SBI 1998 Announcement of Opportunity

Background: The Final Science Plan for SBI was published in February, 1998, and proposals received resulting from this AO were reviewed. Phase 1 SBI projects have since been funded and a SBI Science Management Office has been established.

Announcement of Opportunity
Western Arctic Shelf Basin Interactions, Phase 1

NATIONAL SCIENCE FOUNDATION
Office of Polar Programs
Division of Ocean Sciences

OFFICE OF NAVAL RESEARCH
High Latitude Dynamics Program

The National Science Foundation (NSF) and the Office of Naval Research (ONR) support research projects in the Arctic Ocean. Some of this work is in conjunction with the Ocean-Atmosphere-Ice Interactions (OAII) component of the Arctic System Science (ARCSS) Program of the US Global Change Research Program. The ARCSS/OAII Science Steering Committee has advised that studies of shelf/slope water mass modification and exchange processes and biogeochemical cycles are a priority for improving our capacity to predict environmental change. The topics are particularly important because they profoundly influence the thermohaline and biogeochemical structure of the Arctic Ocean. Accordingly, a coordinated research program has been formulated to address the processes and their interactions that occur on many Arctic shelf seas. The program is called: Shelf Basin Interactions (SBI) and will commence with studies leading to a coordinated field effort in the western Arctic.

The SBI program will focus on shelf/slope water mass modifications, material fluxes and biogeochemical cycles in the Chukchi/Beaufort Seas and adjacent slopes/basins, and the ultimate generalization of these results into Pan-Arctic and global models. The program is expected to have a duration of 7-10 years and will go forward in three phases.

Phase I, the subject of this Announcement, will involve analyses of historical data, instrument and technique development, opportunistic field investigations, modeling and appropriate workshops. Phase II (2002-05) will constitute the core field program, which is likely to involve a site in the Chukchi/Bering Strait region and a site in the Beaufort Sea along with a continuation of regional-scale modeling studies. Phase III will involve development of Pan-Arctic models of shelf-basin interactions (including embedded regional subsystem models) suitable for simulating global change scenarios.

The Arctic Ocean system is strongly influenced by processes occurring on its adjacent continental shelves. Portions of the Arctic shelf/slope region have extremely high biological productivity and are rich in living resources. Despite this ecological importance, the outer shelves and slopes of the Arctic remain one of the most under-sampled environments in the global ocean. Consequently, many shelf processes and impacts are poorly understood. It is, for example, not clear how variability on the shelves affects the interior basins. The Western Arctic SBI project, will significantly improve our knowledge and understanding of shelf-basin exchange processes, and will lead to an enhanced predictive capability for the Arctic Ocean including the impacts of global change.

The shelves profoundly influence the thermohaline structure and maintenance of the ice cover of the Arctic Ocean. These same processes must markedly affect biogeochemical cycles and the biological productivity that support the living marine resources of the Arctic Ocean. However, a mechanistic understanding of the processes that affect the magnitude and rates of biological production, physical and chemical modification of shelf and slope water-masses, and water-mass exchange with the central basin is lacking.

Interactions between Arctic shelves and basins have a major influence on the Arctic Ocean system. What will be the likely impact of global change on this sentinel Arctic ecosystem, where future thermal changes may be the largest? SBI will examine the postulated effects of global change and the subsequent feed-back of such altered climate signals to lower latitudes. For example, the extent and thickness of sea ice has a direct impact on global change, with general circulation models (GCMs) indicating that the Arctic will be a focal region for observing early effects of global change. Warming would decrease ice and alter the annual cycle of melting and freezing, thereby affecting the nature and rates of exchange between the shelf and the basin. Global change would also affect freshwater runoff of Arctic rivers, influencing sea ice production and stratification of the Arctic Ocean. Presently, shelf nutrients and dissolved organic matter (DOM) that are not assimilated by animals and plants in the western Arctic are exported to the basin. Reduced export and increased light availability on the shelves should lead to larger primary production, based on enhanced nutrient uptake and recycling of the DOM. Increased photosynthesis could then lead to: 1) larger fish yields, with diversion of food away from the benthos and the higher trophic levels they support, 2) greater sequestration of atmospheric carbon dioxide in the shelf/basin sediments, and 3) more denitrification losses of fixed nitrogen. The former would impact adjacent human populations of the Arctic, while the latter two could have global consequences.

The overarching goal of the SBI program is to provide a major step forward in understanding biogeochemical processes and their interactions so that predictive capabilities, including those related to global change, can be developed. The SBI program will include field and modeling studies directed at elucidating the underlying physical and biological shelf and slope processes that influence the structure and functioning of the Arctic Ocean. Phase II of the SBI program will have a regional focus in the Chukchi and Beaufort Seas for several reasons. First, within the Arctic halocline, the clearest physical and biogeochemical signals are caused by Pacific Ocean waters that are modified on these shelves before passing into the interior ocean. Second, these shelf seas are ideal for comparative studies of shelf-basin interaction due to substantial differences in their geomorphic characteristics, physical forcing, and source waters (riverine versus marine). Third, the existing oceanographic (physical, chemical and biological) data are easily accessible and possibly more comprehensive than for most other Arctic shelves. This data base allows for retrospective analysis and hypothesis development. Fourth, there are important regional human dimension concerns, such as marine resource use issues (hunting and food availability) associated with these shelves. Fifth, both seas are readily accessible (logistically and politically) thereby permitting year-round studies for several years.

Over its 7-10 year lifetime, the SBI project will combine modeling with observations designed to investigate the naturally occurring large annual and interannual variability of the shelf-basin region. In addition, studies of the present-day environment could aid in interpreting the paleoclimatological record. An understanding of past and present variations should, in turn, contribute to the development of models capable of predicting possible future responses to global change.
Proposals enabling better prediction of shelf productivity, heat, mass and momentum fluxes, and shelf-basin interactions are encouraged, especially those that define the magnitude, variability and potential changes in:

The results of SBI are expected to address how global change may impact living resources and human populations in and adjoining arctic shelf seas. Therefore, proposals submitted under the aegis of this announcement may include requests for workshops aimed towards optimally interfacing the above-mentioned studies with sociological studies and with studies of living resources.

Based on the continuation of current appropriation levels, and depending on availability of funds, about $6,00,000 will be available in FY 1999-01 to cover NSF- and ONR-sponsored research activities described in this Announcement. This funding level should be adequate to support approximately 20-30 awards. Proposals with projects requiring ship use should include NSF Form 831. Ship costs should not be included in the proposal budget but will come from the available funds for Phase 1 activities.

It is anticipated that a Phase 2 Announcement of Opportunity will be issued in 2001 for research proposals to conduct Phase 2 field measurements, analysis, and process modeling.

The program announcement block of the cover sheet should indicate "NSF 98-77." Proposals received after 15 June 1998 will be returned. Proposals should be prepared and submitted in accordance with the guidelines provided in the NSF brochure, Grant Proposal Guide (GPG), NSF 98-2. Paper copies of the GPG can be requested at no cost from:

The SBI project will consider research proposals from all approved categories of proposers as described in the Grants Policy Guide (NSF 98-2).

Questions regarding proposal preparation or submission may be directed to Michael T. Ledbetter (Tel. 703 306-1029; mledbett@nsf.gov), Office of Polar Programs or H. Lawrence Clark (Tel. 703 306-1584; hclark@nsf.gov), Division of Ocean Sciences, National Science Foundation, 4201 Wilson Blvd., Arlington, VA 22230 or to Dennis Conlon (Tel. 703 696-4720; conlond@onr.navy.mil), Office of Naval Research, 800 N. Quincy St., Arlington, VA 22217.

Award instrument: Awards from NSF will be administered under a Grant in accordance with the NSF Grant General Conditions (NSF GC-1). Copies of these documents are available at no cost from the NSF Publications and Supplies Unit. More comprehensive information is contained in the NSF Grant Policy Manual (NSF 95-26, July 1995), available on the NSF Home Page at http://www.nsf.gov, and for sale through the Superintendent of Documents, Government Printing Office, Washington, DC 20404. The telephone number at GPO is (202) 783-3238 for subscription information.

Proposals selected for support by ONR must follow the requirements of that agency and will be withdrawn from NSF review if selected for ONR support.

Proposals submitted in response to this program announcement will be subject to the NEW NSF merit review criteria approved by the National Science Board on March 28, 1997 (NSB97-72). The new merit review criteria are:

The following are suggested questions that the reviewer will consider in assessing how well the proposal meets this criterion. Each reviewer will address only those questions which he/she considers relevant to the proposal and for which he/she is qualified to make judgments.

Proposers are urged to read the SBI Science Plan before preparing proposals. Efforts that do not match the goals set forth in the science plan will not be supported.

Proposals supported for Phase 1 activities must address how the expected results will enhance the planning and execution of the Phase 2 field program in the Beaufort and Chukchi Seas.

The SBI Science Plan is available on the OAII webpage [http://arcss-oaii.hpl.umces.edu]. Hard copies may be obtained by writing to Louis Codispoti, University of Maryland-Horn Point Lab, P.O. Box 775, Cambridge, MD 21613.

Review of SBI, Phase 1 proposals will be handled cooperatively by NSF and ONR. ONR will jointly review the NSF proposals and cost-share with NSF. Final selection of awardees by the agencies will be determined by the review panel's recommendations and programmatic considerations. Each award will be supported by a single agency. Principal investigators recommended for funding may be requested to modify their budgets and work plans to comply with special requirements of the particular agency supporting their award.

A summary rating and accompanying narrative will be completed by each reviewer. In all cases, reviews are treated as confidential documents. Verbatim copies of reviews, excluding the names of the reviewers, are mailed to the PI/PD by the Program Director. In addition, the proposer will receive an explanation of the decision to award or decline funding.

To ensure a coordinated SBI program, proposals must include statements indicating expected adherence to the ARCSS/OAII data management plan. This plan calls for dissemination of OAII research data products to other OAII investigators within one year after collection of data. Further information may be found on the OAII webpage.

Awardees will be required to archive and document data at the ARCSS Data Coordination Center at the University of Colorado National Snow and Ice Data Center or another center appropriate to the type of data. Information about the ARCSS Data Coordination Center may be obtained from Matthew Cross , University of Colorado, Campus Box 449, Boulder, CO 80309-0449; Tel: 303-492-1192; Internet: cross@kryos.colorado.edu or on the ARCSS Data Coordination Center home page on the World Wide Web: http://arcss.colorado.edu.

The Foundation provides awards for research and education in the sciences and engineering. The awardee is wholly responsible for the conduct of such research and preparation of the results for publication. The Foundation, therefore, does not assume responsibility for the research findings or their interpretation.

The Foundation welcomes proposals from all qualified scientists and engineers and strongly encourages women, minorities, and persons with disabilities to compete fully in any of the research and education related programs described here. 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 subject to discrimination under any program or activity receiving financial assistance from the National Science Foundation.

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 projects. See the program announcement or contact the program coordinator at (703) 306-1636.

Privacy Act. The information requested on proposal forms is solicited under the authority of the National Science Foundation Act of 1950, as amended. It will be used in connection with the selection of qualified proposals and 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 application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers, and researchers as necessary to complete assigned work; and to other government agencies in order to coordinate programs. See Systems of Records, NSF 50, Principal Investigators/Proposal File and Associated Records, and NSF-51, 60 Federal Register 4449 (January 23, 1995), Reviewer/Proposal File and Associated Records, 59 Federal Register 8031 (February 17, 1994).

Public Burden. Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your receiving an award.

The 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 or any other aspect of this collection of information, including suggestions for reducing this burden, to Gail A. McHenry, Reports Clearance Officer, Information Dissemination Branch, National Science Foundation, 4201 Wilson Boulevard, Suite 245, Arlington, VA 22230.

The National Science Foundation has TDD (Telephonic Device for the Deaf) capability, which enables individuals with hearing impairment to communicate with the Foundation about NSF programs, employment, or general information. To access NSF TDD, dial (703) 306-0090; for FIRS, 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 application review process; to applicant institutions/grantees to provide or obtain data regarding the application review process, award decisions, or the administration of awards; to government contractors, experts, volunteers, and researchers as necessary to complete assigned work; and to other government agencies needing information as part of the review process 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 NSF reviewers or advisory committee members. See Systems of Records, NSF 50, "Principal Investigators/Proposal File and Associated Records", 60 Federal Register 4449 (January 23, 1995), and NSF-51, "Reviewer/Proposal File and Associated Records", 59 Federal Register 8031 (February 17, 1994). Submission of the information is voluntary. Failure to provide full and complete information, however, may reduce the possibility of your 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 or any other aspect of this collection of information, including suggestions for reducing this burden, to:

Programs described in this publication are in Category 47.050 (Directorate for Geosciences) in the Catalog of Federal Domestic Assistance.

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