and educators as necessary to complete assigned work; to other government agencies needing information as part of the review process or in order to coordinate programs; and to another Federal agency, court or party in a court or Federal administrative proceeding if the government is a party. Information about Principal Investigators may be added to the Reviewer file and used to select potential candidates to serve as peer reviewers or advisory committee members. See Systems of Records, NSF-50, "Principal Investigator/Proposal File and Associated Records," 63 Federal Register 267 (January 5, 1998), and NSF-51, "Reviewer/Proposal File and Associated Records," 63 Federal Register 268 (January 5, 1998). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of receiving an award.

Public reporting burden for this collection of information is estimated to average 120 hours per response, including the time for reviewing instructions. Send comments regarding this burden estimate and any other aspect of this collection of information, including suggestions for reducing this burden, to: Reports Clearance Officer; Information Dissemination Branch, DAS; National Science Foundation; Arlington, VA 22230.


In accordance with Important Notice No. 120 dated June 27, 1997, Subject: Year 2000 Computer Problem, NSF awardees are reminded of their responsibility to take appropriate actions to ensure that the NSF activity being supported is not adversely affected by the Year 2000 problem. Potentially affected items include: computer systems, databases, and equipment. The National Science Foundation should be notified if an awardee concludes that the Year 2000 will have a significant impact on its ability to carry out an NSF funded activity. Information concerning Year 2000 activities can be found on the NSF web site at

Catalogue of Federal Domestic Assistance (CFDA) No.: 47.078 – Office of Polar Programs

OMB No.: 3145-0058

NSF 99-100