NOAA-OAR-CPO-2021-2006677 NOFO Report (2).pdf

Climate Program Office (CPO), Regional Integrated Sciences and Assessments (RISA) Program

FY2021

TABLE OF CONTENTS

I. Funding Opportunity Description 5

A. Program Objective 5 B. Program Priorities 6 C. Program Authority 10

II. Award Information 10 A. Funding Availability 11 B. Project/Award Period 11 C. Type of Funding Instrument 11

III. Eligibility Information 11 A. Eligible Applicants 12 B. Cost Sharing or Matching Requirement 12 C. Other Criteria that Affect Eligibility 12

IV. Application and Submission Information 12 A. Address to Request Application Package 12 B. Content and Form of Application 12 C. Unique Entity Identifier and System for Award Management (SAM) 19 D. Submission Dates and Times 20 E. Intergovernmental Review 20 F. Funding Restrictions 20 G. Other Submission Requirements 20

V. Application Review Information 20 A. Evaluation Criteria 20 B. Review and Selection Process 23 C. Selection Factors 25 D. Anticipated Announcement and Award Dates 25

VI. Award Administration Information 25 A. Award Notices 26 B. Administrative and National Policy Requirements 26 C. Reporting 29

VII. Agency Contacts 30 VIII. Other Information 30

Notice of Federal Funding Page 1 of 30

NOTICE OF FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): Oceanic and Atmospheric Research (OAR), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce

Funding Opportunity Title: Climate Program Office (CPO), Regional Integrated Sciences and Assessments (RISA) Program FY2021

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-CPO-2021-2006677

Catalog of Federal Domestic Assistance (CFDA) Number: 11.431, Climate and Atmospheric Research

Dates: Letters of intent (LOIs) for all competitions should be received by email by 5:00 p.m.

Eastern Time on December 9, 2020.

Full Applications: Full applications for Competition 2 must be received by 5:00 p.m. Eastern Time, February 8, 2021. Full applications for Competition 1 must be received by 5:00 p.m.

Eastern Time, February 16, 2021.

Funding Opportunity Description: The Regional Integrated Science and Assessments (RISA) Program resides in the Climate Program Office’s (CPO) Climate and Societal Interactions Division (CSI). CSI has traditionally been a home for high-impact science, catalyzing some of the earliest U.S. government investments in regionally scaled, societally relevant, interdisciplinary climate research and engagement focused on reducing vulnerability and risk through the use of climate knowledge and information. Today, CSI continues to work with partners to enhance community and national resilience in the face of climatic changes, through research and engagement activities designed to connect innovative science directly to complex and dynamic preparedness, adaptation and resilience challenges. Programs managed by CSI are a key component of NOAA’s cutting-edge research enterprise, which has evolved over time to include the private sector, NGOs, interdisciplinary teams and the social sciences at large. Moving forward, the CSI Division is reorganizing to include the new Adaptation Science Program as well as continuing to support the RISA Program, in order to streamline, expand and build upon past investments, and address cutting-edge topics in adaptation science - a critical cornerstone to a more resilient future.

The RISA Program

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The RISA program supports the development of knowledge, expertise, and abilities of decision-makers to plan and prepare for climate variability and change. Through regionally-focused and interdisciplinary research and engagement teams, RISA builds and expands the Nation's capacity to adapt and become resilient to extreme weather events and climate change. RISA teams accomplish this through co-developed applied research and partnerships with public and private communities. A central tenet of the RISA program is that learning about climate adaptation and resilience is facilitated by and sustained across a wide range of experts, practitioners, and the public. As such, the RISA program supports a network of people, prioritizing wide participation in learning by doing, learning through adapting, and managing risk with uncertain information.

Early decades of the program focused on understanding the use of climate information at regional scales (e.g., through experimental seasonal outlooks), improving predictions and scenarios, building capacity for drought early warning, and advancing the science of climate impact assessments. More recently, emphasis has shifted to address the growing urgency to advance approaches that tackle the complex societal issues surrounding adaptation planning, implementation, and building community resilience. To do so, RISA continues to prioritize collaborative approaches that incorporate multiple knowledge sources and integrate social, physical, and natural science, resulting in long-term support of and increased capacity for communities. As the adaptation community in the United States advances and evolves, RISA seeks to support new creative, solution-oriented approaches that are both responsive to communities and that integrate across silos of scientific knowledge and expertise. Central to achieving the RISA mission are:

- Regional Relevance, Local Expertise

- Integrated Scientific Approaches

- Knowledge-to-Action Partnerships

- A National Network of Resilience Researchers and Adaptation Science Specialists

The RISA program encourages applicants and awardees to support the principles of justice, equity, diversity, and inclusion when writing their proposals and performing their work.

Ensuring justice and equity -means paying particular attention to the most vulnerable populations, which are often low-income, those already overburdened by pollution, those who lack economic or social opportunity, and people facing disenfranchisement. Diversity here is defined as a collection of individual attributes that together help organizations achieve objectives. Inclusion is defined as a culture that connects each person to the larger organizing structure. Promoting justice, equity, diversity, and inclusion improves the creativity, productivity, and vitality of the communities in which the program engages.

The RISA program is holding two competitions under this Federal Funding Opportunity:

1. Competition for one RISA team in each of the following nine regions with existing RISA

Notice of Federal Funding Page 3 of 30 activities: Northeast, MidAtlantic, Intermountain West, Carolinas, Great Lakes, Alaska, Pacific Islands, South Central, and Pacific Northwest

2. Competition for collaborative planning activities in the Southeast and the U.S. Caribbean

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The Regional Integrated Science and Assessments (RISA) Program resides in the Climate Program Office’s (CPO) Climate and Societal Interactions Division (CSI). CSI has traditionally been a home for high-impact science, catalyzing some of the earliest U.S.

government investments in regionally scaled, societally relevant, interdisciplinary climate research and engagement focused on reducing vulnerability and risk through the use of climate knowledge and information. Today, CSI continues to work with partners to enhance community and national resilience in the face of climatic changes, through research and engagement activities designed to connect innovative science directly to complex and dynamic preparedness, adaptation and resilience challenges. Programs managed by CSI are a key component of NOAA’s cutting-edge research enterprise, which has evolved over time to include the private sector, NGOs, interdisciplinary teams and the social sciences at large.

Moving forward, the CSI Division is reorganizing to include the new Adaptation Science Program as well as continuing to support the RISA Program, in order to streamline, expand and build upon past investments, and address cutting-edge topics in adaptation science - a critical cornerstone to a more resilient future.

The RISA Program

The RISA program supports the development of knowledge, expertise, and abilities of decision-makers to plan and prepare for climate variability and change. Through regionally-focused and interdisciplinary research and engagement teams, RISA builds and expands the Nation's capacity to adapt and become resilient to extreme weather events and climate change. RISA teams accomplish this through co-developed applied research and partnerships with public and private communities. A central tenet of the RISA program is that learning about climate adaptation and resilience is facilitated by and sustained across a wide range of experts, practitioners, and the public. As such, the RISA program supports a network of people, prioritizing wide participation in learning by doing, learning through adapting, and managing risk with uncertain information. Early decades of the program focused on understanding the use of climate information at regional scales (e.g., through experimental seasonal outlooks), improving predictions and scenarios, building capacity for drought early warning, and advancing the science of climate impact assessments. More recently, emphasis has shifted to address the growing urgency to advance approaches that tackle the complex societal issues surrounding adaptation planning, implementation, and building community resilience. To do so, RISA continues to prioritize collaborative approaches that incorporate

Notice of Federal Funding Page 5 of 30 multiple knowledge sources and integrate social, physical, and natural science, resulting in long-term support of and increased capacity for communities. As the adaptation community in the United States advances and evolves, RISA seeks to support new creative, solution-oriented approaches that are both responsive to communities and that integrate across silos of scientific knowledge and expertise. Central to achieving the RISA mission are:

- Regional Relevance, Local Expertise

- Integrated Scientific Approaches

- Knowledge-to-Action Partnerships

- A National Network of Resilience Researchers and Adaptation Science Specialists

The RISA program encourages applicants and awardees to support the principles of justice, equity, diversity, and inclusion when writing their proposals and performing their work.

Ensuring justice and equity means paying particular attention to the most vulnerable populations, which are often low-income, those already overburdened by pollution, those who lack economic or social opportunity, and people facing disenfranchisement. Diversity here is defined as a collection of individual attributes that together help organizations achieve objectives. Inclusion is defined as a culture that connects each person to the larger organizing structure. Promoting justice, equity, diversity, and inclusion improves the creativity, productivity, and vitality of the communities in which the program engages.

B. Program Priorities

Through this announcement, the RISA program is seeking applications for two competitions in FY 2021. Prior to submitting applications, investigators are highly encouraged to learn more about the RISA program at cpo.noaa.gov/RISA. For more information, see the Information Sheet at https://cpo.noaa.gov/Grants

The two competitions covered by this announcement are as follows:

1. Regional RISA Teams competition for the Northeast, MidAtlantic, Intermountain West, Carolinas, Great Lakes, Alaska, Pacific Islands, South Central, and Pacific Northwest We are accepting team applications focused on the regions currently covered by the RISA Network. A maximum of one RISA team will be funded per region. The regions listed below, and their states, are guidelines, i.e., they are not prescriptive determinations for potential RISA coverage. Applicants are permitted to go beyond the states listed below within a region if there is justification for determining alternative boundaries. Please see the corresponding information sheet for details on how to determine regional coverage. The following are the nine regions being competed:

1. Northeast: New York, New Jersey, Connecticut,, Massachusetts, Rhode Island

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2. MidAtlantic: Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, West Virginia

3. Intermountain West: Colorado, Utah, Wyoming

4. Carolinas: North Carolina, South Carolina 5.Great Lakes: Illinois, Michigan, Wisconsin, Indiana, Ohio

6. Alaska

7. Pacific Islands: Hawaii and U.S. affiliated Pacific islands and territories

8. South Central: Texas, Oklahoma, Arkansas, Louisiana

9. Pacific Northwest: Washington, Oregon, Idaho

Applicants applying to Competition 1 for a regional RISA team are also eligible to apply for one or both of the following optional supplements as additional components to their proposal. NOTE: supplements will only be awarded to teams that are successful in the core work of Competition 1- Regional RISA Teams.

1. Sustained Assessment Specialist Supplement

2. Small-Grants Competition Supplement

In competition 1, the RISA program is soliciting applications to support up to one full RISA team to conduct research and engagement in each of the nine regions mentioned above.

Proposals should focus on multiple societal issues relevant to that region, and develop a set of interconnected projects related to these issues. Climate variability and change will havehas implications for a myriad of complex management, planning and policy decisions in a region. Applicants should identify the most important climate-sensitive issues and management challenges for their region., This can be informed by local, state and regional assessments, published literature and stakeholder documents, perspectives of key stakeholders and relevant partners in the region, among other sources and methods. Special consideration should be given to those communities or stakeholders in the regions for whom there is currently less direct engagement with climate information science and service providers/entities and/or for whom social and economic vulnerability to climate variability/change impacts is high.

Areas of focus for a RISA team should be guided by collaborative engagements and iterative assessment of opportunities and needs between RISA team members and regional stakeholders. Applicants should consider a diversity of projects where some might meet the need for more actionable climate information, while others might benefit from increased awareness-building and outreach, improved methods for adaptive management (including evaluation), or better understanding of relevant decision making processes. Projects might include some areas of focus that are relevant across multiple regions and contexts and have potential for scalability. Examples include, the implications of climate variability and change on the interconnectedness between water management, agriculture, transportation, and public

Notice of Federal Funding Page 7 of 30 lands; competing needs across vulnerable sectors and scales; flood risk management and planning in the context of population shifts, infrastructure development or renewal, and land use planning. Additionally, dialogue between researchers and decision makers provides an ideal setting for areas of focus in which social scientists and outreach experts study and evaluate the role of science and boundary organizations in supporting decisions. RISA teams are expected to include evaluation of their efforts in the region (e.g., the impact of the RISA on decision making in the region as well as the influence of stakeholder input on the team’s science agenda). Teams should consider evaluation questions and methods as part of their research agenda. For example, how well is the team conducting stakeholder engagement, developing knowledge that advances adaptation outcomes, and reflecting on that process?

For each region, it is important for applicants to consider how they might engage with additional local, state and regional scale partners working in the climate adaptation and resilience space, including other regional networks where applicable. Collaborative relationships in the region might include universities, local government entities, regional NOAA entities, existing climate networks such as the Regional Climate Centers, Climate Adaptation Science Centers, and USDA Climate Hubs, non-profit organizations, and other groups involved in climate preparedness, adaptation and mitigation efforts. While distinguishing RISA efforts from those of other NOAA and non-NOAA regional networks is important, applicants are encouraged to consider where they could partner with these, and other, networks to achieve shared outcomes, and how the work of a RISA would benefit from these interactions.

RISA teams maintain diverse structures for program leadership and management. This diversity is critical for maintaining healthy relationships between multiple institutions, leveraging scientific capabilities within regions, and learning new ways to develop science in support of society. In developing a RISA program, it is important to consider how the team and activities will be managed. It is critical for RISA teams to have staff (often Program Managers) who facilitate and manage team integration. Details about how Program Managers will manage advisory structures, engagement, integration across the project portfolio, and coordination with other entities should be included in the proposal.

Where relevant and responsive to the needs of regional stakeholders, RISA activities might address one or more of the following four climate-related risk areas being emphasized by the Climate Program Office: Extreme Heat, Coastal Inundation, Water Resources, and Marine Ecosystems. You can learn more about the risk areas here, https://cpo.noaa.gov/News/ArtMID/7875/ArticleID/1945/NOAA%E2%80%99s-Climate- Program-Office-launches-Climate-Risk-Areas-Initiative. It is not anticipated that a proposed RISA would work solely in these topic areas nor need to cover multiple areas. RISA team

Notice of Federal Funding Page 8 of 30 priorities should be determined, and will be evaluated, based on the unique contexts and stakeholder needs of their respective regions.

RISA team awards are expected to last up to five years for core work.

Sustained Assessment Specialist Supplement:

As an optional complementary component to the core RISA work, NOAA will support up to one sustained assessment specialist per region to work with successful RISA teams on regional climate assessment activities, as well as connect regional knowledge and networks with National Climate Assessment (NCA) efforts. The specialist will help improve assessment activities in their regions and they will act as a key link between the region’s climate scientists and practitioners, the U.S. Global Change Research Program (USGCRP)--the interagency consortium responsible for the NCA, and NOAA. The RISA program anticipates funding no more than three sustained assessment specialists for the regions of the network being competed in FY21. See corresponding information sheet for additional information.

Sustained Assessment Specialist Supplements are expected to last up to five years.

Small-Grants Competition Supplement:

As an optional complementary component to the core RISA work, NOAA will support teams who wish to conduct a small grants competition within the scope of their five-year award. The purpose of this supplement is to better connect RISA climate expertise with that of local community organizations whose mission and proven expertise engages, empowers, and serves under-resourced and vulnerable communities to improve the well-being of their populations, with the ultimate goal of jointly advancing adaptation planning and building resilience in the places of most need. While it is anticipated that the funding would go to community organizations, the competition should outline a collaborative model with a clear role for RISA in the proposed activities, including interaction with and leveraging of RISA climate information and expertise.

Small-Grant Competitions Supplements should last 1-2 years, and can be carried out at any point throughout the five-year award period.

2. Collaborative Planning Activities for the Southeast and U.S. Caribbean

The RISA program is accepting applications for one-year awards to conduct multi-stakeholder workshops or other innovative planning activities to identify and examine issues of regional importance within the Southeast and the U.S. Caribbean, related to social and

Notice of Federal Funding Page 9 of 30 economic dimensions of climate variability and change. For the purposes of this competition, the Southeast includes Florida, Georgia, Mississippi, Alabama and Tennessee and the Caribbean includes Puerto Rico and the U.S. Virgin Islands.

The goal of this competition is to support new RISA engagement activities related to resilience and adaptive capacity in the Southeast and Caribbean regions of the United States where RISA teams do not currently operate. These activities support preliminary trust-building activities between partners and scoping activities for future collaboration. Proposals must reflect RISA program objectives and priorities and focus on issues that are relevant across the targeted region. Activities should accomplish this by 1) developing new collaborative relationships within the region (that might include universities, local government entities, regional NOAA entities, existing climate networks such as the Regional Climate Centers, Climate Adaptation Science Centers, and USDA Climate Hubs, non-profit organizations, and other groups involved in climate preparedness, adaptation and mitigation efforts); and 2) co-developing community-relevant research questions and identifying research needs, methodological approaches, and/or potential user application.

Proposals must focus on topics related to the social and economic dimensions of climate variability and change and can include but are not limited to: disaster management; hazard mitigation planning; local economic well-being; cascading and/or complex disaster impacts on communities, which can include COVID-19 impacts; housing and transportation planning, policies, implementation; challenges and opportunities for adaptation implementation; extreme precipitation impacts; food systems; manufacturing, business, and commercial disruption; water resources including stormwater and/or floodplain management; coastal inundation; heat health; and mental and physical health. Proposals are strongly encouraged to consider the following: issues within and around rural communities and small to medium sized cities, and issues of justice, equity, diversity, and inclusion.

Awardees are expected to produce a white paper, to be made public and to be submitted to the RISA program, which scopes the issue/s explored in the planning activities and highlights regional needs and adaptation challenges and opportunities.

C. Program Authority

49 U.S.C. 44720(b), 15 U.S.C. 2904, 15 U.S.C. 2931-2934

II. Award Information

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A. Funding Availability

1. Proposals being solicited for a RISA team award, should be in the $600,000 - $700,000/year range for core RISA work. For proposals including a sustained assessment specialist Supplement, applicants can propose an additional $100,000-$135,000/year for accompanying sustained assessment specialists components. For proposals including a small-grants competition supplement, applicants can propose up to an additional $160,000 total to support the competition.

2. For proposals being solicited for collaborative planning activities for the Southeast and U.S. Caribbean, awards will be at a funding level of up to $100,000 total per award for projects up to one year in duration.

B. Project/Award Period

Competition 1- Regional RISA Teams are expected to last for 5 years Sustained Assessment Specialist Supplements are expected to last for 5years.

Small-Grant Competitions Supplements are expected to last 1-2 years, and can be carried out at any point throughout the five-year award period.

Competition 2- Collaborative Planning Activities for the Southeast and U.S. Caribbean are expected to last 1 year.

C. Type of Funding Instrument

The funding instrument for awards will be a cooperative agreement. It is anticipated that RISA program managers will be substantially involved in the implementation of the project.

Examples of substantial involvement may include, but are not limited to, collaboration with Federal scientists and the participation of detailed Federal personnel to work on proposed projects, frequent communication on findings and progress between RISA teams and RISA program managers, yearly progress reports per the RISA template and metrics, submissions to the RISA project database, participation of RISA investigators in RISA cross-network meetings, workshops, and monthly calls. Funding for contractual arrangements for services and products for delivery to NOAA is not available under this announcement.

If the applicant is at an institution that has a NOAA Cooperative Institute (CI), the applicant is encouraged to submit a proposal that references the CI by attaching a cover letter to the proposal stating the desire to have the grant associated with the CI.

III. Eligibility Information

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A. Eligible Applicants

Eligible applicants are institutions of higher education, other nonprofits, commercial organizations, international organizations, and state, local and Indian tribal governments.

Federal agencies or institutions are not eligible to receive Federal assistance under this notice.

B. Cost Sharing or Matching Requirement

All CPO programs have no cost sharing or matching requirements.

C. Other Criteria that Affect Eligibility

None.

IV. Application and Submission Information

A. Address to Request Application Package

Application packages are at grants.gov. For applicants without Internet access, please contact the CPO Grants Manager Diane Brown by mail at NOAA Climate Program Office (R/CP1), SSMC3, Room 12734, 1315 East-West Highway, Silver Spring, MD 20910 to obtain an Application Package.

B. Content and Form of Application

1. Letter of Intent (LOI) The purpose of the LOI process is to provide information to potential applicants on the relevance of their proposed project to the competition in advance of preparing a full application. Full applications will be encouraged only for LOIs deemed relevant. Applicants who have not been encouraged may still submit a full application. While LOIs are strongly encouraged, applicants are not required to submit them and may submit a full application even if they have not submitted an LOI.

LOIs should be submitted by email to oar.cpo.risa@noaa.gov by the deadline specified in section IV.C below. The LOI should provide a concise description of the proposed work and a statement regarding its relevance to the targeted competition. The LOI should be no more than two pages in length and should include the items listed below. If these items are not included or the LOI is submitted late, the LOI may not be considered:

•Competition Name •A tentative project title.

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•Name(s) and institution(s) of the Lead Principal Investigator(s) and other Principal Investigator(s).

•Statement of the regional climate issue/s to be addressed •Geographic Coverage •Brief summary of work to be completed, methodologies to be used •Potential partners •Approximate cost of the project.

•Relevance to the Competition that is being targeted.

A response to the LOI from the Competition Manager (e-mail or letter) will be sent to the investigator within four weeks after the LOI’s due date encouraging or discouraging a full application based on its relevance to the targeted competition. It is then entirely up to the investigator whether to submit a full application.

Full Application Failure to comply with these provisions will result in applications being returned without review.

All proposals must be single spaced, written in plain language, using 12-point font type with one-inch margins on standard 8.5 by 11 inch paper. Proposals must include the following components:

•Title Page •Abstract •Results from Prior Research •Project Narrative/Statement of Work •Associated Figures •References •Statement of Diversity and Inclusion.

•Letter of Institutional Commitment •Budget Narrative •Budget Table •Indirect Costs •Vitae •Current and Pending support •Data/Information Sharing Plan

•DUNS

The full proposal and Indirect Cost Rate Agreement (IDCRA) should be put into one electronic file. The budget table/justification should be submitted in a file labeled budget

Notice of Federal Funding Page 13 of 30 narrative. The Federal Forms (SF424, SF424A, SF424B, CD511) and other mandated forms should be inserted in separate files when submitted and are not included in the page count.

The following forms and elements are required in each application.

(1) Title page (one page): The title page shall identify the Principal Investigator(s) (PI) and institutional representative and clearly indicate which Competition is being addressed by name and Competition number. The title page should also include all co-PIs from Federal Institutions. If more than one investigator is listed on the title page, please identify the lead investigator. The lead PI and institutional representative should be identified by: full name, title, organization, telephone number, email, and address. For paper submissions, the lead PI and the institutional representative must sign the title page. The total amount of Federal funds being requested should be listed for each budget period.

(2) Abstract (one page): The abstract must be included and should contain the project title, an introduction to the problem, rationale, and a brief summary of the work to be completed.

Abstracts must identify the name of the Competition that is being targeted and must also include a paragraph describing the work’s broader impacts and relevance to the Competition that is being targeted.

(3) Results from prior research (two pages): The results of each prior research project led by the Principal Investigator(s) only during the last three years relevant to the proposed effort should be summarized in brief paragraphs. Because NOAA believes it is important that data sets developed with its support should be shared with the scientific community, PIs should also indicate how and when they have made their data accessible and usable by the community in the past.

(4) Project Narrative/Statement of Work: The statement of work for Competition 1- Regional RISA Teams is limited to 25 pages, excluding references and figures. An additional optional three pages for the sustained assessment specialist supplement and three pages for the small grants competition supplement are allowed in addition to the 25 page limit. The statement of work for Competition 2- Collaborative Planning Activities, should be no more than 10 pages, excluding references and figures. The proposed project must be completely described, this includes:

1. Identification of the problem. Describe the major climate risks and related adaptation challenges in the region, this should include a justification for its regional relevance. Explain the overarching and integrated approach the RISA team or planning activity is taking to understand and/or address the identified problem.

2. Description of the proposed project(s). Include the goals and objectives for each

Notice of Federal Funding Page 14 of 30 project, their proposed methodology, engagement strategies, and their relevance to the RISA program goals.

3. Expected Outcomes of the proposed project(s). Describe the scientific contribution or advancement that each project will enable. How is this project moving science forward?

What are the short-term outcomes of this work?

4. Societal benefits of the proposed project(s). Describe how this work will contribute to the wellbeing of society and/or ecosystems. Include expected benefits to communities, students or early career professionals, regional resilience, and economic development.

5. Institutional Commitment- Describe the ways in which the hosting institution(s) will engage with the RISA and its products.

•Sustained Assessment Specialist Supplement If applying for the optional Sustained Assessment Specialist Supplement, statements of work for the should include the main activities of the specialist, proposed coordination with the NCA (note: it is anticipated that specialists will connect with USGCRP staff through periodic meetings, of quarterly frequency or less), and a description of how the sustained assessment specialist will enhance the regional work of the RISA.

•Small-Grants Competition Supplement If applying for the optional Small- Grants Competition Supplement, statements of work should include a description of the proposed competition including: the sector or climate issue the competition will focus on, the types of communities or organizations serving under-resourced and vulnerable communities you plan to target and why, goals and objectives of the competition for enhancing capacity for resilience and adaptation within the region, plans for outreach, anticipated metrics for evaluation and selection of proposals, and plans for evaluating the success of the competition. It is expected that funding from the small- grants competition will go to community organizations serving under- resourced communities.

(5) Statement of Diversity and Inclusion (two pages):

The RISA Program recognizes that it has a particular and unique opportunity to support NOAA’s commitment to diversity and inclusion and support the principles of equity and justice in the practice of science by encouraging program applicants to consider the application of these values in their projects. This action has the potential to make an impact on not only the science at NOAA, but also beyond the agency, in the communities NOAA serves. Practitioners of science may often find themselves informing or influencing decisions that, by definition, hold power. In this section, applicants should consider the role of the applicant in promoting equity, diversity, inclusion and justice in order to maximize transparency, accountability, and follow-through with stakeholders and research participants.

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Applicants should consider the following when addressing team composition, focus areas, geographies, and approaches employed in the proposed work.

1. The vulnerabilities and disproportionate impacts of climate change on economically disadvantaged communities, tribal communities, and minority communities.

2. Communities, towns or neighborhoods under resourced and underserved by technical, financial, and/or human resources (e.g. communities too small to qualify for FEMA grants) to address climate risks and vulnerabilities.

3. The role of researchers and practitioners in carrying out work in ways that acknowledge existing legacies of social and environmental inequities, and where possible support actions that help address these.

4. The representation of regional diversity in team structure, composition and networks.

5. Team contributions to a diverse, next-generation, climate adaptation workforce, through training, mentorship, education, and other means and by engaging with students and early career professionals.

In this section, describe how well the proposed activity broadens the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.), considers injustices and removes barriers related to climate impacts, resilience, and adaptation, and creates the conditions needed for all individuals and systems to adapt to change. Examples could include, but are not limited to, full participation of women, persons with disabilities, and underrepresented minorities in science, technology, engineering, and mathematics (STEM). Include goals and metrics for assessing success of diversity and inclusion efforts, including specific partners, relationship development, student and professional staff retention, and plans for adaptive management.

(6) Letter of Institutional Commitment Include a letter describing how the host institutions are committed to RISA team efforts. The letter should describe anticipated benefits of hosting or participating in the RISA team, potential for longevity of the work after the award, and any plans for the institution to work with center products as a regional collaborator.

Any additional letters of support should be submitted as part of the full application and are not included in the page limit for the proposals.

(7) Budget Table and Narrative:

Budget Table: An itemized budget for all years and a total itemized budget must be included as a separate spreadsheet that breaks down the budget per object class category. Travel must be itemized to include destination, airfare, per diem, lodging, and ground travel.

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Budget Narrative: A brief description of the expenses listed on the budget table and how they address the proposed work must be included. Item justifications must include salaries, equipment, publications, supplies, tuition, travel, etc. Investigators who will not be requesting funds for salaries must also be listed, indicating their estimated time of commitment. Purchases of equipment greater than $5000 must include a purchase versus lease justification.

A separate budget narrative should be included in the application for RISA team award proposals that are competing for the sustained assessment and small-grant supplements.

(8) Federal Budget Forms: Budget numbers corresponding with the descriptions contained in the statement of work and budget table must be included. In addition to including the total budget on the SF424, the application must include the total budget and budgets for individual years (if multiple years awards are relevant to the competition) in separate columns in Section B on page 1 on the SF424A. (Note that this revised 424A Section B format is a NOAA requirement that is not reflected in the Instructions for the SF 424A). For RISA team awards, please follow the following instructions when filling out budget forms:

please submit two SF424A forms, one for years 1-4 and the second for year 5 and the budget total. This is necessary because the NOAA budget forms are designed for 4 years or less.

Note that all Federal forms (SF424, SF424A, SF424B, CD511) and other mandated forms are not part of the required page limit. If applying for Competition 1 Supplements, please include the costs in the total budget.

(9) Indirect Costs: A copy of the institution’s current Indirect Cost Rate Agreement (IDCRA) must be included. The IDCRA does not, however, count as part of the required page limit. To obtain an indirect cost rate if your institution does not already have one, a grantee must submit an indirect cost proposal to its cognizant agency and negotiate an indirect cost agreement. If an applicant has not previously (ever) established an indirect cost rate with a Federal agency they may choose to negotiate a rate with the Department of Commerce or use the de minimis indirect cost rate of 10% of MTDC (as allowable under 2C.F.R. 200.414). This document is not part of the page limit.

(10) Vitae: curriculum vitae of no more than two pages each are requested with each application for lead Principal Investigators and Co-Principal Investigators. Reference lists should be limited to all publications in the last three years with up to five other relevant papers. For RISA team award applications, CVs of no more than two pages should be provided for all core staff and investigators included on the team in addition to lead Principal Investigators.

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(11) Current and pending support: For each lead Principal Investigator and Co-Principal Investigator(s), submit a list of all current and pending Federal support that includes project title, supporting agency with grant number, investigator months per year, dollar value, and duration. Requested values should be listed for pending support.

(12) Data/Information Sharing Plan (two pages):

Proposals submitted in response to this announcement must include a data management plan.

See section VI.B Administrative and National Policy requirements below for additional information of what the plan should contain.

(13) DUNS Number: All applications must have a DUNS (Dun and Bradstreet Data Universal Numbering System) number when applying for federal grants. No application is deemed complete without the DUNS number, and only the Office of Management and Budget (OMB) may grant exceptions.

(14) NATIONAL ENVIRONMENTAL POLICY ACT (NEPA). This announcement does not require any NEPA questions to be answered as part of the application.

NOAA must analyze the potential environmental impacts, as required by the National Environmental Policy Act (NEPA), for applicant projects or proposals which are seeking NOAA federal funding opportunities. Detailed information on NOAA compliance with NEPA can be found at the following NOAA NEPA website: http://www.nepa.noaa.gov/ , including our NOAA Administrative Order 216-6 for NEPA, http://www.nepa.noaa.gov/NAO216_6.pdf , and the Council on Environmental Quality implementation regulations, ttp://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf .

Consequently, as part of an applicant's package, and under their description of their program activities, applicants are required to provide detailed information on the activities to be conducted, locations, sites, species and habitat to be affected, possible construction activities, and any environmental concerns that may exist (e.g., the use and disposal of hazardous or toxic chemicals, introduction of non- indigenous species, impacts to endangered and threatened species, aquaculture projects, and impacts to coral reef systems). In addition to providing specific information that will serve as the basis for any required impact analyses, applicants may also be requested to assist NOAA in drafting an environmental assessment, if NOAA determines an assessment is required. Applicants will also be required to cooperate with NOAA in identifying feasible measures to reduce or avoid any identified adverse environmental impacts of their proposal. Failure to do so shall be grounds for not selecting an application. In some cases if additional information is required after an application is

Notice of Federal Funding Page 18 of 30 selected, funds can be withheld by the Grants Officer under a special award condition requiring the recipient to submit additional environmental compliance information sufficient to enable NOAA to make an assessment on any impacts that a project may have on the environment.

C. Unique Entity Identifier and System for Award Management (SAM)

In order to submit an application through Grants.gov, an applicant must register for a Grants.gov user ID and password. Note that this process can take between three to five business days or as long as four weeks if all steps are not completed correctly. To avoid delays, applicants are strongly encouraged to start early and not wait until the approaching application deadline before registering, logging in, reviewing the application instructions, and applying. Information about the Grants.gov registration process for organizations can be found at https://grants.gov/applicants/organization_registration.jsp.

Please note that organizations already registered with Grants.gov do not need to re-register;

however, all registered organizations must keep their Grants.gov password and SAM database (which now incorporates CCR) registration up-to-date or their applications will not be accepted by Grants.gov. Note that your CCR username will not work in SAM. You must create a new SAM user account to renew or update your registration. Registration on SAM is a requirement. To obtain additional information and to verify that all required registrations are current, please visit www.sam.gov/portal/public/SAM.

If you experience a Grants.gov systems issue (technical problems or glitches with the Grants.gov website) that you believe threatens your ability to complete a submission before the application deadline, please do all of the following:

•Print any error message received •Call the Grants.gov Contact Center at 1-800-518-4726 for immediate assistance •Contact NOAA using the contact information in section VIII. of this NOFO prior to the close of the competition •Ensure that you obtain a case number regarding your communications with Grants.gov

In the event of a confirmed systems issue, NOAA reserves the right to accept an application in an alternate format prior to the application deadline. Problems with an applicant organization’s computer system or equipment are not considered systems issues. Similarly, an applicant’s failure to do the following are not considered systems issues:

•Complete the required registration •Ensure that a registered Authorized Organization Representative (AOR) submits the application •Read an email message with guidance from Grants.gov

Notice of Federal Funding Page 19 of 30

D. Submission Dates and Times

Letters of intent (LOIs) for all competitions should be received by email by 5:00 p.m.

Eastern Time on December 9, 2020.

Full Applications: Full applications for Competition 2 must be received by 5:00 p.m. Eastern Time, February 8, 2021. Full applications for Competition 1 must be received by 5:00 p.m.

Eastern Time, February 16, 2021.

E. Intergovernmental Review

Applications under this program are not subject to Executive Order 12372, Intergovernmental Review of Federal Programs.

F. Funding Restrictions

Fees and profits are disallowed.

G. Other Submission Requirements

All applications should be submitted through grants.gov. If an applicant does not have Internet access, CPO Grants Manager Diane Brown should be contacted by mail at NOAA Climate Program Office (R/CP1), SSMC3, Room 12734, 1315 East-West Highway, Silver Spring, MD 20910 for hard copy submission instructions.

Faxed or emailed copies of applications will not be accepted.

V. Application Review Information

A. Evaluation Criteria

1. Importance/Relevance and Applicability of Application to the Program Goals This criterion ascertains whether there is intrinsic value in the proposed work and relevance to RISA, our partners and decision makers across any of the following levels: federal, tribal, regional, state, or local. This includes: 1) importance and relevance to the priorities of the Competition the proposed work is applying to; 2) the regional significance of the project; 3) the PI’s record of making their data accessible and useable by the scientific community in the past, and the procedures described in Section IV.B(5) Data/Information Sharing Plan; 4) the applicant’s approach for engaging with decision makers and building networks of relationships to help support decision makers with scientific information, and 5) the

Notice of Federal Funding Page 20 of 30 institutions’ commitment for hosting the RISA.

This criterion also includes an assessment of the Diversity and Inclusion components of the proposed project. This includes how the proposals have incorporated inclusion, diversity, equity and justice into their research team, research projects, methods, engagement process, and expected benefits. This should also include the regional significance of the approach, the process for identifying and broadening participation of underrepresented groups, and the projects’ consideration of inequalities and barriers related to climate impacts, resilience, and adaptation in vulnerable communities. Finally, approaches to ensuring transparency, developing metrics of success, and designing evaluation plans for inclusion, diversity, equity and justice will be considered.

2. Technical/Scientific Merit This criterion assesses whether the approach is technically sound and/or innovative, if the methods are appropriate, and whether the goals of the Competition will be realized through clear project goals and objectives. This also includes an assessment of how projects are integrated across the RISA for a unified approach, approach to interdisciplinary science, inclusion of social scientific projects, plans for moving the scientific results into actionable and implementable products, and an approach for evaluating the societal/regional impact of the RISA team’s activities. The above stated merit score will also include the applicant’s approach to capacity-building and proposed methods for engagement with stakeholders and decision-makers.

3. Overall Qualifications of Applicants This criterion assesses whether the applicant team possesses the necessary education, experience, training, facilities, and/or administrative resources to accomplish the project. The above stated qualifications score will also include the PIs’ record of collaborating with decision-making communities.

4. Project Costs This criterion evaluates the budget to determine if it is realistic and commensurate with the project needs and time frame.

Evaluation criteria for the supplemental options for Competition 1 are as follows:

Sustained Assessment Supplement:

1. Importance/Relevance and Applicability of Application to the Program Goals This criterion ascertains whether there is intrinsic value in the proposed work and relevance

Notice of Federal Funding Page 21 of 30 to RISA, our partners and decision makers across any of the following levels: federal, tribal, regional, state, or local. This includes: 1) Potential of the proposed sustained assessment supplement to reach and/or include communities that have not traditionally been involved in regional or national assessment work, and 2) Ability of the proposed position to effectively connect with cross regional and/or national assessment networks…