NOAA-OAR-CIPO-2021-2006680 NOFO Report (3).pdf

Proposed Cooperative Institute to support NOAA Marine Research and Ecosystem Management

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 10 B. Project/Award Period 10 C. Type of Funding Instrument 10

III. Eligibility Information 10 A. Eligible Applicants 10 B. Cost Sharing or Matching Requirement 10 C. Other Criteria that Affect Eligibility 11

IV. Application and Submission Information 11 A. Address to Request Application Package 11 B. Content and Form of Application 11 C. Unique Entity Identifier and System for Award Management (SAM) 15 D. Submission Dates and Times 15 E. Intergovernmental Review 16 F. Funding Restrictions 16 G. Other Submission Requirements 16

V. Application Review Information 17 A. Evaluation Criteria 17 B. Review and Selection Process 18 C. Selection Factors 18 D. Anticipated Announcement and Award Dates 19

VI. Award Administration Information 19 A. Award Notices 19 B. Administrative and National Policy Requirements 20 C. Reporting 25

VII. Agency Contacts 26 VIII. Other Information 26

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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: Proposed Cooperative Institute to support NOAA Marine Research and Ecosystem Management

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-CIPO-2021-2006680

Catalog of Federal Domestic Assistance (CFDA) Number: 11.432, NOAA Cooperative Institutes

Dates: Applications must be received by OAR no later than 60 days from the posting date by 5:00 p.m. EDT. For applications submitted via Grants.gov, a date and time receipt indication will form the basis for determining timeliness. For those applicants not having access to the Internet, one signed original and two hard copy applications must be received by OAR at the following address:

NOAA/OAR, Attn: Competition Manager Sandra Byers, 1315 East-West Highway, Room 11340, Silver Spring, Maryland 20910. Use of U.S. mail or another delivery service must be documented with a receipt. (Note that late-arriving hardcopy applications provided to a delivery service on or before 5:00 p.m. EDT on the closing date for applications will be accepted for review if the applicant is able to document that the application was provided to the guaranteed delivery service by the specified closing date and time and if the application is received by OAR no later than 5:00 p.m., EDT, two business days following the closing date.) No facsimile or electronic mail applications will be accepted. Applications submitted after 60 days from the posting date will not be reviewed or considered for funding.

Funding Opportunity Description: The important, collaborative research at the proposed CI described in this prospectus will be conducted closely with scientists at NOAA Pacific Marine Environmental Laboratory (PMEL), Alaska Fisheries Science Center (AFSC), Northwest Fisheries Science Center (NWFSC), Office of National Marine Sanctuaries (ONMS) and other NOAA offices to support NOAA’s strategic goals and missions in the areas of marine resource management, maintaining sustainable and resilient communities in coastal regions, fisheries assessments, sea floor process and marine acoustic research and mission support for these and other areas of marine research, with a focus on the US West Coast. In some projects, the CI may collaborate with other CIs and NOAA-funded programs supporting work along the West Coast, Notice of Federal Funding Page 2 of 27 such as activities at Sea Grant Colleges, when it is important to consider research across the entire California Current Large Marine Ecosystems (LME). Such collaborations will include discussions with the relevant NOAA offices that are supporting specific research projects to ensure that such an arrangement would be advantageous to the research topic.

In broad strokes, the CI will help us observe, characterize, and predict marine ecosystem, oceanographic and climatic conditions as well as to provide information to better manage these systems.

A primary focus of this CI is marine ecosystem research, conservation, and management, in support of the sustainable use and stewardship of ocean and coastal resources. To this end, the CI will provide capabilities and collaborations to develop and apply new tools and approaches for monitoring ecosystem health and forecasting ecosystem change and human responses to change. This will include, but is not limited to research focused on: improved assessments and evaluation of fisheries management strategies and actions; evaluating the impact of human activities on marine habitats and ecosystems, including characterization of those habitats and ecosystems; aquaculture techniques, impacts and safety; and social science investigations relevant for the sustainability of coastal and marine communities, both natural and human. It also includes the capacity to investigate hydrothermal vent systems, their associated micro- and macro-fauna, and their impacts and contributions to marine nutrient cycling, and physical and chemical characteristics. A full range of tools, from genetic and genomic techniques to acoustics and autonomous vehicles should be used in investigating these areas.

In support of NOAA’s vision of reducing societal impacts from severe weather and other environmental phenomena, the CI will contribute to a variety of research areas. Specific research areas encompass evaluating the impacts of marine heat waves, hypoxia, and ocean acidification on LMRs, as well as the conditions leading to those severe events and understanding seafloor processes that affect phenomena such as marine earthquakes, volcanic eruptions, and tsunamis.

This CI will contribute to NOAA’s robust and effective research, development, and transition enterprise in several areas. In the area of mission support, these include providing engineering and data science development and applications and enhancing the fleet of vessels -- both crewed and autonomous -- available for NOAA research. Perhaps most importantly, this CI will provide access to scholars and researchers in a wide range of areas of inquiry, including traditional humanities fields as well as the sciences. These scholars will support the integrated research that NOAA hopes to pursue in the future, including but not limited to hydrodynamic modeling, seafloor processes, and ocean and coastal dynamics.

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The research activities described herein have been carefully defined to complement, rather than duplicate, research at other CIs, except in cases where there are advantages for such overlap. The CI may consist of one or more (e.g., a consortium) academic or non-profit, degree-granting institutions that possess an outstanding research program in one or more areas related to NOAA’s mission. The CI is strongly encouraged to work in conjunction with a range of supporting research affiliates, including, but not limited to other governmental agencies; private industry; non-traditional partners; and NOAA laboratories, and science and data centers; other CIs and Cooperative Science Centers (CSCs); and Sea Grant Colleges.

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The purpose of this announcement is to invite the submission of proposals to establish a Cooperative Institute to Support NOAA Research Facilities in Marine Research and Ecosystem Management and to provide details on the application, review, and selection process.

CI Concept/Program Background

A Cooperative Institute (CI) is a NOAA-supported, non-Federal organization that has established an outstanding research program in one or more areas that are relevant to the NOAA mission “to understand and predict changes in climate, weather, oceans, and coasts, to share that knowledge and information with others, and to conserve and manage coastal and marine ecosystems and resources.” CIs are established at research institutions with outstanding graduate degree programs in NOAA-related sciences. CIs provide significant coordination of resources among all non-government partners and promote the involvement of students and post-doctoral scientists in NOAA-funded research. NOAA establishes a new CI competitively when it identifies a need to sponsor a long-term (5-10 years) collaborative partnership with one or more outstanding non-Federal, non-profit research institutions. For NOAA, the purpose of this long-term collaborative partnership is to promote research, education, training, and outreach aligned with NOAA’s mission; to obtain research capabilities that do not exist internally; and/or to expand research capacity in NOAA-related sciences to:

* conduct collaborative, long-term research that involves NOAA scientists and those at the research institution(s) from one or more scientific disciplines of interest to NOAA;

* utilize the scientific, education, and outreach expertise at the research institution(s) that, depending on NOAA’s research needs, may or may not be located near a NOAA facility;

* support student participation in NOAA-related research studies; and

* strengthen or expand NOAA-related research capabilities and capacity at the research institution(s) that complements and contributes to NOAA’s ability to reach its mission goals.

A CI may be comprised of a single academic institution or a consortium of academic institutions, working in conjunction with supporting research affiliates, each of which demonstrates outstanding performance within one or more established research programs in NOAA-related sciences. CIs conduct research under approved administrative tasks, as described below. These tasks may not be redefined or abbreviated:

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* Task I activities are related to the management of the CI, as well as general education and outreach activities. This task also includes support of postdoctoral and visiting scientists conducting activities within the research themes of the CI that are approved by the CI Director, in consultation with NOAA, and are relevant to NOAA and the CI’s mission goals.

* Task II research activities usually involve on-going direct collaboration with NOAA scientists. This collaboration typically is fostered by the collocation of Federal and CI employees.

* Task III research activities require minimal collaboration with NOAA scientists and may include research funded by other NOAA competitive grant programs.

B. Program Priorities

Research Themes of Proposed Cooperative Institute for Marine Research and Ecosystem Management:

(1) Conservation, Protection and Restoration of Marine Resources - Research that leads to prototype development of technology, research tools, and scientific approaches to effective coastal and marine spatial planning, species recovery and habitat restoration. The research will include biogeographical characterizations that will enable improvements in defining, observing, forecasting, and managing components of marine areas and restoring habitats and managing the harvest of populations to form healthy productive ecosystems in the Pacific Northwest and Alaska. Research under this theme will cover a wide range of needs, such as improved spatial characterization, seafloor mapping and addressing problems from removing contaminants to providing new materials and techniques to protect underwater cultural resources. This theme also includes relevant biological, physical, and social sciences.

(2) Marine Ecosystems - Research under this theme will lead to improved forecasting of marine ecosystem conditions. This research includes ecosystem monitoring, modeling, characterizing, and forecasting marine ecosystem processes, conditions, and relationships, and conducting genetic, genomic, metagenomic and other-omic research to evaluate marine and aquatic communities and their responses to varying conditions. Work under this theme will make extensive use of current and past environmental, ecological and socio-economic data; large-scale environmental and ecological studies as well as focused process studies for understanding ecosystem functions and change, and model development, parameterization and verification and the prototype development of decision-support tools that enable improved regional ecosystem forecasting, ecosystem management and ecosystem policy decisions including promoting resilient coastal communities. Other areas of inquiry in this

Notice of Federal Funding Page 6 of 27 theme includes population modeling and viability, protection and restoration of marine resources, harmful algal bloom monitoring and modeling and evaluating the response of early life stages of key species to environmental conditions. Research under this theme will also identify and improve the understanding of causes and effects of climate variability and change, nutrient dynamics, acidification, hypoxia, parasites and pathogens and invasive species on ecosystems. Such work may also include the development and application ofArtificial Intelligence (AI) and Machine Learning (ML) techniques to more fully utilize large-scale oceanographic, genomic, and related data sets to address these questions. Efforts will likely be interdisciplinary in nature and involve the integration of physical, natural, and social sciences to evaluate the complexity of interactions between people and natural systems at the regional and local level.

(3) Ocean Acoustics -Research conducted under this theme will utilize acoustic facilities, technology, and remotely deployed equipment to understand the changing global ocean ambient soundscape and to identify and assess acoustic impacts from human activities and natural processes on the marine environment. One focus area will be in understanding the impacts of changing global ocean ambient sound environments on marine mammals by: (1) detecting their presence and identifying vocalizing species, (2) discovering and studying their migration patterns, (3) studying their responses to ocean environmental conditions, and

(4) applying AI/ML techniques to acoustic data to more fully use those data sets in service of these questions. Research within this theme will also assess the natural soundscapes in the oceans and use acoustic techniques for other relevant questions related to seafloor geophysical processes or dynamic polar sea-ice conditions due to climate change.

(4) Ocean, Coastal and Seafloor Processes - This theme will focus on the connections and processes that link the seafloor, the coasts, and the overlying ocean. It includes but is not limited to marine and coastal geology, marine volcanology, ocean impacts on coastal topography and resilience, contributions of geological and oceanic processes to local, regional and global nutrient, hydrodynamic modeling, gas and heat cycles, and the exploration of hydrothermal vents and methane seeps. It will also address the biological communities associated with these vents and seeps. Seafloor processes research will rely on CI technical and scientific expertise in the interpretation of seafloor imaging from deep-towed sidescan, optical sensors and cameras, and submersible and remotely controlled vehicles as well as from ship-based surveys and other technologies as appropriate.

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COOPERATIVE INSTITUTE CAPABILITIES

NOAA has a strong preference for a CI with a location that provides easy access to the Pacific Ocean’s coastal and deep water habitats along the western United States and that can support the Pacific Marine Operations Center (see also Section 4). For this CI, the coastal Pacific Northwest and other areas of the U.S. West Coast represent a critical research nexus for studying a range of seafloor processes, for monitoring natural and anthropogenic sources of ocean ambient sound, for sampling methane seeps along the continental shelf, and for maintaining critical long-term offshore hydrographic sampling lines. For NOAA to accomplish this breadth of high priority regional science requires a CI with access to global and regional class vessels and the critical port infrastructure needed to support them. In addition, NOAA strongly prefers a CI with suitable access to both the Ocean Observatories Initiative (OOI), and to the Department of Energy-funded marine renewable energy test facility for wave energy conversion (PacWave) or similar. Access to these facilities would support NOAA research on the acoustic impacts of these technologies on marine life.

The CI will enhance capabilities and more fully address agency priorities such as marine spatial planning, integrated ecosystem assessments, biodiversity, addressing social science questions including economics, and integrated observing systems including marine surveys.

Achieving NOAA’s ecosystem science goals involves a wide range of activities including ecosystem surveys, monitoring and assessment; fishery monitoring; life history studies and stock assessment; stock assessment of protected species; assessment and mitigation of bycatch and incidental mortality of bycatch including protected species; economic and social surveys; oceanographic surveys and habitat mapping; characterization of species-habitat relationships; analysis and modeling; forecasting; integration of social, ecological and biophysical data to evaluate management strategies and societal tradeoffs; and mitigation research. The science required to enable ecosystem-based management draws on numerous fields of expertise.

A critical component of the CIs’ efforts will be to promote undergraduate, graduate student and postdoctoral education to train the next generation of scientists, NOAA employees, and marine system researchers. A vibrant, interdisciplinary program of education and research at all these levels will be an imperative factor in the evaluation of this CI. The CI should provide support for graduate and undergraduate students and post-doctoral scientists and provide “hands-on” opportunities for the development of a wide range of expertise. NOAA can capitalize on this expertise, as CI employees and students will work with NOAA to conduct research and technology development that complements NOAA’s mission needs.

The Nation’s underrepresented minority students enrolled in undergraduate science, Notice of Federal Funding Page 8 of 27 technology, engineering, or mathematics (STEM) degree programs are an untapped talent pool. NOAA is committed to developing a future workforce that reflects the diversity of the Nation and encourages the CI to work with Minority Serving Institutions (MSIs) and NOAA Cooperative Science Centers (CSCs).

The MSI designation is determined by statute, with the U.S. Department of Education serving as the cognizant Federal education agency. The U.S. Department of Education provides the following MSI definitions:

(1) a part B institution (a historically Black college or university) [§322 of the HEA, 20 U.S.C. §1061(2)];

(2) a Hispanic-serving institution [§502 of the HEA, 20 U.S.C. §1101a(a)(5)];

(3) a Tribal College or University {§316 of the HEA, 20 U.S.C. §1059c(b)(3)];

(4) an Alaska Native-serving institution [§317(b) of the HEA, 20 USC 1509d(b)(2)] or a Native Hawaiian-serving institution [§317(b) of the HEA, 20 U.S.C. §1059d(b)(4)];

(5) a Predominantly Black Institution [§§318(b) and 371(c)(9) of the HEA; 20 U.S.C. §§ 1059e(b)(6) and 1067q(c)(9)];

(6) an Asian American and Native American Pacific Islander-serving institution [§§ 320(b) and 371(c)(2) of the HEA, 20 U.S.C. §§1059g(b)(2) and 1067q(c)(2)]; or

(7) a Native American-serving nontribal institution [§§319(b) and 371(c)(8) of the HEA; 20 U.S.C. §§ 1059f(b)(2) and 1067q(c)(8)].

COMPOSITION OF THE INSTITUTE

The proposed CI can be comprised of a single academic institution that offers accredited graduate level degree-granting programs in NOAA-related sciences or a consortium of academic institutions with the aforementioned programs and their supporting research affiliates. Each proposing entity must have strong programs in support of at least one of the identified research areas. The CI would be expected to develop and implement mechanisms to facilitate collaborative research, education, and outreach with NOAA (e.g., post-doctoral appointments, graduate research assistantships and research appointments).

DEMONSTRATED ABILITY TO SUPPORT NOAA’S LONG-TERM GOALS AND

RESEARCH FOCI

The CI will also help NOAA meet a number of critical research objectives identified in the Agency’s 20-year research vision, and the Weather Research and Forecasting Innovation Act, Pub.L. 115-25 (April 18, 2017)

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C. Program Authority

15 U.S.C. 1540; 118 Stat. 71 (January 23, 2004)

II. Award Information

A. Funding Availability

All funding is contingent upon the availability of Federal appropriations. NOAA anticipates that up to $7.4M will be available annually for this CI. The actual annual funding that the CI receives may be less than the anticipated amount and will depend on the actual projects that are approved by NOAA after the main CI award begins, the availability of funding, the quality of the research, the satisfactory progress in achieving the stated goals described in project proposals, and continued relevance to program objectives.

B. Project/Award Period

The award period will be 5 years and may be renewed for up to an additional 5 years based on the outcome of a review of scientific and administrative performance conducted in the fourth year of the award period, as described in the NOAA CI Interim Handbook.

C. Type of Funding Instrument

The funding instrument for this institutional award will be a cooperative agreement since several NOAA organizations will be substantially involved in working with the CI.

Examples of substantial involvement may include, but are not limited to, proposals for collaboration between NOAA scientists and a CI scientist and/or assistance by NOAA personnel in developing curricula. NOAA will issue only one award to the successful institution or to the lead academic institution of a consortium of universities, with supporting research affiliates if applicable, where the Institute will be established and resident.

III. Eligibility Information

A. Eligible Applicants

Eligibility is limited to non-Federal public and private non-profit universities, colleges and research institutions that offer accredited graduate-level degree-granting programs in NOAA-related sciences.

B. Cost Sharing or Matching Requirement

Cost sharing is not required. However, given the collaborative nature and investment of a CI by both NOAA and the research institution, the amount of voluntary committed cost

Notice of Federal Funding Page 10 of 27 sharing will NOT be considered when determining the level of the CI’s commitment.

Acceptable cost-sharing proposals include, but are not limited to, offering a reduced indirect cost rate against activities in one or more Tasks, waiver of any indirect costs assessed by the awardee on subawards, waiver of indirect costs assessed against base funds and/or Task I activities, waiver or reduction of any costs associated with the use of facilities at the CI, and full or partial salary funding for the CI director, administrative staff, graduate students, visiting scientists, or postdoctoral scientists.

C. Other Criteria that Affect Eligibility

Not applicable

IV. Application and Submission Information

A. Address to Request Application Package

The standard application package, consisting of the standard forms, i.e., SF-424, SF- 424A, SF-424B, SF-LLL, and the CD-511, is available at http://www.grants.gov. Users of Grants.gov will be able to download a copy of the application package, complete it offline, and then upload and submit the application via the Grants.gov site. If an applicant has problems downloading the application forms from Grants.gov, contact Grants.gov Customer support at 1-800-518-4726 or support@Grants.gov. For applicants without Internet access, an application package may be secured by contacting:

Sandra Byers, Competition Manager OAR Cooperative Institutes 1315 East West Highway, Room 11350 Silver Spring, MD 20910 Telephone: (301) 592-7399 Sandra.byers@noaa.gov

B. Content and Form of Application

Proposals submitted in response to this Announcement must include a Data Management Plan (up to 2 pages). See Section VI.B., Administrative and National Policy Requirements, below for additional information on what the plan should contain.

• As required by the National Environmental Policy Act (NEPA), NOAA must analyze the potential environmental impacts of applications that request Federal funding. In order for

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NOAA to complete its analysis, NOAA must address the following questionnaires:

1. The U.S. Department of Commerce National Environmental Policy Act (NEPA) Environmental Questionnaire & Checklist, which may be found at:

http://hr.commerce.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/web_assets/pr od01_008655.pdf and

2. NOAA’s Environmental Compliance Questionnaire for Federal Financial Assistance Applicants, which may be found at: http://www.nepa.noaa.gov/questionnaire.pdf Applicants are required to submit answers to the following abbreviated set of questions and, depending on the specifics of the project as indicated in response to those questions, may be required to provide additional detail, prior to a funding decision, as NOAA deems necessary in order for NOAA to fulfill its NEPA responsibilities:

Project Title Name and contact information for the principal investigator Describe the proposed activity, including, as applicable:

- its purpose, objectives, and goals;

- graphics (i.e. figures, photographs), site plans, plan diagrams, models, etc.;

- sampling, collection, or observation protocols and operational procedures;

- any proposed mitigation or monitoring measures and protocols;

- a description and plan diagram of the proposed impact area, if the proposed activity involves construction, restoration, dredging, excavation, and/or fill;

- a description (i.e. specifications) of the equipment or structures (e.g. scientific monitoring equipment, deployment platforms, etc.) that would need to be temporarily or permanently placed in the environment.

Proposals must adhere to the provisions under “Proposals” and the requirements under “Required Elements” in this section.

1. PROPOSALS

a. Proposals must include elements requested on the Grants.gov portal. If a hard copy application is submitted, NOAA requests that the original and two unbound copies of the proposal be included.

b. Proposals, electronic or paper, should be no more than 75 pages (numbered) in length, excluding budget, investigators vitae, and all appendices. Federally mandated forms are not included within the page count. Facsimile transmissions and electronic mail submission of full proposals will not be accepted.

2. REQUIRED ELEMENTS

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a. Title page. The title page should clearly indicate the proposed name of the CI, principal investigators, total amount of Federal funds being requested, and award period. In the event that the application is submitted by a consortium, the lead academic institution for the consortium should submit the application on behalf of its supporting research affiliates.

Applications submitted by a CI consortium should include the name of each academic institution and supporting research affiliate, along with each associated principal investigator.

b. Abstract. An abstract must be included and should contain a brief description of the CI, research themes, and proposed activities. The abstract should appear on a separate page, headed with the proposal title, institution’s investigators, total proposed cost, and budget period.

c. Results from prior research. The results of related projects supported by NOAA and other agencies should be described, including their relation to the currently proposed work.

Reference to each prior research award should include the title, agency, award number, Principal Investigators, period of award, and total award. The section should be a brief summary and should not exceed two pages.

d. Project Description. The information provided in this section will be used to evaluate the proposal according to NOAA’s standard evaluation criteria described in Section V of this document. The project description includes the following sections:

The Goals Section should clearly describe the mission and vision of the CI, and what the CI expects to accomplish during the award.

The Research Theme Section includes information that will help NOAA determine the quality of the CI’s capabilities and the expertise at the CI needed to conduct outstanding research in each of the research themes described in Section I.B. This Section also includes project descriptions of research projects that could be conducted by the CI under each theme (or combination of themes), if sufficient funding during the five-year award is provided. The selection of this proposal neither precludes the CI from proposing additional research projects after the award has been made as long as they fit under one of the research themes, nor obligates NOAA to fund the projects proposed in this application. Following the selection of the award, the CI will be required to provide a complete proposal and budget for each research project funded under the CI award after consulting with the OAR CI Program Director and the NOAA program(s) that provide funding for the project. The Education Section includes information on NOAA-related education programs offered at the CI’s institution(s), including a complete list of terminal degrees in these programs. This Section should also describe how the CI will integrate students and post-docs into the research projects at the CI, as well conduct outreach and education activities in support of the research themes.

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The Business Plan should be well-developed and include details regarding CI governance structure, fiscal and human resource management, as well as strategic planning and accountability. It must describe the organizational structure of the CI, how it will operate, the responsibilities of the participants from multiple institutions, and the composition of the Executive Board and the Council of Fellows (as well as each governing entity’s roles and responsibilities, consistent with the terms of the Cooperative Institute Interim Handbook (found at https://ci.noaa.gov/Contact-Us/Policies-and-Guidance)). The Business Plan must describe how the CI chooses projects and reviews its progress, as well as how the CI will support enhanced communication and collaborations with NOAA. If any CI personnel will work in NOAA-operated facilities, the Business Plan must describe the administrative support structure for such personnel.

The Performance Measures Section must include proposed measures to be used by the CI to gauge, quantify, and/or evaluate progress on both individual projects and its overall performance. After the award is made, NOAA will work with the CI to finalize a set of performance measures that are acceptable to the CI and NOAA. Immediately after the CI award has been established, the CI must produce an annual research plan that provides specific information about the research projects described in the Research Themes Section that will be accomplished during the first year. The plan will be developed after consultations with the OAR CI Program Director and the NOAA programs that will provide project funding to the CI. This plan must state the goals and objectives of each project, along with a description of the research that the CI expects to accomplish and a detailed budget for these projects. CI funding for the projects described in this plan will be released upon NOAA’s approval of the annual research plan. Funding for subsequent years of the award will require additional annual research plans.

e. Budget. Applicants must submit a Standard Form 424 “Application for Federal Assistance,” including a detailed budget using the Standard Form 424A, “Budget Information--Non-Construction Programs,” and a Standard Form 424B, “Assurances -- Non- Construction Programs.” These and other forms, including Commerce Department Form CD-511 “Certification Regarding Lobbying,” and, if applicable, Standard Form SF-LLL “Disclosure of Lobbying Activities,” are provided in the Grants.gov application package.

Additionally, the CD-512 “Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying” is required to be submitted with the application package. To do this, download the form from http://ci.noaa.gov/sites/lci/Documents/Forms/funding_forms_CD-512.pdf. Fill out, sign, scan, and attach the form to the application package. The proposal must include total and annual budgets corresponding to the descriptions provided in the project description not to exceed $7.4 M in the first year, with reasonable inflationary escalation in subsequent years.

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NOAA uses the proposed annual budgets to establish a funding for the entire award. After award selection, annual funding will be provided only after approval by the NOAA Grants Officer of an annual research plan or any other proposal submitted to NOAA that includes a detailed budget. While this level of funding is not guaranteed, this amount will allow for the possibility of funding for projects that were not originally planned for the CI award. Annual and total budgets should be stratified by Task and Institution, particularly if the CI award has proposed a reduced indirect cost rate for certain tasks. A budget justification should include information described in the budget guidelines provided in the Grants.gov application package. NOAA AGO also provides guidance on preparing the budget narrative on its website at http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24- 2017_final.pdf.

f. Vitae. Abbreviated 1-2 page curriculum vitae are sought with each proposal. Publication lists should be limited to all publications in the last 3 years with up to five other relevant papers.

g. Current and pending support. For each principal investigator, submit a list which includes project title, supporting agency with grant number, investigator months, dollar value, and duration. Requested values should be listed for pending support.

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

To enable the use of a universal identifier and to enhance the quality of information available to the public as required by the Federal Funding Accountability and Transparency Act, 31 U.S.C. 6101 note, to the extent applicable, any proposal awarded in response to this announcement will be required to use the System for Award Management (SAM), which may be accessed online at: https://www.sam.gov/portal/public/SAM/. Applicants are also required to use the Dun and Bradstreet Universal Numbering System, as identified in OMB guidance published at 2 CFR Parts 25, which may be accessed at: https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr25_main_02.tpl

D. Submission Dates and Times

The deadline for receipt of proposals in Grants.gov or at the NOAA/OAR office is no later than 60 days from the posting date by 5:00 p.m. EDT. Proposals received after the deadline will not be considered. NOAA uses information from Grants.gov to determine whether an application has been submitted before the deadline. If a hard copy proposal is submitted, the original and two unbound copies of the proposal should be included. Paper submissions should be sent to: Sandra Byers 1315 East-West Highway, Room 11340, Silver Spring, Maryland 20910; telephone (301) 592-7399. Hard copy applications will be

Notice of Federal Funding Page 15 of 27 date/time stamped as they are physically received in the NOAA/OAR office. (Note that late-arriving hard copy proposals provided to a delivery service on or before 60 days from date of posting, will be accepted for review if the applicant can document that the proposal was provided to the guaranteed delivery service by the specified closing date and time and if the proposal is received by OAR no later than 5 p.m., two business days following the closing date.) No email or facsimile proposal submissions will be accepted.

E. Intergovernmental Review

Applications under this program are not subject to Executive Order 12372.

F. Funding Restrictions

NOAA will not consider expenses associated with fees, fund-raising activities, travel for activities not directly related to project implementation, travel or salaries for Federal employees, or profit as allowable costs in the proposed budget. The total costs of a project consist of all allowable costs incurred in accomplishing project activities during the project period. Project costs can only include support for activities conducted between the effective start date and end date of the award, and cannot include activities undertaken either before or after the agreed upon dates. Applicants will not be reimbursed for time expended or costs incurred in developing a project or in preparing an application, or in any discussions or negotiations with the agency prior to the award. Such expenditures may not be considered as part of the applicant’s cost share or matching contribution.

G. Other Submission Requirements

Federal employees are not allowed to assist in the preparation of an application or proposal, except that these individuals may provide you with information on program goals, funding priorities, application procedures, and completion of application forms. Because this is a competitive program, Federal employees will not provide assistance in conceptualizing, developing, or structuring proposals, or write letters of support for an application or proposal.

All applicants are strongly encouraged to submit proposals through the Grants.gov portal.

For applicants without Internet access, hard copy proposals will be accepted. The hard copies must be submitted by postal mail, commercial delivery service, or hand-delivery.

Proposals must be submitted to: NOAA/OAR, 1315 East-West Highway, Room 11350, Silver Spring, Maryland 20910, Attn: Sandra Byers.

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V. Application Review Information

A. Evaluation Criteria

Proposals will be evaluated using the standard NOAA evaluation criteria. Various questions under each criterion are provided to ensure that the applicant includes information that NOAA will consider important during the evaluation, in addition to any other information provided by the applicant.

1. Importance and/or relevance and applicability of proposed project to the program goals (25 percent): This criterion ascertains whether there is intrinsic value in the proposed work and/or relevance to NOAA, Federal, regional, state, or local activities.

* Does the proposal include research goals and projects that address the critical issues identified in NOAA’s 5-year Research Plan, NOAA’s Strategic Plan, and the priorities described in the program priorities (see Section I.B.)?

* Is there a demonstrated commitment (in terms of resources and facilities) to enhance existing NOAA and CI resources to foster a long-term collaborative research environment/culture?

2. Technical/scientific merit (30 percent): This criterion assesses whether the approach is technically sound and/or innovative, if the methods are appropriate, and whether there are clear project goals and objectives.

* Does the project description include a summary of clearly stated goals to be achieved during the five-year period that reflect NOAA’s strategic plan and goals?

* Does the CI involve partnerships with other universities or research institutions, including Minority Serving Institutions, and universities, such as NOAA CSCs, that can contribute to the proposed activities of the CI?

* Does the proposal include a Data Management Plans that is appropriate for work and that addresses the intent of NOAA’s Data and Publication Sharing Directive for NOAA Grants, Cooperative Agreements, and Contracts?

3. Overall qualifications of applicants (30 percent): This criterion ascertains whether the applicant possesses the necessary education, experience, training, facilities, and administrative resources to accomplish the project.

* If the institution(s) and/or Principal Investigators have received current or recent NOAA funding, is there a demonstrated record of outstanding performance working with NOAA and/or NOAA scientists on research projects?

* Is there nationally and/or internationally recognized expertise within the appropriate disciplines needed to conduct the collaborative/interdisciplinary research described in the proposal?

* Is there a well-developed business plan that includes fiscal and human resource

Notice of Federal Funding Page 17 of 27 management, as well as strategic planning and accountability?

* Are there any unique capabilities in a mission-critical area of research for NOAA?

* Has the applicant shown a substantial investment to the NOAA partnership, as demonstrated by the amount of the cost-sharing contribution?

4. Project costs (5 percent): The budget is evaluated to determine if it is realistic and commensurate with the project needs and time-frame

5. Outreach and education (10 percent): This criterion assesses whether the project provides a focused and effective education and outreach strategy regarding NOAA’s mission to protect the Nation’s natural resources.

* Is there a strong education program with established graduate degree programs in NOAA related sciences that also encourages student participation in NOAA-related research studies?

B. Review and Selection Process

An initial administrative review/screening is conducted to determine compliance with requirements/completeness. Thereafter, these proposals will be evaluated and individually ranked in accordance with the assigned weights of the above-listed evaluation criteria by an independent peer review panel. At least three experts, who may be Federal or non-Federal, will be used in this process. Each expert will submit an individual merit review and there will be no consensus opinion. The merit reviewers’ ratings are used to produce a rank order of the proposals. The Selecting Official selects proposals after considering the peer reviews and selection factors listed below. In making the final selections, the Selecting Official will award in rank order unless the proposal is justified to be selected out of rank order based upon one or more of the selection factors. The Selecting Official makes the final award recommendation to the Grants Officer authorized to obligate funds.

C. Selection Factors

The merit review ratings shall provide a rank order to the Selecting Official for final funding recommendations. A program officer may first make recommendations to the Selecting Official applying the selection factors below. The Selecting Official shall award in the rank order unless the proposal is justified to be selected out of rank order based upon one or more of the following factors:

1. Availability of funding.

2. Balance/distribution of funds:

a. Geographically

b. By type of institutions

c. By type of partners

Notice of Federal Funding Page 18 of 27

d. By research areas

e. By project types

3. Duplication of other projects funded or considered for funding by NOAA or other federal agencies.

4. Program priorities and policy factors.

5. Applicant’s prior award performance.

6. Partnerships and/or Participation of targeted groups.

7. Adequacy of information necessary for NOAA staff to make a NEPA determination and draft necessary documentation before recommendations for funding are made to the NOAA Grants Officer.

Awards may not necessarily be made to the highest scored proposals.

D. Anticipated Announcement and Award Dates

10/01/21, should be used as the proposed start date on proposals. The announcement of the award is expected around DATE July 1, 2021.

VI. Award Administration Information

A. Award Notices

1. Successful applicants will receive notification that the application has been recommended for funding to the NOAA Grants Management Division. This notification is not an authorization to begin performance of the project. Official notification of funding, signed by the NOAA Grants Officer, is the authorizing document that allows the project to begin. Notification will be issued to the Authorizing Official and the Principal Investigator of the project electronically via Grants Online or in hard copy. Unsuccessful applicants will be notified that their proposals were not selected for recommendation. Applications not selected for funding will be destroyed.

2. Modification of Applications. Successful applicants may be asked to modify objectives, work plans, or budgets prior to final approval of an award. The exact amount of funds to be awarded, the final scope of activities, the project duration, and specific NOAA substantial involvement (if any) with the activities of each project will be determined in pre-award negotiations among the applicant, the NOAA Grants Office, and NOAA program staff.

3. Award documents provided by the Grants Officer may contain special award conditions limiting the use of funds for activities that have outstanding environmental compliance requirements. These special award conditions may also include other compliance requirements for the award as applicable and will be applied on a case-by-case basis.

Applicants are strongly encouraged to review award documents carefully before accepting a

Notice of Federal Funding Page 19 of 27

Federal award so they are fully aware of the relevant Standard Terms and Conditions as well as any Special Award Conditions that have been placed on the award.

B. Administrative and National Policy Requirements

DEPARTMENT OF COMMERCE PRE-AWARD NOTIFICATION

REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS. The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements contained in the Federal Register notice of December 30, 2014 (79 FR 78390) are applicable to this solicitation and may be accessed online at http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30297.pdf.

UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT

REQUIREMENTS. Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 200, which apply to awards in this program. Refer to https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1

DOC TERMS AND CONDITIONS. Successful applicants who accept a NOAA award under this solicitation will be bound by Department of Commerce Financial Assistance Standard Terms and Conditions. This document will be provided in the award package in NOAA’s Grants Online system at https://www.commerce.gov/sites/default/files/2020- 11/DOC%20Standard%20Terms%20and%20Conditions%20- %2012%20November%202020%20PDF_0.pdf.

NOAA Financial Assistance Assault and Harassment Policy https://www.noaa.gov/sites/default/files/atoms/

LIMITATION OF LIABILITY. Funding for programs listed in this notice is contingent upon the availability of appropriations. Applicants are hereby given notice that funds may not have been appropriated yet for the programs listed in this notice. In no event will NOAA or the Department of Commerce be responsible for proposal preparation costs. Publication of this announcement does not oblige NOAA to award any specific project or to obligate any available funds.

UNPAID OR DELINQUENT TAX LIABILITY. When applicable under appropriations law, an authorized representative of the selected applicant(s) will be required to provide certain pre-award representations regarding federal felony and federal criminal tax convictions, unpaid federal tax assessments, and delinquent federal tax returns. The form must be completed and submitted with grant applications for: (a) all for-profit and non-profit organization applicants (Part I, and if required, Part II); and (b) all non-Federal entity

Notice of Federal Funding Page 20 of 27 applicants anticipating receipt of $5 million or more in the current Federal Fiscal Year appropriated funding (Part II only). The form can be found at https://www.osec.doc.gov/oam/grants_management/policy/documents/FAM%202015- 01.pdf.

NATIONAL ENVIRONMENTAL POLICY ACT (NEPA). 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 NOAA Administrative Order 216-6A for NEPA, http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216- 6A.html, and the Council on Environmental Quality implementation regulations, http://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf. Consequently, as part of an applicant's package, and under its description of its 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).