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Federal Register: December 27, 2000 (Volume 65, Number 249)
Notices
Page 81836-81841
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
National Marine Aquaculture Initiative: Request for Proposals FY-
2001
AGENCY: National Sea Grant College Program, Office of Oceanic and
Atmospheric Research (OAR), National Oceanic and Atmospheric
Administration, Commerce.
ACTION: Notice of request for proposals.
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SUMMARY: The purpose of this notice is to advise the public that the
Office of Oceanic and Atmospheric Research (OAR), through a process
that includes other Department of Commerce agencies, including the
national Sea Grant College Program, National Marine Fisheries Service
(NMFS), and the National Ocean Service (NOS), is seeking pre-proposals
and full proposals to participate in innovative research,
policy and regulatory analysis and development, and outreach and
demonstration for the development of marine aquaculture in the United
States. For purposes of this competition the Great Lakes, and the
species in them, are considered marine. OAR will hold an open
competition for up to $5 million per year for two years (pending
available funds), with individual projects up to $500,000 per year. The
purpose is to develop a highly competitive, sustainable marine
aquaculture industry that will meet growing consumer demand for aquatic
foods and products that are of high quality, safe, competitively priced
and are produced in an environmentally responsible manner.
DATES: Preliminary proposals must be received in the Office of Oceanic
and Atmospheric Research by 4 p.m. EST, on February 20, 2001, and full
proposals by 4 p.m., May 1, 2001. Preliminary proposal selection and
notification will occur by March 9, 2001, and proposal selection will
occur by June 10, 2001, and grant start dates will be September 1,
2001.
ADDRESSES: Applicants should be sent to the Office of Oceanic and
Atmospheric Research.
Mailing address: Office of Oceanic and Atmospheric Research, Attn:
National Marine Aquaculture Initiative Coordinator, NOAA, 1315 East-
West Highway, Room 11838, Silver Spring, MD 20910.
For express mail or courier-delivered applications, the following
address must be used: National Sea Grant Office, R/SG. Attn: National
Marine Aquaculture Initiative Coordinator, NOAA, Room 1877, 1315 East-
West Highway, Silver Spring, MD 20910. Phone: 301-713-2435.
Electronic Addresses: To contact: coordinator--Jim.McVey@NOAA.gov;
or Mary.Robinson@NOAA.gov
NOAA/DOC Aquaculture Task Force members--www.noaalib.docaqua/
frontpage/html.;
Sea Grant Directors--www.mdsg.umd.edu/ngo/research;
Sea Grant Forms--(www.nsgo.seagrant.org/research/rfp/index.html)
List of previous projects--www.noaalib.aquadoc/frontpage/html.
FOR FURTHER INFORMATION CONTACT: James P. McVey, National Marine
Aquaculture Initiative Coordinator, or Mary Robinson, Secretary,
National Sea Grant Office, 301-713-2451, facsimile 301-713-0799.
SUPPLEMENTARY INFORMATION:
I. Program Authority
33 U.S.C. 1121 et seq.
Background
Worldwide fisheries production will be inadequate to meet the needs
of the world's population without supplementation through aquaculture
and marine fish enhancement. The development of a robust aquaculture
industry can help meet the seafood needs of the domestic market, reduce
imports of fishery products and benefit the nation's balance of trade.
In the U.S., marine aquaculture has been very slow to develop for a
variety of reasons including the lack of appropriate technologies,
difficulty in obtaining financing, concerns over environmental impacts,
multi-use conflicts in the coastal zone, and difficult and expensive
permit and licensing processes, to name a few. However, none of these
problems are insurmountable and the need for creating a marine
aquaculture sector has never been greater.
NOAA includes aquaculture in its Strategic Plan under the Build
Sustainable Fisheries Initiatives as part of a three-part program that
integrates aquaculture, capture fisheries and coastal community
development in order to maximize value from coastal resources. This
Initiative, in addition to a DOC Aquaculture Initiative, calls for NOAA
and DOC to undertake research, demonstration, education/outreach,
regulatory and financial support activities in support of marine
aquaculture. A NOAA/DOC Aquaculture Task Force has been created to
implement the provisions of these Initiatives. NOAA recognizes the role
of other Departments such as USDA and DOI and state management partners
in aquaculture and coordinates with other Department representatives at
the regional level and at the national level through the Joint Sub-
Committee on Aquaculture. The NOAA/DOC program is aligned with the
National Aquaculture Development Plan created by the Joint Sub-
Committee on Aquaculture.
Leveraging and Process
This solicitation allows funding of proposals from institutions of
higher education, other non-profits, commercial organizations, state,
local and Indian tribal governments and Federal agencies. Matching
funds are not required but proposals that combine resources from
institutions such as universities, Federal and State agencies, private
industry and foundations in a regional context will be looked on most
favorably (See ``User Relationships'' under the Evaluation Criteria).
This will be a two stage competition with two-page pre-proposals
used in an initial selection process and full proposals requested from
those selected in the pre-proposal process. The pre-proposal process is
to reduce the burden of preparing full proposals that do not have a
high probability for funding. Those not submitting pre-proposals are
not eligible to submit full proposals, but those submitting pre-
proposals, and not selected to submit full proposals, have the option
to submit full proposals. The funds for this competition are in the
Office of Oceanic and Atmospheric Research and Federal agencies may
participate, however, the National Sea Grant College Program will
administer the grant process.
Funding Availability and Priorities
The Office of Oceanic and Atmospheric Research encourages proposals
that address the following: research, development, policy and
management, extension and education priorities that have been developed
through the NOAA/DOC budget process. FY 2001 funding for this program
has not yet been appropriated, but it is anticipated that up to $5
million will be available for this competition in FY 2001, and a
similar amount is anticipated for FY 2002. Therefore, we will accept
proposals of one-or-two year duration for a maximum of $500,000 per
year or a total of $1,000,000 for 2 years. However, funding after year
one will depend upon funds received through the Federal budget process
and a review of first year progress, and second year funding cannot be
guaranteed. Applicants should check with the list of projects funded
during the last 2 years to determine what has already been funded and
how a proposed project might contribute to the ongoing DOC marine
aquaculture initiative (See electronic addresses).
Areas of priority include:
Research. Aquaculture research can include husbandry; system
engineering; genetics; disease prevention, diagnosis and control;
nutrition; environmental studies; social sciences; marketing; product
transport and product development; and other disciplines. We are
encouraging research that addresses priority issues that stand as
obstacles to the present and future success of the sustainable
aquaculture in the United States. Where practicable, multi-
disciplinary, regionally-based, studies are encouraged (See ``User
Relationships'' under the Evaluation Criteria). NOAA is seeking
proposals on enabling technologies for the existing aquaculture
industries and for less developed areas of aquaculture such as
marine ornamentals, water re-use systems, offshore or open ocean
systems, and marine species enhancement. We are also looking for
proposals on the siting of aquaculture activities and studies on the
environmental, genetic and trophic level consequences of marine
aquaculture and marine species enhancement. The goal is to develop new
industry opportunities using research resources at Federal, State,
academic and private industry facilities.
Demonstration. Projects to allow pilot scale testing of
technologies to prove concepts, establish economic feasibility, conduct
environmental monitoring and modeling, develop multi-use platforms and
evaluate marine species enhancement and production technologies will be
considered for this competition.
Regulatory issues. Proposals to define and clarify license and
permit procedures, address the use of the Exclusive Economic Zone (EEZ)
for aquaculture, develop siting criteria and siting methods including
aquaculture zoning, develop best management practices and codes of
conduct for aquaculture and address the issues of aquaculture in
interstate commerce and improved food safety are encouraged and have
been identified as high priority topics by industry and federal
agencies involved in development of the National Aquaculture
Development Plan.
Education/outreach. Education and outreach activities that convey
research results to the end users, determine industry needs, educate
the public and involve and instruct students in aquaculture-related
science will be considered.
Financial support. Proposals that address the financial
requirements of aquaculture, help set priorities for financial support
and address marketing and trade issues are encouraged. Creation of
model business plans that provide financial institutions with decision-
making tools for aquaculture investments will also be considered.
Regional and issue coordination. OAR recognizes the need for
integrated regional planning and prioritization in order to focus
Federal assistance efforts. OAR is seeking proposals to establish
mechanisms for broad regional planning that would address NOAA goals to
promote environmentally sound aquaculture. In some cases, like water
re-use technologies, the issue may have interest across several regions
and in such cases a national or multi-regional approach to coordination
would be encouraged.
III. Eligibility
Eligible applicants are institutions of higher education, other
non-profits, commercial organizations, state, local and Indian tribal
governments and Federal agencies. 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 agencies shall be effected by an intra-
agency fund transfer. Proposals selected 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 product goods or services from applicants, the Economy Act
(31 U.S.C. 1535) is not an appropriate legal basis.
IV. Evaluation Criteria
The evaluation criteria for proposals submitted for support under
the National Marine Aquaculture Initiative are as follows:
Scientific or Professional Merit (maximum 45 points)--The clarity
of objectives and the level of scientific endeavor or professional
merit exhibited in the proposal. The presence of a clear work plan, and
probability of success. The innovativeness of the approach to the
problem or the unique combination of technologies and disciplines to
overcome a significant problem.
Impact of Proposed Project (maximum 30 points)--Significance of the
problem relative to the priorities listed in this announcement, and the
degree to which the activity, if successful, will advance the state of
the science, industry, or state-of-the-art methods for marine
aquaculture. The degree to which the project is cost effective relative
to the work proposed.
User Relationships (maximum 20 points) degree to which the
potential users of the results, i.e., industry, have been involved in
the planning of the activity, will be involved in the execution of the
activity and/or are providing funds. Degree to which inter-
institutional and multi-disciplinary programs have been developed in
order to leverage funds and resources. Presence of a plan to
disseminate the results to user groups and the public.
Qualifications and Past Record of Investigators (maximum 5
points)--Degree to which investigators are qualified by education,
training, and/or experience to execute the proposed activity; record of
achievement with previous funding.
Selection Procedures
A pre-proposal review panel, to be organized by the Office of
Oceanic and Atmospheric Research, will be convened at the NOAA Offices
in Silver Spring, MD and will review all preliminary proposals. The
pre-proposal review panel will consist of government, academic,
industry and Non-government organization (NGO) representatives. This
panel will assign points on an individual basis to each pre-proposal
based on the evaluation criteria and priorities contained in this
request for proposals. Those receiving an average score of the
individual ratings over 81 points will be asked to submit full
proposals. No consensus advice will be provided by the review panel to
the NOAA/DC Aquaculture Task Force.
Full proposals submitted to the Office of Oceanic and Atmospheric
Research will be sent to peer reviewers for written reviews. Reviewers
will be asked to evaluate the proposals using the evaluation criteria
listed in this announcement. Complete full proposals and accompanying
written reviews will be sent to the Office of Oceanic and Atmospheric
Research and evaluated by a peer review panel comprised of government,
academic, industry and NGO experts organized by OAR. The members of the
panel will provide individual point scores for each proposal using the
evaluation criteria listed in this announcement and the input provided
by the written reviews, but there will be no consensus advice. Their
evaluations will be considered by the NOAA/DOC Aquaculture Steering
Committee for final project selection. (See address for list of NOAA/
DOC Aquaculture Task Force Members.)
For proposals rated above 81 points in average score, the NOAA/DOC
Aquaculture Task Force managers will make the final project selection.
They will: (a) Verify that projects address the priority areas listed
in this announcement; (b) determine whether NOAA or other federal
agencies are funding or planning to fund similar projects; (c)
determine which proposals best meet the timeliness and overall vision
of the NOAA/DOC aquaculture initiative projects; (d) can be
accommodated within available funding (see summary and background
sections of this document; (e) determine if components of the selected
projects should not be funded; (f) determine the total duration of
funding appropriate for each proposal; (g) determine the amount of
funds available for each proposal.
Consequently, awards may not necessarily be made to the highest-scored
proposals. 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. A
summary statement of the scientific review by the peer panel will be
provided to each applicant.
Applications must reflect the total budget necessary to accomplish
the project. Cost sharing is not required but encouraged as part of the
selection criteria listed here (See ``User Relationships'' in the
Evaluation Criteria). The appropriateness of all cost-sharing will be
determined on the basis of guidance provided in applicable Federal cost
principles. The applicants will be bound by the percentage of cost
sharing reflected in the grant award.
V. Instructions for Application
What to Submit
Preliminary proposals. Each preliminary proposal should not exceed
two typewritten pages using 10 point font or larger, and provide the
title of the research project; the title, name and address of
investigators and partners; a background section that sets the stage
for the work and identifies how the research would fit into any ongoing
research in this area; a rationale of why the work should be conducted;
a clear statement of objectives; the general methodology that will be
used; and an estimated budget amount. The criteria for selection of
preliminary proposals are the degree to which they fit the priority
areas and evaluation criteria listed in this notice. A one page
biography for each investigator should be included and will not be
counted in the two page limit.
Full proposals. Each full proposal, that will be requested as the
result of the pre-proposal process or those applicants submitting
anyway, should include the items listed here. All pages should be
single- or double-spaced, typewritten in at least a 10-point font, and
printed on metric A4 (210 mm x 297 mm) or 8\1/2\" x 11" paper. Brevity
will assist reviewers and program staff in dealing effectively with
proposals. Therefore, the Project Description may not exceed 15 pages.
Tables and visual materials, including charts, graphs, maps,
photographs and other pictorial presentations are included in the 15-
page limitation. The signature page, summary page, references/
literature cited, budgets and budget notes, current and pending support
sections and vitae do not count in the 15 page limit. Conformance to
the 15-page limitation will be strictly enforced. All information
needed for review of the proposal should be included in the main text;
no appendices are permitted.
Federal agencies submitting proposals need to follow all of the
instructions for submissions up to but not including Standard
Application Forms for proposals.
(1) Signed title page: The title page should be signed by the
Principal Investigator and the institutional representative and should
clearly identify the program area being addressed by starting the
project title with: National Marine Aquaculture Initiative. The
Principal Investigator and institutional representative should be
identified by full name, title, organization, telephone number and
address. The total amounts of requested Federal funds and matching
funds should be listed for each budget period.
(2) Project Summary: This information is very important. It is
critical that the project summary accurately describe the research
being proposed and convey all essential elements of the research. The
project summary should not exceed two pages and include: (a) Title: Use
the exact title as it appears in the rest of the application. (b)
Investigators: List the names and affiliations of each investigator who
will significantly contribute to the project. Start with the Principal
Investigator. (c) Funding request for each year of the project,
including matching funds. (d) Project Period: Start and completion
dates: Proposals should request a start date of July 1, 2001 or later.
(e) Project Summary: This should include the rationale for the project,
the scientific or technical objectives and/or hypotheses to be tested,
and a brief summary of work to be completed.
(3) Project description (15-page limit) Introduction/background/
justification: Subjects that the investigator(s) may wish to include in
this section are: (a) Current state of knowledge; (b) contributions
that the study will make to the particular discipline or subject area;
and (c) contributions the study will make toward addressing the
problems identified in the National Marine Aquaculture Initiative.
Research or technical plan: (a) Objectives to be achieved,
hypotheses to be tested; (b) Plan of work--discuss how stated project
objectives will be achieved; and (c) Role of project personnel.
Output: Describe the project outputs that will contribute to
improving and further developing marine aquaculture in the U.S.
Coordination with other program elements: Describe any coordination
with other agency programs or ongoing research efforts. Describe any
other proposals that are essential to the success of this proposal.
(4) References and literature citations: Should be included as
appropriate.
(5) Budget and matching funds justification: There should be a
separate budget for each year of the project as well as a cumulative
budget for the entire project. Applicants are encouraged to use the Sea
Grant Budget Form 90-4, but may use their own form as long as it
provides the same information as the Sea Grant form. Subcontracts
should have a separate budget page. Matching funds must be indicated.
Applicants should provide justification for all budget items in
sufficient detail to enable the reviewers to evaluate the
appropriateness of the funding requested. Pay special attention to any
travel or supply budgets and provide details. The total dollar amount
of indirect costs must not exceed the indirect cost rate negotiated and
approved by the cognizant Federal agency prior to the proposed
effective date of the award or 100 percent of the total proposed direct
costs dollar amount in the application, whichever is less. The Sea
Grant Budget Form 90-4 is available through the World Wide Web or from
the initiative coordinator (See electronic addresses).
(6) Current and pending support: Applicants must provide
information on all current and pending Federal support for ongoing
projects and proposals, including subsequent funding in the case of
continuing grants. The proposed project and all other projects or
activities requiring a portion of time of the principal investigator
and other senior personnel should be included. The relationship between
the proposed project and these other projects should be described, and
the number of person-months per year to be devoted to the projects must
be stated.
(7) Vitae (2 pages maximum per investigator). This is not counted
in the 15 page maximum.
(8) Standard application forms:
Standard application forms are not necessary for pre-proposals or
for the first request for full proposals. They will only be necessary
when projects have been selected for funding.
Applicants may obtain all required application forms from state Sea
Grant Programs, through the World Wide Web (see electronic addresses)
or from the project coordinator. The following forms must be included:
(a) Standard Forms 424, Application for Federal Assistance, 424A,
Budget
Information--Non-Construction Programs; and 424B, Assurances--Non-
Construction Programs, (Rev 4-88). Applications should clearly identify
the program area being addressed by starting the project title with
``National Marine Aquaculture Initiative''. Please note that both the
Principal Investigator and an administrative contact should be
identified in Section 5 of the SF424. The form must contain an original
signature of the applicant institution's authorized representative.
(b) 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:
(i) Non-procurement debarment and suspension. Prospective
participants (as defined at 15 CFR part 26, section 105) are subject to
15 CFR part 26, ``Non-procurement Debarment and Suspension'' and the
related section of the certification form prescribed above applies;
(ii) Drug-Free Workplace. Grantees (as defined at 15 CFR part 26,
section 605) are subject to 15 CFR part 26, subpart F, ``Government
wide Requirements for Drug-Free Workplace (Grants)'' and the related
section of the certification form prescribed above applies;
(iii) 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 than $150,000, or the
single family maximum mortgage limit for affected programs, whichever
is greater; and
(iv) 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.
(c) Lower tier certifications. Recipients shall require applicants/
bidders for sub-grants, 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 the Department of
Commerce (DOC). SF-LLL submitted by any tier recipient or sub-recipient
should be submitted to DOC in accordance with the instructions
contained in the award document.
Applications received after the deadline and applications that
deviate from the format described will be returned to the sender
without review. Facsimile transmissions and electronic mail submission
of applications will not be accepted.
How To Submit
Applicants residing in Sea Grant states may, at their discretion,
submit preliminary proposals and proposals through the state Sea Grant
programs, according to the schedules established by the state programs
based on the submission dates to the Office of Oceanic and Atmospheric
Research listed above. No culling of pre-proposals will occur at the
state Sea Grant level. Sea Grant program directors will receive a list
of proposals coming from their state as a courtesy. If applicants
choose to submit proposals through Sea Grant programs, applicants
should contact the state Sea Grant programs for submission dates and
the number of copies required. A list of state Sea Grant program
directors and their addresses can be found on the web (See Electronic
Addresses) or obtained through Dr. James McVey.
Applicants not residing in Sea Grant states, or not wishing to
submit through a state Sea Grant Program may submit directly to the
Office of Oceanic and Atmospheric Research (see addresses). Although
investigators are not required to submit more than 3 copies of the
proposal to the Office of Oceanic and Atmospheric Research the normal
review process requires 10 copies. Investigators are encouraged to
submit sufficient proposal copies for the full review process if they
wish all reviewers to receive color graphics, glossy photographs,
nonstandard-sized pages (not 8.5 x 11"), or otherwise unusual materials
submitted as part of the proposal. Only three copies of the Federally
required forms are needed.
Other Requirements
Federal Policies and Procedures
Unsatisfactory performance under prior Federal awards may result in
an application not being considered for funding.
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 may have been
received, there is no obligation on the part of Department of Commerce
to cover pre-award costs.
Applicants are hereby notified that they are encouraged to the
extent feasible, to purchase American-made products with funding
provided under this program.
If an application is selected for funding, Department of Commerce
has no obligation to provide any additional future funding in
connection with that award. Renewal of an award to increase funding or
extend the period of performance is at the total discretion of
Department of Commerce.
No award of Federal funds shall be made to a applicant who has an
outstanding delinquent Federal debt or fine until either:
ii. The delinquent account is paid in full,
ii. A negotiated repayment schedule is established and at least one
payment is received, or
iii. Other arrangements satisfactory to Department of Commerce are
made.
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.
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:
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.
Applications under this program are subject to Executive Order
12372, ``Intergovernmental Review of Federal Programs.''
Prior notice and an opportunity for public comments are not
required by the Administrative Procedure Act 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.
This action has been determined to be not significant for purposes
of Executive Order 12866.
This notice contains collection-of information requirements subject
to the Paperwork Reduction Act. The Sea Grant Project Summary Form and
the Sea Grant Budget Form have been approved under the Office of
Management and Budget (OMB) Control Number 0648-0362, with estimated
times per response of 20 and 15 minutes, respectively. The use of
Standard Forms 424, 424A, 424B, and the SF-LLL have been approved by
OMB under the respective control numbers 0348-0043, 038-0044, 038-0040
and 038-0046. The response time estimates above 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 on these estimates or any
other estimates of these collections to the National Sea Grant Office/
NOAA, 1315 East-West Highway, Silver Spring, Maryland 20910 and to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, Washington, DC 20503 (Attention: NOAA Desk Officer).
Notwithstanding any other provision of the 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 of information
displays a currently valid OMB Control Number.
Dated: December 20, 2000
David L. Evans,
Assistant Administrator for Oceanic and Atmospheric Research.
[FR Doc. 00-33000 Filed 12-26-00; 8:45 am]
BILLING CODE 3516-KA-M
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