M21AS00478.docx

Bureau of Ocean Energy Management

BOEM - Acquisition and Financial Assistance Branch

Assistance Listing: 15.423 Fiscal Year 2021 Environmental Studies Program

M21AS00478

Using Outcomes from Marine Protected Area Implementation to Infer Potential Socioeconomic Consequences of Offshore Energy Development to Commercial Fisheries. (National Studies List (NSL) #PC-21-02)

07/14/2021

Table of Contents

A. Program Description A1. Authority The Outer Continental Shelf Lands Act at 43 U.S.C. 1345(e) authorizes the use of cooperative agreements with affected States to meet the requirements of OCSLA, including sharing of information, joint utilization of available expertise, formation of joint monitoring arrangements to carry out applicable Federal and State laws, regulations, and stipulations relevant to outer continental shelf operations both onshore and offshore.

43 U.S.C. 1346 authorizes the Secretary of the Interior to conduct studies in areas or regions of lease sales to ascertain the environmental impacts on the human, marine, and coastal environments of the outer Continental Shelf and the coastal areas which may be affected by energy or mineral development in such areas. BOEM is the federal administrative agency created both to conduct Outer Continental Shelf (OCS) lease sales and to monitor and mitigate adverse impacts that might be associated with offshore resource development. Within BOEM, the Environmental Studies Program functions to implement and manage research associated with offshore energy and mineral programs.

A2. Background, Purpose and Program Requirements

PURPOSE

The purpose of this study is to describe the detectable socioeconomic consequences experienced by the commercial fishing industry from implementation of formal or de facto marine protected areas (MPAs), and to use this information to inform impact analyses of prospective offshore energy projects, including offshore wind and marine hydrokinetic projects.

This Program Announcement is not an open solicitation for proposals. See Section C.

BACKGROUND

Most commercial fishing activity will be excluded from Pacific Region Outer Continental Shelf (OCS) leases when development of floating wind or marine hydrokinetic energy occurs. The potential socioeconomic consequences of these closures represent a challenge to understand, predict, and mitigate due to a variety of factors, including the confidentiality of fishing data and the challenge of determining what an appropriate control might be in an experimental design. Enhancing the predictive capacity of managers and decision-makers to determine the scope of potential impacts from offshore energy to other users of the OCS will have widespread utility, and aid BOEM in identifying potential lease areas, evaluating lease bids, informing NEPA documents, designing appropriate mitigation measures, and communicating with stakeholders, including affected State governments and renewable energy task forces.

Given the ubiquity of fishing activity on the OCS (Miller et al. 2017), any site selected for offshore energy development will overlap with areas currently used by one or more commercial fishing sectors. Although BOEM does not specifically prevent fishing within OCS leases, the marine infrastructure associated with offshore energy facilities often obstructs the ability of fishers to use certain gear or harvest methods (e.g., trawl, pot/trap, longline, nets, etc.), and this space-use conflict between industries creates, in effect, a marine protected area (MPA). For example, reef fishes that inhabit marine energy infrastructure offshore southern California show typical ecological responses to MPA protection, such as larger mean sizes and higher densities, when compared to unprotected areas (Schroeder and Love, 2002). Ashley et al. (2014) suggest that this MPA effect may also be present at offshore wind and wave energy installations.

Evidence exists that offshore energy structures may function as de facto MPAs in an ecological context. However, a full accounting of potential commercial fishing impacts from offshore structures must also include socioeconomic consequences and not just ecological ones. Datasets and opportunities exist to examine this question for various MPA implementation campaigns, particularly on the US West Coast. Even though there is the potential for such analyses, the short-term economic consequences of MPAs to fisheries have rarely been examined. Some scholars predicted that economic consequences would be roughly equivalent to the value of species harvested in the restricted area (e.g., Leeworthy and Wiley, 2003), but the accuracy of this prediction was never evaluated. Elsewhere scientists demonstrated no detectable effects of large closures to longline fisheries (Lynham et al., 2020), and Lenihan et al. (2021) showed that a 35% reduction in lobster fishing grounds resulting from MPA designation in the Santa Barbara Channel, California, was compensated for by a 225% increase in total catch after six years. Understanding which factors may influence the direction and intensity of potential effects of offshore energy development to fisheries remains a high priority information need for BOEM.

STUDY OBJECTIVES

1. Given available information, which socioeconomic indicators (e.g., number of trips, distance traveled, catch per unit effort, etc.) will best measure potential impacts to commercial fishing from offshore wind and wave energy development?

2. Which ecological, cultural, and governance indicators enhance the interpretation of socioeconomic indicators identified in the first question?

3. Using outcomes from previous case studies, what are the predicted short-term socioeconomic consequences of MPA implementation to commercial fishing sectors from proposed renewable energy development offshore California?

DESCRIPTION OF WORK

Work planned as part of this award will build upon results from ongoing and completed studies, including Scenarios for Offshore Renewable Energy along the Central California Coast (PC-16-01; https://www.boem.gov/pc-16-01), and Identification of Outer Continental Shelf renewable energy space-use conflicts and analysis of potential mitigation measures (Industrial Economics, 2012).

Study outcomes will include the identification of a suite of socioeconomic indicators that can be used to estimate of the intensity of potential impacts to the fishing industry from offshore energy, and a better understanding of how to monitor and mitigate these impacts. Three “Call Areas” where prospective wind energy development may occur have been identified offshore California. Seabed depths within these Call Areas range from 400 m to 1220 m, and therefore are likely to generate some space-use conflicts with fishery sectors operating under the Pacific Coast Groundfish Fishery Management Plan (PFMC, 2020). The work plan shall prioritize evaluating data and case studies that can contribute to understanding the potential impacts of renewable energy development to these sectors and shall support impact analyses needed to meet BOEM’s obligations under the National Environmental Policy Act for the Pacific Region.

For the proposed work, a case study is defined as an in-depth exploration of an event that is bound by selected variables (Moon et al. 2016). The variables binding fisheries case studies shall be time, gear, taxa, fishing grounds, and other variables that may be determined to be important (e.g. vessel size, home port). Sources of information to identify case studies shall be acquired from discussions with fisheries managers and stakeholders, online sources, personal knowledge, published and unpublished data sets, other BOEM-funded studies, tribal representatives and liaisons, international examples, libraries/databases and portals as appropriate (e.g. PacFIN; https://pacfin.psmfc.org/).

In the commercial fishing industry, socioeconomic outcomes often tightly link to ecological characteristics (e.g. spatial and temporal variability of harvested populations and key habitats, compensatory response to fishing mortality, larval connectivity, behavior linked to migration or home range size, etc.). For each case study evaluated, the recipient shall identify biological covariates and/or other indicators that will improve monitoring of socioeconomic outcomes from OCS energy activities.

All members of the project team shall comply with the Department of the Interior’s Policy regarding the Integrity of Scientific and Scholarly Activities (https://www.doi.gov/scientificintegrity).

Possible tasks may include, but are not limited to:

1. Host Post-Award Meeting. Recipient shall prepare materials (draft agenda and action plan) and host a Post-Award Meeting with BOEM to review the proposed work plan.

2. Acquire data and background information on fisheries and marine protected areas. The recipient shall present a plan that identifies information relevant to the three study objectives and how new data, including covariates, will be acquired.

3. Prioritize case studies. The recipient shall review acquired information and prioritize case studies that will contribute to understanding the potential impacts of offshore wind energy development to fishery sectors most likely affected by development within California’s Call Areas (https://www.boem.gov/california); other geographic areas and energy development scenarios may be assessed if available time and funding exist. Recipient shall determine appropriate assessment methodology, which shall include identifying appropriate indicators, for each case study selected and review planned methodology with appropriate agencies that provided source data and with fishers associated with the fishery featured in each case study.

4. Perform analyses. The recipient shall demonstrate knowledge of available experimental designs to test hypotheses regarding potential socioeconomic outcomes of past MPA implementation, and, for each case study selected for in-depth analysis, provide a thorough description and justification of statistical approaches used to test hypotheses. For example, when disentangling the causal effect of MPAs from other drivers in fishery socioeconomic outcomes, researchers may focus on relevant metrics (e.g., total landing revenues, catch per unit effort, number of trips, kilometers traveled, etc.) identified in the previous tasks, and establish proper treatment and control datasets.

5. Synthesize information. Recipient shall produce a Technical Summary, a Draft and Final Reports, and ESPIS Study Footprint Specifications that describes the methods, results, and key findings of the study. Conclusions contained within the synthesis shall include a discussion on priority indicators necessary to monitor potential impacts to fisheries affected by renewable energy development offshore California.

6. Data submission. Concurrent with submission of the Draft Report, the recipient shall submit all databases, metadata, and other information relevant to the analyses conducted in the Draft Report, and sensitive or confidential data shall be clearly marked.

7. Present findings to BOEM and stakeholders. Recipient shall give an oral presentation that presents an overview of the study and its key findings to (a) the Pacific Region of BOEM, and (b) the California Intergovernmental Renewable Energy Task Force, or other audience mutually agreed upon by the Project Officer and the recipient.

8. Submit Quarterly Progress Reports and attend Quarterly Progress Meetings. See further details in Quarterly Progress Reports and Meetings section below (see Section H).

See Section H.

Assistance Listing Number (Previously Catalog of Federal Domestic Assistance (CFDA)) Number) (See https://sam.gov/content/home) 15.423

Authorizing Legislation Section 1345 of the Outer Continental Shelf Lands Act (OCSLA) authorizes the use of cooperative agreements with affected States to meet the requirements of OCSLA, including sharing of information, joint utilization of available expertise, formation of joint monitoring arrangements to carry out applicable Federal and State laws, regulations, and stipulations relevant to outer continental shelf operations both onshore and offshore.

OCSLA Section 1346 mandates the conduct of environmental and socioeconomic studies needed for the assessment and management of environmental impacts on the human, marine, and coastal environments which may be affected by oil and gas or other leases.

B. Federal Award Information

B1. Total Funding Estimated Total Funding $475,000 This Program Announcement is not an open solicitation for proposals. This Announcement's intent is to specifically describe the project "Using Outcomes from Marine Protected Area Implementation to Infer Potential Socioeconomic Consequences of Offshore Energy Development to Commercial Fisheries" that may be awarded to the University of California, Santa Barbara. The award is contingent upon receipt of an acceptable proposal. The total amount of federal funds available for this multi-year award is anticipated to be $475,000 and is subject to the availability of funds. BOEM anticipates making one cooperative agreement award in FY 2021 for one submission under this Program Announcement.

B2. Expected Award Amount Maximum Award Amount $475,000 Minimum Award Amount $425,000

B3. Anticipated Dates Anticipated Award Start Date September 17, 2021

B4. Period of Performance Length of Project Periods 24-month project period with two 12-month budget periods

Project Period l Expectation Duration in Months 24 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.

B5. Number of Awards Expected Number of Awards

B6. Type of Award Funding Instrument Type CA - Cooperative Agreement The award will be a cooperative agreement (see Section A1, Authority, above). This involves substantial involvement by BOEM scientists in various aspects of study development and/or study conduct.

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 See “Additional Information on Eligibility” below.

Additional Information on Eligibility

1. This Program Announcement is specifically to declare the intent to undertake the following project: Using Outcomes from Marine Protected Area Implementation to Infer Potential Socioeconomic Consequences of Offshore Energy Development to Commercial Fisheries.

2. This Announcement describes a cooperative agreement that may be awarded to the University of California, Santa Barbara, under the umbrella of the California Cooperative Ecosystem Studies Unit (CESU), of which both BOEM and UCSB are members. A CESU project is a collaborative effort of agency and partner scientists initiated upon agency or partner identification of a need to address an area of concern that falls under the California CESU mission. This is not an open solicitation for proposals. This award is contingent upon the receipt of an acceptable proposal.

C2. Cost Sharing or Matching Cost Sharing/Matching Requirement: None

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

D1. Address to Request Application Package The application must be submitted through the www.Grants.gov portal.

The applicant can locate the application package by visiting the Grants.gov portal and searching on CFDA number 15.423 or Announcement M21AS00478 in the Grants.gov search engine.

D2. Content and Form of Application Submission SF-424, Application for Federal Assistance The electronic submission System requires several preliminary registration steps before the actual proposal can be submitted. Go to grants.gov and click on "Applicants" for instructions. Also please see Sections D3 and D7 below.

In addition to the SF-424 Application for Federal Assistance applicants must submit the following:

· SF-424a Budget Information - Non-Construction Programs

· SF-424b Assurances - Non-Construction Programs

· Project Narrative

· Budget Narrative with Federally Negotiated Indirect Cost Rate Agreement

· Budget Worksheet

· Grants.gov Lobbying Form

· Complete SF-LLL only if lobbying has occurred.

These forms will be with the Grants.gov announcement package.

Project Summary Using Outcomes from Marine Protected Area Implementation to Infer Potential Socioeconomic Consequences of Offshore Energy Development to Commercial Fisheries (National Studies List [NSL]# PC-21-02)

Project Narrative The Project Narrative should include the Proposal Cover Sheet and Proposal Text.

1. Proposal Cover Sheet: The cover sheet of the proposal shall contain the following information:

a. Project Title:

b. Primary Investigator ( PI) and Co-PI(s):

i. Name:

ii. Address:

iii. Phone:

iv. E-mail:

c. Name/Department of Organization

d. Contact Information for Technical and Administrative Negotiations

e. Project Status: New/Continuation

f. Project Duration: (years or months)

g. Proposed Start Date:

h. Proposed Draft Final Report Submission Date:

i. Proposed Completion Date:

j. Amount Requested From BOEM:

k. Amount and Sources of Non-Federal Match:

l. Total Project Cost:

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

n. Proposal Endorsement, including Signature, Name, Contact Information of Sponsoring University Department Dean or Institute Director:

o. Signature, Name and Contact Information, Office of Sponsored Programs, Appropriate Cooperative Ecosystem Studies Unit, etc.:

2. 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 a-n below should be no longer than 15 pages. Please include the following in the Proposal:

a. Abstract.

b. Background/Relevance to BOEM Issues, Information Needs, and Research Topics. Give a brief introduction to the research problem. State how the proposal addresses BOEM goals. Explain why the work is important. Specify the contribution to science related to multi-disciplinary science observations and the benefits that society will receive from the study. Describe why the research is important to offshore energy development issues. Provide a brief summary of findings or outcomes of any prior work you have completed in this area.

c. Objectives/Hypotheses. Clearly define goals of the project.

d. Methods/Analyses. Provide a clear description of planned methodologies and analyses.

e. Data Management, Data Security and Data Archiving Plan. State intent to provide copies of data files with metadata to BOEM in a format that meets Federal data standards (e.g., current Federal Geographic Data Committee standards). Copies shall also be archived with the National Centers for Environmental Information (formerly National Oceanographic Data Center), the National Environmental Satellite, Data, and Information Service, or another appropriate Federal Data Repository as clearly identified in the proposal.

f. For studies involving field work, or as otherwise appropriate, the applicant shall provide plans for Logistics, Safety Management, and necessary Permits/Interagency Coordination/Local Coordination.

g. Project Management/Staffing Plan. All key personnel (including graduate student workers) shall be identified by name. List the 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 vitae must be submitted prior to award.

h. Performance Measures. The applicant 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.

i. Timeline (including deliverables). Provide for submission of the draft final report six months before project end date to ensure adequate time for BOEM review and revisions to the draft.

j. 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.

k. Project Deliverables and Planned Products. Applicants shall provide plans for executing the duties of the awardee listed in Section A2 and the deliverables as outlined in Section H including a timeline for these deliverables.

l. Presentations. Pursuant to Task 7, Present findings to BOEM and stakeholders (See Section A.2 of this announcement), the Recipient shall prepare and deliver an oral presentation that presents an overview of the study and its key findings to (a) BOEM, and (b) the California Intergovernmental Renewable Energy Task Force, or other audience mutually agreed upon by the BOEM Team and the recipient. The recipient shall provide the BOEM Team with a copy of the presentation materials two (2) weeks in advance of the meeting, allowing time for review and feedback if necessary. (See Section H for more information.).

m. Local Outreach. Applicants are encouraged to disseminate research results to relevant local communities (e.g., displaying a poster at schools or public events, or a presentation of study findings to local residents). Outreach should be in language appropriate to a non-science, lay audience.

n. 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.

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

p. Letters of Commitment. If applicable, provide signed letters of commitment by matching fund grantors, contractors, and sub-grantees.

Budget Spreadsheet and Budget Narrative:

1. Budget Spreadsheet: Include information in a format that 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 if applicable. Detail how the SF-424A Budget Information, Object Class Category totals were determined.

2. Budget 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. Describe and justify requested budget items and costs. Please include the following:

a. Salaries and Wages. List positions, rate of compensation, and estimates of time spent on the project for employees.

b. 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.

c. Lab Analyses. Briefly itemize cost of all laboratory analytical work, if any.

d. 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 200.317 (State Governments) or 2 CFR 200.318-327.

e. 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 item should be itemized and include a full justification and a dealer or manufacturer quote, if available. Title to non-expendable personal property shall be vested solely with the recipient. Under no circumstances shall property title be vested in a sub-tier recipient. Provide a statement that equipment will be purchased in accordance with 2 CFR 200.317 (State Governments) or 2 CFR 200.318-327 and managed in accordance with 2 CFR 200.313. General-purpose equipment (used also for purposes other than this project) must be purchased from the applicant’s operating funds.

f. Services or Consultants. Identify the tasks or problems for which such services would be used. List the contemplated sub-recipients 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.

g. 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.

h. 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. Open-access scientific publications are encouraged.

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

j. Total Direct Charges. Sum of above items.

k. Indirect Charges (Overhead). Indirect cost/general and administrative (G&A) cost. Show the proposed (CESU) 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.

l. Amount Proposed. Sum of Total Direct Charges and Indirect Charges (Overhead).

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

(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) 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.

(d) 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 200.339, 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 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.

(a). 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.

(b) 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 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.

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 regard 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 regard 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 regard 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 All entities wishing to do business with the federal government must have a unique entity identifier (UEI). Currently, the DUNS number, which is a unique nine-character identification number provided by Dun & Bradstreet (D&B) free of charge, is the official UEI. Recipients must 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. 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.

For first time SAM.gov users:

All entities wishing to do business with the federal government must have a unique entity identifier (UEI). Currently, the DUNS number, which is a unique nine-character identification number provided by Dun & Bradstreet (D&B) free of charge, is the official UEI.

1. 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. Additional information may also be obtained from the SAM.gov website under “Register Your Entity.” Once assigned a DUNS number, your organization must maintain up-to-date information with Dun & Bradstreet. Applicants must enter their DUNS number in either the Organizational DUNS or UEI field on the SF-424, Application for Federal Assistance form. Please note: 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.

2. Register with the System for Award Management (SAM) Register on the SAM.gov website under “Register Your Entity.” The “Help” tab on the website also contains User Guides and other information to assist you with registration. 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 08/17/2021 Application Due Date Explanation Electronically submitted applications must be submitted no later than 5:00 p.m., Eastern Daylight Time, on the listed application due date.

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: Organizations 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 (IBC) will negotiate your indirect cost rate. Contact the IBC by phone 916-930-3803 or using the IBC Email Submission Form. See the Interior Business Center 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 200.1]. We understand that we must notify BOEM 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 §200.1. We understand that we must notify BOEM 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 BOEM.

· A [insert your organization type] that is submitting this proposal for consideration under the [“Program Title”], which has a Department of the Interior-approved 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 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 §200.1 “Modified Total Direct Cost (MTDC)”. We understand that we must request prior approval from BOEM to use the 2 CFR 200 MTDC base instead of the base identified in our approved indirect cost rate agreement. We understand that BOEM 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.

D7. Other Submission Requirements

For first time users of Grants.gov:

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), and (4) Agency Retrieval.

1. Confirmation: Submission Confirmation Screen.

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.

2. 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.

3. 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.

4. 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 FEDERAL AWARDING AGENCY CONTACT SHOWN IN SECTION G1 BELOW.

If you need help entering your proposal, you can reach the Grants.gov Contact Center at: 1-800- 518- 4726. They are available 24 hours a day 7 days a week excluding federal holidays. During the application period an applicant may submit a revised or corrected proposal through grants.gov. Include a cover letter as the first page of the proposal stating that the proposal is revised and indicating that the previous submittal is to be withdrawn from consideration. See Section D2, Content and Form of Application Submission, which describes requirements for the proposal and other application components. Please allow sufficient time for the proposal to be submitted electronically through Grants.gov and allow time for possible computer delays. Applicants are strongly advised not to wait until the last minute for submission. A proposal received after the closing date and time will NOT be considered for award. If BOEM determines that a proposal will not be considered for award due to lateness, the applicant will be notified immediately.

D8. Application Checklist SF-424, Application for Federal Assistance or Application for Federal Assistance-Individual SF-424B, Assurances SF-424A, Budget Information Project Narrative Budget Narrative Indirect Cost Statement and related documentation (when applicable) Grants.gov Lobbying Form: Certification Regarding Lobbying SF-LLL, Disclosure of Lobbying Activities (when applicable). Complete the optional SF-LLL Lobbying Form only if lobbying has occurred.

E. Application Review Information

E1. Criteria

1. Scientific Quality and Impact Maximum Points: 20 Is the proposed study of high scientific quality with clear objectives? Are hypotheses clear? Is it of relevance to the State of California and BOEM missions? Is the approach proven or will the project use a unique approach? Is the approach well thought out?

2. Work Plan/Methodology Maximum Points: 20 Is the strategy coherent and clear? Are the scientific objectives appropriate for the proposed time frame? Are the geographic areas selected for study appropriate?