AK-21-01 NOFO.pdf

U.S. Department of the Interior

Bureau of Ocean Energy Management (BOEM)

Environmental Studies Program (ESP)

Program Announcement No. M21AS00382 BOEM

Winter Ringed Seal Density within Beaufort Sea Oil and Gas Project Areas

(AK-21-01)

Fiscal Year (FY) 2021 Environmental Studies Program

Catalog of Federal Domestic Assistance (CFDA)

No. 15.423

March 3, 2021

A. Program Description

A1. Authority

Section 19(e) of the OCS Lands Act (OCSLA) (Public Law 95-372)(43 U.S. Code 1345 (e)) authorizes the use of cooperative agreements with affected States to meet the requirements of OCSLA, including sharing of information and joint utilization of available expertise to carry out applicable Federal and State laws, regulations, and stipulations relevant to OCS operations both onshore and offshore. The Bureau of Ocean

Energy Management is authorized by the Outer Continental Shelf Lands Act (43 USC 1346) to undertake environmental studies in any area or region included in any oil and gas lease sale or other lease in order to establish information needed for assessment and management of impacts on the human, marine, and coastal environments which may be affected by OCS oil or gas or other mineral activities in such area or region. 30

CFR 556.1300 implements 43 USC 1346 and states that studies will be planned and carried out in cooperation with the affected States and interested parties and, to the extent possible will not duplicate studies done under other laws. 30 CFR 556.1300 (c) states that the Director may initiate studies for an area or region not identified in the leasing program. 30 CFR 556.1300(e) states that information available or collected by the studies program will, to the extent practicable, be provided in a form and in a timeframe that can be used in the decision making process associated with a specific leasing action or with longer term

OCS minerals management responsibilities.

Other authorities include:

1. Endangered Species Act of 1973, As amended (16 U.S.C. 1531 et seq.)

2. Marine Mammal Protection Act of 1972, As Amended (16 U.S.C. Ch. 31)

3. Fish and Wildlife Coordination Act of 1934, As Amended Through P.L. 116-9, Enacted March 12,

4. National Environmental Policy Act (NEPA)

A2. Background, Purpose and Program Requirements

The Bureau of Ocean Energy Management’s (BOEM) mission is to manage exploration and development of the nation’s offshore mineral and energy resources in an economically and environmentally responsible manner. BOEM’s decision-making process for managing the nation’s offshore resources is supported by environmental analyses, scientific research, and indigenous knowledge (Kendall et al., 2017). The Bureau of Ocean Energy Management’s (BOEM) is offering a competitive cooperative agreement (CA) to assess the effects of North Slope oil field development activities on the Arctic ringed seal subspecies (Phoca hispida hispida).

PURPOSE

The Bureau of Ocean Energy Management’s (BOEM), Environmental Studies Program (ESP) seeks to establish a cooperative agreement to better evaluate the effects of North Slope oil field development activities on the Arctic ringed seal subspecies (Phoca hispida hispida). The cooperative agreement would provide nearshore winter/spring ringed seal abundance estimates using scientific approaches for detecting and monitoring seals’ in their under-snow structures, or subnivean lairs. New and existing survey methods will expand research capabilities for ringed seal population assessments, enable investigation on habitat requirements, and improve understanding of their vulnerability to a warming Arctic. Study products will provide solutions by quantifying impacts from oil and gas industry actions on ringed seals, their habitat and deliver direction for future mitigation decisions. The cooperative agreement will also assess ringed seal abundance estimates to support Section 7 Consultation under the Endangered Species

Act (ESA); and impact assessments during the National Environmental Policy Act (NEPA) analyses.

BACKGROUND

The ringed seal is an important ice-seal in the Arctic, both ecologically and as a subsistence resource.

They are circumpolar and found year-round in the Bering, Chukchi, and Beaufort seas and are listed as threatened under the ESA. During winter, the greatest population densities occur in areas of landfast ice, where they maintain a system of subnivean lairs and breathing holes in snow drifts and ice fissures. An unknown number of ringed seals inhabit the shallow ice-covered waters of the Beaufort Sea in the region bounded by the National Petroleum Reserve-Alaska (NPR-A); the Arctic National Wildlife Refuge (ANWR) and BOEMs Beaufort Sea Planning Area, where detecting seals and their snow lairs can be difficult, which makes assessing the local population and abundance challenging. Studying ringed seal demographics and mapping distribution of their under-snow structures is important for developing avoidance strategies and mitigating effects from onshore and offshore oil and gas development interactions (such as ice-road construction) in ringed seal habitat.

Ringed seals overwinter in landfast ice in proximity to existing and proposed North Slope oil and gas fields. Limited data is available for ringed seal abundance in these areas during the winter months, but several studies on ringed seal winter ecology were undertaken during the 1980s (Kelly et al. 1986, Frost and Burns 1989, Kelly and Quakenbush 1990). Results from these studies provided information on both seal snow structure use (where snow structures include both breathing holes and subnivean lairs) and distribution of snow structures. Both male and female ringed seals maintain several breathing holes and haul out from more than one subnivean lair during the ice-covered season. Several approaches to develop capabilities for evaluating ringed seal abundance and measuring their snow structure density have been tested in the past. These include ground penetrating radar (GPR) (Coltrane and Williams 2000), forward-looking infrared (FLIR) cameras and snow prodding poles with marginal success (Craig Perham, BLM, per. comm. 2020). At present, BOEM recognizes three established survey systems for locating and evaluating ring seal lairs: 1) trained wildlife-detection dogs; 2) satellite-telemetry tags that sense and record seal presence in lairs; and 3) a monitoring ‘sensor web’ to detect ringed seal activity.

Trained wildlife-detection dogs have been used effectively to find ringed seal lairs and breathing holes

(Kelly and Quakenbush 1987). Using dogs to locate and assist in mapping ringed seal structures around oil and gas facilities and construction activities could provide solutions for quantifying impacts of those activities on ringed seals and expand capabilities for population assessments, research their habitat requirements and improve understanding about their vulnerability to a warming Arctic. Advances in satellite tags can also provide location information and a better understanding how ringed seal use lairs within and between years. One such advancement is using animal-borne bio-loggers that can integrate tag sensors to discover movement patterns of ringed seals in- and outside of lairs and a sensor web that can monitor under snow structures to sense ringed seal movements. These wireless networks autonomously indicate presence/absence of ringed seals and track their subnivean structure integrity through the onset of ice melt and eventual collapse during spring break up. Monitoring ringed seals’ response to industrial actions could lead to the development of improved survey techniques that would better characterize ringed seal abundance, their interaction with anthropogenic events in the nearshore Beaufort Sea and identify important habitats and habitat characteristics.

BOEM is in search of reliable information for any proposed and existing industrial actions that could disturb or injure ringed seals in winter and spring, when their breathing holes and under-snow lairs are inconspicuous to human observers. BOEM recognizes the need for better and more accurate information describing the distribution of seals and their use of landfast ice habitat near oil and gas operations, therefore BOEM is seeking a comprehensive assessment of industry effects on ringed seals by establishing viable ways to locate, assess and quantify ringed seals and their under-snow structures.

OBJECTIVES

The goal of this Cooperative Agreement is to gather information on ringed seal distribution, abundance and habitat use within the landfast ice zone adjacent to BOEMs Beaufort Sea Planning Area, NPR-A, ANWR and within other existing North Slope oil gas fields present in the nearshore Beaufort Sea. The objectives of this study are to:

1. Analyze nearshore ice use by ringed seals by locating and documenting status of wintering seals and their structures to develop avoidance strategies where ring seal habitat overlaps with North

Slope oil and gas activities.

2. Utilize novel survey technology to expand capabilities to facilitate research on the habitat of ringed seals to improve understanding of ringed seal movements.

3. Identify winter and spring seasonal movement patterns of adult ringed seals with an emphasis on detecting subnivean lair use in landfast ice in areas bounded by NPR-A, ANWR and BOEMs

Beaufort Sea Planning Area.

4. Document ringed seal habitat use areas and local foraging behavior by classifying foraging locations and determine if oil and gas development activities create movement barriers for ringed seals to access prey.

5. Evaluate and compare the efficiencies of the proposed survey technologies with existing methods used to detect ringed seals, their breathing holes and lairs.

DESCRIPTION OF WORK

DATA MANAGEMENT, ARCHIVING, AND SENSITIVITY: The recipient shall provide copies of data files to the BOEM in a format that meets Federal data standards (e.g., meeting minutes, field observations, transcripts, audio recordings, maps). The recipient shall use the data format specifications found at https://www.boem.gov/esp-data-and-information-specifications. The recipient shall provide copies of data files to an appropriate Federal data repository and archive data and reports at an appropriate repository in Alaska.

TASKS: Tasks to be completed include, but are not limited to:

1. Evaluate the use of trained wildlife-detection dogs to locate ringed seals in their under-snow structures and locations of breathing holes.

2. Acquire all permits needed to access Prudhoe Bay from facility operators for deploying wildlife-detection dogs from the State of Alaska, North Slope Borough, NMFS regulatory and veterinary clearances such as health certificate for travel and proof of immunizations, specifically rabies vaccinations.

3. Describe the methodologies that will be used for dog detected ringed seal lairs; map concentrations of seal structures including breathing holes and abandoned structures; quantify ringed seal habitat and delineate home ranges.

4. Use Global Positioning System (GPS) integrated computer program to record observations, locations, and environmental conditions to accurately define coordinates and waypoints to detail ringed seal structure connectivity to other ringed seal habitat structures for post-processing map development using geographic information system (GIS) to capture, store and display data for spatially positioning habitat structures within the nearshore environment and the North Slope industrial complex.

5. Obtain live-captured ringed seals needed to collect biological samples. Follow Kelly (1996) or any new advances for live-capture techniques for safe handling of ringed seals in their subnivean lairs using technology to study their behavior and movements and categorize lairs based on ringed seals' apparent use.

6. The proposal should identify the optimal type of sensor tag that will be used to obtain recording and transmitting behavioral, physiological, and environmental variables and parameters, such as an animals fine-scale movement, flipper stroking, heart rate and oxygen concentration.

http://www.boem.gov/esp-data-and-information-specifications

7. The proposal should include plans for an optional task to deploy animal-borne video devices used to sense, record, and monitor under-snow structures for ringed seal activity. Description of this task should include information regarding the number of cameras would be deployed and the approximate length of deployment.

8. In collaboration with BOEM, confer with the National Marine Fisheries Service (NMFS), Alaska

Department of Fish and Game (ADF&G) and the North Slope Borough (NSB) to review existing data and identify any additional information needed to support evaluation of ringed seal density in the central Alaskan Beaufort Sea landfast ice zone.

9. Test at various stages of snow transformation (full winter conditions, melt season, and collapse).

Integrate the sensors to test in the same manner during the subsequent winter seasons to evaluate performance.

Project Management

The Principal Investigator shall follow a project management plan that provides communication and coordination among all key personnel and management, and a mechanism for ensuring coordination with the BOEM Project Officer (PO). The management plan shall address the following components:

Project Manager

The Project Manager shall have leadership, coordination, management skills, and authority to achieve project objectives and ensure maximum interdisciplinary integration.

Scientific Team Makeup and Coordination

1) The program manager, key personnel, and the chief scientist responsible for statistical design, data management, and analysis,

2) Specific responsibilities of each key person in the performance of this study,

3) A task by task labor loading chart showing person-hours for all professional and support personnel who would be assigned key roles in performance of this project,

4) Key planning meetings and interactions among key personnel and with the project manager.

Milestone Schedule

A schedule (PERT, Gantt, etc.) that lays out the critical paths, significant milestones, and deliverables for the accomplishment of the proposed study including logistical planning, data acquisition, data input and analysis, data synthesis and interpretations, report writing, and manuscript preparation timeframes.

Acquisition

Acquisition of equipment and supplies. These plans shall include description of standard operating procedures that maximize safety of project personnel.

Outreach and Publication

Develop plan for communicating with tribal members and organizations, the North Slope Borough and the general public throughout the study. Involvement of tribal and local residents in scientific field activities is highly encouraged.

Create final outreach product such as a poster suitable for posting on community bulletin boards or other outreach.

Present at a minimum of one regional scientific meeting (e.g. the Alaska Marine Science Symposium) to be determined in coordination with BOEM.

Provide plan for publishing the study results in a peer-reviewed journal.

Catalog of Federal Domestic Assistance (CFDA) Number

15.423

Authorization Legislation

Outer Continental Shelf Lands Act

A3. Technical Assistance and Information for Prospective Applicants

B. Federal Award Information

B1. Total Funding

Estimated Total Funding

$500,000

The total amount of federal funds available for this multi-year award is anticipated to be

$500,000

B2. Expected Award Amount Maximum Award Amount

$500,000

Minimum Award Amount

$400,000

B3. Anticipated Dates

B4. Period of Performance

Length of Project Periods

Other

Length of Project Period Explanation of Other

40-month project period with three 12-month budget periods (additional months included in final period).

Project Period l Expectation Duration in Months

Multi-year Proposals

If the proposed work is such that more than one year is required to complete the research, then a multi-year proposal is appropriate, and the applicant shall write the proposal accordingly. Proposals shall clearly define the work to be completed in each year, and the evaluation panel reserves the option to fund only the first year of a multi-year proposal. Funding for subsequent years of a multi-year cooperative agreement is contingent upon the availability of funds and satisfactory progress demonstrated by the

Recipient. Progress will be determined through technical review of quarterly progress reports and other work identified by the BOEM Project Officer. Funds requested for the final year of performance shall include a 15% retainage of the project’s total anticipated budget request. The BOEM Project Officer shall provide continuation notices at least 60 days prior to the end of each funding period.

B5. Numbers of Awards

Expected Number of Awards One

B6. Type of Award

Funding Instrument Type

CA - Cooperative Agreement The award will be a cooperative agreement. This involves substantial involvement by BOEM scientists in various aspects of study development and/or study conduct. BOEM will be involved in all aspects of the study. BOEM research managers will assist the recipient in designing the study and developing the methodology. BOEM will assist the recipient to identify the most appropriate approaches to data analysis and presentation of results. BOEM will work collaboratively with the recipient to compare results and insights with existing data and management plans. BOEM will also compare study results and insights with existing data from state and federal studies, including previous BOEM studies examining subsistence practices. BOEM scientists will be engaged with the recipient to provide advice and assistance during collection of observations and data analysis to achieve high scientific standards. BOEM will help the recipient with report writing and review and presentation of results as appropriate.

B7. Other Federal Information

Type of Competition

Open to All Eligible Applicants

C. Eligibility Information

C1. Eligible Applicants

00 – State governments 06 – Public and State controlled institutions of higher education

25 – Others (see text field entitled “Additional Information on Eligibility” for clarification)

Additional Information on Eligibility

This Program Announcement describes the specific projects that may be awarded to the universities or eligible groups identified below. All awards are premised on receipt of an acceptable proposal. This announcement is specifically to announce intent to undertake the following project(s): Winter Ringed Seal

Density within Beaufort Sea Oil and Gas Project Areas.

Open to:

Eligible recipients include the State of Alaska, Public and State controlled institutions of higher education of the State of Alaska, other higher education institutions outside of Alaska, and the North Slope Borough.

Eligibility Information:

Research projects are required to have a staff member of the applying organization as the Principal

Investigator (PI). Cooperative research between interested organizations—i.e., state agencies, public universities, and non-profits in affected states—is always encouraged.

Cost Share/Match:

Contributions of matching funds towards these efforts, either as cash or in-kind contributions (such as salary, equipment, etc., or a combination of both) is very strongly encouraged. Match cannot include value associated with collection costs for samples previously collected. Match value for instrumentation and other equipment should be adjusted to the period of use within the project relative to the full life cycle for the item. Matching dollars cannot be from other Federal funding sources. Further information can be located at 2 Code of Federal Regulations (CFR) 200.306. All questions regarding this project, including eligibility, should be directed only to the “Program Announcement and Cooperative Agreement

Administration” point-of-contact listed in Section D.

SF-424 Application for Federal Assistance SF-

424a Budget Information

SF-424b Assurances – Non-Construction Programs

Project Narrative Form (including Proposal Cover Sheet described below)

Budget Narrative Form

GG Certification Regarding Lobbying Form

(Complete the Optional SF-LLL Lobbying form only if lobbying has occurred)

C2. Cost Sharing or Matching

Cost Sharing/Matching Requirement

No

C3. Other

Excluded Parties:

BOEM conducts a review of the SAM.gov Exclusions database for all applicant entities and their key project personnel prior to award. The Bureau cannot award funds to entities or their key project personnel identified in the SAM.gov Exclusions database as ineligible, prohibited/restricted or otherwise excluded from receiving Federal contracts, certain subcontracts, and certain Federal assistance and benefits, as their ineligibility condition applies to this Federal program.

D. Application and Submission Information

D2. Content and Form of Application Submission

SF-424, Application for Federal Assistance

Project Summary

Winter Ringed Seal Density within Beaufort Sea Oil and Gas Project Areas

(AK-21-01)

Project Narrative

The cover sheet of the proposal shall contain the following information:

1. Project Title:

2. PI(s):

D1. Address to Request Application Package

The announcement and application package are available in GrantSolutions.

i. Name:

ii. Address:

iii. Phone:

iv. Fax:

v. E-mail:

3. Name of University/Department:

4. Contact Information for Technical and Administrative Negotiations

5. Project Status: New/Continuation

6. Project Duration: (years or months)

7. Proposed Start Date:

8. Proposed Draft Final Report Submission Date:

9. Proposed Completion Date:

10. Amount Requested From BOEM:

11.

11. Amount and Sources of Non-Federal Match:

12. Total Project Cost:

13. Signature, Name, and Contact Information of University PI and Co-Investigator:

14. Proposal Endorsement, including Signature, Name, Contact Information of Sponsoring

University Department Dean or Institute Director:

15. Signature, Name and Contact Information of Sponsoring University’s Office of Sponsored Programs

Proposal Text

The proposal must be in 11–12-point Times New Roman, Arial, or similar font with 1"-page margins. Non-conforming proposals will not be considered. Text, figures, etc. in support of items 1-10 below should be no longer than 15 pages.

Please include the following in the Proposal:

1. Abstract

2. Background/Relevance to BOEM Issues, Information Needs, and Research Topics: Give a brief introduction to the research proposed. Specify the contribution to science related to ESP issues and the benefits that the public will receive from the project. Explain why the work is important and how the proposal addresses BOEM goals. Provide a brief summary of findings or outcomes of any prior work you have completed in this area.

3. Objectives/Hypotheses: Clearly define goals of the project.

4. Methods/Analyses: Provide a clear description of planned research methodologies and analyses.

5. Project Deliverables and Planned Products: Applicants shall provide plans for executing the duties of the awardee listed in Section F3 and the deliverables in Section A3 as outlined in the

Table in Section H including a rough timeline for these deliverables.

6. Staffing Plan: All key personnel (including graduate student workers) shall be identified by name. List the University PI first, followed by the names of other individuals. Indicate the role and anticipated level of effort for each key participant offering unique or specific contributions to the project (oceanographer, geochemist, field assistant, etc.). If names of any key participants are unknown, a proposal addendum with the names and curricula vitae must be submitted prior to award.

7. Performance Measures: Applicants shall suggest specific measures that will be used to monitor project progress, including progress of sub-awardees (e.g., quality and timely deliverables, timely completion of fieldwork or other project components, draft peer-reviewed articles).

These performance measures will be incorporated in the cooperative agreement award and reviewed as part of any continuation request.

8. Critical Starting Dates (e.g., for season-limited field work): Identify any critical starting dates and the reason why project success is dependent upon that start date.

9. Publication and Presentation: BOEM strongly encourages the Awardees to publish project reports in scientific and technical journals, and present results to the scientific community, appropriate professional organizations, and local, State, and/or Federal agencies as part of the project (please also see Section H). These publications and meetings should be included in the proposal and budget.

10. Bibliography: List all references cited in the text, as well as references that are relevant to the current proposal from your past work in the field.

SF 424A, Budget Information for Non-Construction Programs

Budget Narrative/Detailed Spreadsheet

Describe and justify requested budget items and costs. Detail how the SF-424 Budget

Information, Object Class Category totals were determined. For personnel salary costs, include the baseline salary figures and the estimates of time. Describe any item of cost that requires prior approval under the Federal cost principles. See 2 CFR 200.407 “Prior written approval (prior approval)” for more information. If equipment purchased previously with Federal funds is available for the project, provide a list of that equipment and identify the Federal funding source.

Budget Justification Narrative

This information will provide more details than the SF-424A form and will provide adequate information for the Contracting Officer to conduct a detailed analysis of the costs to determine they are reasonable, allowable, and allocable. Please include the following:

1. Salaries and Wages. List positions, rate of compensation and estimated number of hours.

If contract employees are hired, include their total time, rate of compensation, job titles, and roles.

2. Fringe Benefits/Labor Overhead. Indicate the rates/amounts in conformance with normal accounting procedures. Explain what costs are covered in this category and the basis of the rate computations. Provide a copy of the negotiated rate agreement, if available.

3. Lab Analyses. Briefly itemize cost of all analytical work.

4. Supplies. Enter the cost for all tangible property. Include the cost of office, laboratory, computing, and field supplies separately. Provide detail on any specific item that represents a significant portion of the proposed amount. Provide a statement that supplies will be purchased in accordance with 2 CFR 200.318–326.

5. Equipment. Show the cost of all special-purpose equipment necessary for achieving the objectives of the project. “Special-purpose equipment” means scientific equipment having a useful life of more than 1 year and having an acquisition cost of $5,000 or more per item. Each

11. Curricula Vitae (maximum two pages) for each identified key participant. Emphasize previous experience in the field of study that the proposal addresses.

12. Letters of Commitment: Provide signed letters of commitment by matching fund grantors, contractors, and sub-grantees.

13. University Budget Spreadsheet: In addition to SF-424a Budget Information form below, include information in a format which provides personnel, travel, services, supplies, equipment, tuition, and indirect costs on an annual basis for both the requested BOEM funds and for the anticipated match funds.

14. Budget Justification Narrative: See below.

Applicants must show funds requested from this Federal program separately from any other Federal sources of funding. In the “Budget Summary” section of the appropriate SF-424 budget form, use the first row for funding requested from this Federal program. Use subsequent row(s) for funding requested from this Federal program. Use subsequent row(s) for other Federal funding. Enter each Federal program’s

CFDA number(s) in the corresponding fields on the form. Federal award recipients and subrecipients are subject to Federal award cost principles per the “DOI Standard Award Terms and Conditions”. The

CFDA number(s) for this program appears on the first page of this announcement.

item should be itemized and include a full justification and a dealer or manufacturer quote, if available. General-purpose equipment (used also for purposes other than this project) must be purchased from the applicant’s operating funds. Title to non-expendable personal property shall be vested solely with the Awardee. Under no circumstances shall property title be vested in a sub-tier Awardee. Provide a statement that equipment will be purchased in accordance with 2

CFR 200.318–326 and managed in accordance with 2 CFR 200.313.

6. Services or Consultants. Identify the tasks or problems for which such services would be used.

List the contemplated sub-Awardees by name (including consultants), the estimated amount of time required, and the quoted rate per day or hour. Sub-applicant proposals should provide cost breakdowns at the same level of detail as the Applicant’s proposal. If contract employees are hired, include their total time, rate of compensation, job titles, and roles. Provide a statement that salaries will be charged at the actual rate and that the rate is comparable to others doing similar work within the organization.

7. Travel. State the purpose of the trip and itemize the estimated travel costs to show the number of trips required, the destinations, the number of people traveling, the per diem rates, the cost of transportation, and any miscellaneous expenses for each trip. Calculations of other special transportation costs (such as charges for use of applicant-owned vehicles or vehicle rental costs) should also be shown. Applicants are encouraged to include in the proposal a plan to present findings at one to two major meetings (see above Proposal Text item 1).

8. Publication Costs. Indicate an estimate of labor and other unique costs associated with preparation of the draft final report. If publication of results of the research in the peer-reviewed literature (identify likely publications) is anticipated, include costs of drafting or graphics, reproduction, page, or illustration charges, and a minimum number of reprints.

9. Other Direct Costs. Itemize the different types of costs not included elsewhere.

10. Total Direct Charges. Totals for items 1–9.

11.Indirect Charges (Overhead). Indirect cost/general and administrative (G&A) cost. Show the proposed rate, cost base, and proposed amount for indirect costs based on the cost principles applicable to the Applicant’s organization. If the Applicant has separate rates for recovery of labor overhead and G&A costs, each charge should be shown. Provide a copy of the negotiated rate agreement with the Applicant’s Federal cognizant audit agency. [If applicable.]

12. Amount Proposed. Total items 10 and 11.

13. Multi-year Projects. The Applicant shall provide summary information as well as a detailed budget for each year. Funds requested for the final year of performance shall comprise a minimum of 15% of the project’s total anticipated budget. [If applicable.]

Conflict of Interest Disclosure

Per the Financial Assistance Interior Regulation (FAIR), 2 CFR §1402.112, applicants must state in their application if any actual or potential conflict of interest exists at the time of submission.

Please reference the Federal Activities Inventory Reform Act for additional details.

(a) Applicability.

(1) This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

(2) In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.

(b) Notification. (1) Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR 200.112.

(2) Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

(c) Restrictions on lobbying. Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR part 18 and 31 U.S.C. 1352.

(d) Review procedures. The Financial Assistance Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it.(e) Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in

2 CFR 200.338, Remedies for noncompliance, including suspension or debarment (see also 2

CFR part 180).

Single Audit Reporting Statement

All U.S. states, local governments, federally recognized Indian tribal governments, and non-profit organizations expending $750,000 USD or more in Federal award funds in the applicant’s fiscal year must submit a Single Audit report for that year through the Federal Audit

Clearinghouse’s Internet Data Entry System. U.S. state, local government, federally recognized

Indian tribal government, and non-profit applicants must state if your organization was or was not required to submit a Single Audit report for the most recently closed fiscal year. If your organization was required to submit a Single Audit report for the most recently closed fiscal year, provide the EIN associated with that report and state if it is available through the Federal

Audit Clearinghouse website.

Certification Regarding Lobbying

Applicants requesting more than $100,000 in Federal funding must certify to the statements in 43

CFR Part 18, Appendix A-Certification Regarding Lobbying. If this application requests more than $100,000 in Federal funds, the Authorized Official’s signature on the appropriate SF-424, Application for Federal Assistance form also represents the entity’s certification of the statements in 43 CFR Part 18, Appendix A.

Applicants and recipients must not use any federally appropriated funds (annually appropriated or continuing appropriations) or matching funds under a Federal award to pay any person for lobbying in connection with the award. Lobbying is influencing or attempting to influence an officer or employee of any U.S. agency, a Member of the U.S. Congress, an officer or employee of the U.S. Congress, or an employee of a Member of the U.S. Congress connection with the award. Applicants and recipients must complete and submit the SF-LLL, Disclosure of Lobbying Activities if the Federal share of the proposal or award is more than $100,000 and the applicant

Overlap or Duplication of Effort Statement

Applicants must provide a statement indicating if there is any overlap between this Federal application and any other Federal application, or funded project, in regards to activities, costs, or time commitment of key personnel. If no such overlap or duplication exists, state, “There are no overlaps or duplication between this application and any of our other Federal applications or funded projects, including in regards to activities, costs, or time commitment of key personnel”.

If any such overlap exists, provide a complete description of overlaps or duplications between this proposal and any other federally funded project or application in regards to activities, costs, and time commitment of key personnel, as applicable. Provide a copy of any overlapping or duplicative proposal submitted to any other potential funding entity and identify when that proposal was submitted, to whom (entity name and program), and when you anticipate being notified of their funding decision.

D3. Unique Entity Identifier and System for Award Management (SAM)

Identifier and System for Award Management (SAM.gov) Registration

This requirement does not apply to individuals applying for funds as individual (i.e., unrelated to any business or nonprofit organization you may own or operate) or any entity with an exception approved by the funding bureau or office in accordance with bureau or office policy. All other applicants are required to obtain a Data Universal Numbering System (DUNS) number from

Dun & Bradstreet and then register in SAM.gov prior to submitting a Federal award application.

Federal award recipients must continue to maintain an active SAM.gov registration with current information through the life of their Federal award(s). See the “Submission Requirements” section of this document below for more information on SAM.gov registration. We may not make a Federal award to an applicant that has not completed the SAM.gov registration. If an applicant selected for funding has not completed their SAM.gov registration by the time the program is ready to make an award, the program may determine that the applicant is not qualified to receive an award. The program can use that determination as a basis for making an award to another applicant. There is no cost to register with Dun & Bradstreet or SAM.gov.

There are third- party vendors who will charge a fee in exchange for registering entities with

Dun & Bradstreet and SAM.gov; please be aware you can register and request help for free.

Obtain a DUNS Number

Request a DUNS Number through the Dun & Bradstreet website. The official website address is http://fedgov.dnb.com/webform. For technical difficulties, send an email to the D&B SAM

Help Desk. Please ensure that you are able to receive emails from SAMHelp@dnb.com. The

Grants.gov “Obtain a DUNS Number” webpage also provides detailed instructions. Once assigned a DUNS number, your organization must maintain up-to-date information with Dun &

Bradstreet. Applicants must enter their DUNS number in the “Organizational DUNS” field on the SF-424, Application for Federal Assistance form.

or recipient has made or has agreed to make any payment using non-appropriated funds for lobbying in connection with the application or award. The SF-LLL form is available on the “Packages” tab of this Funding Opportunity on Grants.gov. See 43 CFR, Subpart 18.100 for more information on when additional submission of this form is required.

http://fedgov.dnb.com/webform mailto:SAMHelp@dnb.com

Register with the System for Award Management (SAM)

Register on the SAM.gov website. “Help” tab on the website contains User Guides and other information to assist you with registration. The Grants.gov Register with SAM page also provides detailed instructions. You can also contact the supporting Federal Service Desk for help registering in SAM. Once registered in SAM, entities must renew and revalidate their SAM registration at least once every 12 months from the date previously registered. Entities are strongly encouraged to revalidate their registration as often as needed to ensure their information is up to date and reflects changes that may have been to the entity’s DUNS or IRS information.

D4. Submission Dates and Times

Application Due Date

TBD

Application Due Date Explanation

D5. Intergovernmental Review Prior to application submission, U.S. state and local government applicants should visit the OMB Office of Federal Financial Management website and view the “State

Point of Contact (SPOC)

List” to determine whether their application is subject to the state intergovernmental review process under Executive Order (E.O.) 12372 “Intergovernmental Review of Federal Programs.”

States not on the list do not participate in the intergovernmental review process, and therefore do not have a SPOC. If you are located within a State that does not have a SPOC, you may send application materials directly to a Federal awarding agency. If your state is on the list, contact the designated entity for more information on the state’s prior review requirements for Federal assistance applications.

D6. Funding Restrictions

Indirect Costs: Individuals

Indirect Costs: Organizations

Electronically submitted applications must be submitted no later than 5:00 p.m., ET, on the listed application due date.

The Federal awarding agency that provides the largest amount of direct funding to your organization is your cognizant agency for indirect costs, unless otherwise assigned by the White House Office of

Management and Budget (OMB). If the Department of the Interior is your organization’s cognizant agency, the Interior Business Center will negotiate your indirect cost rate. Contact the Interior Business

Center by phone 916-930-3803 or using the IBC Email Submission Form. See the IBC Website for more information.

Organizations must have an active Federal award before they can submit an indirect cost rate proposal to their cognizant agency. Failure to establish an approved rate during the award period renders all costs otherwise allocable as indirect costs unallowable under the award.

Required Indirect Cost Statement to be submitted with Application

All organizations must include the applicable statement from the following list in their application, and attach to their application any documentation identified in the applicable statement:

We are:

• A U.S. state or local government entity receiving more than $35 million in direct Federal funding each year with an indirect cost rate of [insert rate]. We submit our indirect cost rate proposals to our cognizant agency. Attached is a copy of our most recently approved rate agreement/certification.

• A U.S. state or local government entity receiving less than $35 million in direct Federal funding with an indirect cost rate of [insert rate]. We have prepared and will retain for audit an indirect cost rate proposal and related documentation.

• A [insert your organization type; U.S. states and local governments, do not use this statement] that has previously negotiated or currently has an approved indirect cost rate with our cognizant agency. Our indirect cost rate is [insert rate]. [Insert either: “Attached is a copy of our most recently approved but expired rate agreement. In the event an award is made, we will submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after the award is made.” or “Attached is a copy of our current negotiated indirect cost rate agreement.”]

• A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency. Our indirect cost rate is [insert rate]. If we receive an award, we will submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after the award date.

• A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency and has an indirect cost rate that is lower than 10%. Our indirect cost rate is [insert rate; must be lower than 10%]. However, if we receive an award we will not be able to meet the requirement to submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after award. We request as a condition of award to charge a flat indirect cost rate of [insert rate; must be lower than 10%] against

[insert a clear description of the direct cost base against which your rate is charged (e.g., salaries; salaries and fringe benefits; or modified total direct costs). However, please note that your organization cannot charge indirect costs in excess of the indirect costs that would be recovered if applied against modified total direct costs as defined in §2 CFR

200.68]. We understand that we must notify the Service in writing if we establish an approved rate with our cognizant agency at any point during the award period.

• A [insert your organization type] that has never submitted an indirect cost rate proposal to our cognizant agency and has an indirect cost rate that is 10% or higher. Our indirect cost rate is [insert your organization’s indirect rate; must be 10% or higher]. However, if we receive an award, we will not be able to meet the requirement to submit an indirect cost rate proposal to our cognizant agency within 90 calendar days after award. We request as a condition of award to charge a flat de minimis indirect cost rate of 10% to be charged against modified total direct project costs as defined in 2 CFR §200.68. We understand that we must notify the Service in writing if we establish a negotiated rate with our cognizant agency at any point during the award period. We understand that additional

Federal funds may not be available to support an unexpected increase in indirect costs during the project period and that such changes are subject to review, negotiation, and prior approval by the Service.

• A [insert your organization type] that is submitting this proposal for consideration under the [“Program Title”], which has a Department of the Interior-approve indirect cost rate cap of [insert program rate]. If we have an approved indirect cost rate with our cognizant agency, we understand that we must apply this reduced rate against the same direct cost base as identified in our approved indirect cost rate agreement per the Financial

Assistance Interior Regulation (FAIR) 2 CFR §1402.414. If we do not have an approved indirect cost rate with our cognizant agency, we understand that must charge indirect costs against the modified total direct cost base defined in 2 CFR §200.68 “Modified

Total Direct Cost (MTDC)”. We understand that we must request prior approval from

[insert Bureau Here] to use the 2 CFR 200 MTDC base instead of the base identified in our approved indirect cost rate agreement. We understand that [Insert Bureau Here] approval of such a request will be based on: 1) a determination that our approved base is only a subset of the MTDC (such as salaries and wages); and 2) that use of the MTDC base will still result in a reduction of the total indirect costs to be charged to the award. In accordance with 2 CFR §200.405, we understand that the indirect costs are not recovered due to a voluntary reduction to our federally negotiated rate are not allowable for recovery via any other means.

• A [insert your organization type] that will charge all costs directly.

Prohibited Uses of Awards Funds

Reimbursement of Pre-Award Costs

D7. Other Submission Requirements

Please be aware that the electronic submission process requires first time users to register using an e- Authentication process. This registration process can be somewhat complex and can take up to 3 weeks to complete. Be advised that it is virtually impossible to begin the process of electronic submission for the first time if you start just a few days before the due date. If you are from a university, contact your Office of Sponsored Programs. They may already have completed the registration process and should work with you to submit the application.

If you have any questions or problems with the registration process, or the completion of the application package, please contact the grants.gov help desk at 1-800-518-4726 or support@grants.gov.

Briefly, when you submit a grant application package to Grants.gov, you will receive a confirmation screen as well as three additional emails over two business days from Grants.gov informing you of your application processing status: 1. Confirmation screen

2. Submission Receipt (with “Track My Application” link) 3. Submission Validation (or

Rejection with Errors) 4. Agency Retrieval

CONFIRMATION: Submission Confirmation Screen.

mailto:support@grants.gov

After you submit your grant application package, a confirmation screen will appear on your computer screen. This screen confirms that you have submitted an application to Grants.gov.

NOTIFICATION 1: Submission Receipt Email Within two business days after your application package has been received by the Grants.gov system, you will receive a submission receipt email which indicates that your submission has entered the Grants.gov system and is ready for validation. This email also contains a tracking number for use while tracking the status of the submission as well as a “Track My Application” link, to use to see the progress of your submission.

NOTIFICATION 2: Submission Validation Receipt Email – This is the important one!

After you receive the submission receipt email, the next email you will receive will be a message validating or rejecting your submitted application package with errors. The Grants.gov system is designed to check for technical errors within the submitted application package. Grants.gov does not review application content for award determination. Grants.gov will not post the application if there are errors. Failure to correct errors and submit by the date and time for closing may not be a reason for accepting a late application.

NOTIFICATION 3: Grantor Agency Retrieval Email Once your application package has passed validation it is delivered to the grantor for award determination and further approval. After the grantor has confirmed receipt of your application, you will be sent a third and final email from

Grants.gov. The grantor may also assign your application package an agency specific tracking number for use within their internal system. IF YOU HAVE NOT RECEIVED THIS E- MAIL

WITHIN FOUR DAYS OF THE CLOSING DATE, PLEASE CONTACT THE

CONTRACTING OFFICER.

If you need help entering your proposal, you can reach the Grants.gov Contact Center at: 1-

800- 518- 4726. Their hours of operation are Monday-Friday, 7:00 a.m. to 9:00 p.m., Eastern

Time, and they are closed on Federal Holidays.

During the application period an applicant may submit a revised or corrected proposal through grants.gov.