NOAA-NESDIS-NESDISPO-2020-2006307 Full Announcement.pdf

Cooperative Institute for Meteorological Satellite Studies

TABLE OF CONTENTS

I. Funding Opportunity Description 4

A. Program Objective 4 B. Program Priorities 5 C. Program Authority 9

II. Award Information 9 A. Funding Availability 9 B. Project/Award Period 9 C. Type of Funding Instrument 10

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

IV. Application and Submission Information 10 A. Address to Request Application Package 10 B. Content and Form of Application 11 C. Unique Entity Identifier and System for Award Management (SAM) 15 D. Submission Dates and Times 15 E. Intergovernmental Review 16 F. Funding Restrictions 16 G. Other Submission Requirements 16

V. Application Review Information 16 A. Evaluation Criteria 16 B. Review and Selection Process 18 C. Selection Factors 18 D. Anticipated Announcement and Award Dates 19

VI. Award Administration Information 19 A. Award Notices 19 B. Administrative and National Policy Requirements 20 C. Reporting 24

VII. Agency Contacts 25 VIII. Other Information 25

Notice of Federal Funding Page 1 of 26

NOTICE OF FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): National Environmental Satellite Data and Information Service (NESDIS), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce

Funding Opportunity Title: Cooperative Institute for Meteorological Satellite Studies

Announcement Type: Initial

Funding Opportunity Number: NOAA-NESDIS-NESDISPO-2020-2006307

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

Dates: Applications must be received by NESDIS no later than January 8, 2020, 11:59 p.m.

EDT. For applications submitted via Grants.gov, a date and time receipt indication will form the basis for determining timeliness. For those applicants not having access to the Internet, one signed original and two hard copy applications must be received by NESDIS at the following address:

Dr. Christopher Brown, NOAA NESDIS STAR/CoRP, NCWCP (E/RA1), 5830 University Research Court, Office #2600, College Park, Maryland 20740-3818. Use of U.S. mail or another delivery service must be documented with a receipt. (Note that late-arriving hardcopy applications provided to a delivery service on or before 11:59 p.m. EDT on the closing date for applications will be accepted for review if the applicant is able to document that the application was provided to the guaranteed delivery service by the specified closing date and time and if the application is received by NESDIS no later than 11:59 p.m., EDT, two business days following the closing date.) No facsimile or electronic mail applications will be accepted. Applications submitted after 11:59 p.m. EDT, January 8, 2020 will not be reviewed or considered for funding.

Funding Opportunity Description: The NOAA National Environmental Satellite, Data, and Information Service (NESDIS) invites applications for a Cooperative Institute (CI) that will focus on satellite studies related to weather and environmental analysis. The CI will focus on the following themes: (1) Satellite Research and Applications; (2) Satellite Sensors and Techniques;

(3) Environmental Models and Satellite Data Assimilation; and (4) Outreach and Education.

The new CI will be established at a research institution having an outstanding graduate degree program in NOAA-related sciences and will also be expected to work closely with federal employees in the NESDIS Center for Satellite Applications and Research (STAR) Advanced

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Satellite Products Branch currently located in Madison, WI.

The CI will provide significant coordination of resources among any non-governmental partners and will promote the involvement of students and post-doctoral scientists in NOAA-funded research. If the CI is comprised of multiple member institutions, NOAA will issue only one award to the lead institution that applied for the award and where the CI will be established.

The research at the new CI will emphasize satellite meteorology, specifically the use of satellite observations to retrieve geophysical variables -- such as temperature, moisture, precipitation, aerosols and clouds, trace gases, snow, ice, volcanic ash, fires, smoke, and winds -- in support of weather and environmental analysis. Activities will include calibration of satellite measurements, development of new algorithms and products, validation of derived products, evaluation of new techniques that merge satellite data and in situ observations, generation of satellite-derived climate data records, and assimilation of satellite data in weather and Earth System models.

Working with users to enhance applications of satellite products in operational environments such as numerical weather and air quality prediction, ice analysis, volcanic and severe weather detection are critical to the overall success of the CI. The new CI will explore and develop new methods for data stewardship for data sets developed and maintained by NOAA, including storage, access and dissemination of experimental and demonstration data sets to the community.

Significantly more environmental data, both satellite and in situ, are expected in the next decade. To fully realize the benefit of these data and use them to advance NOAA’s mission, improved systems for data quality, management, processing, analysis, assimilation, modeling and availability will be required. This includes pursuing and implementing scientific advances in areas such as cloud computing, machine learning, and computational intelligence to exploit “big data.” The CI should therefore have the facilities and expertise to perform research in technological fields, such as information technology and systems engineering.

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The purpose of this announcement is to invite the submission of proposals to establish a Cooperative Institute for Meteorology Satellite Studies and to provide details addressing the application, review, and selection process.

CI Concept/Program Background:

A Cooperative Institute (CI) is a NOAA-supported, non-Federal organization that has established an outstanding research program in one or more areas that are relevant to the NOAA mission "to understand and predict changes in in climate, weather, oceans, and coasts, to share that knowledge and information with others, and to conserve and manage coastal and marine ecosystems and resources.” CIs are established at research institutions with outstanding graduate degree programs in NOAA-related sciences. CIs provide significant coordination of resources among all non-government partners and promote the involvement of students and post-doctoral scientists in NOAA-funded research.

NOAA establishes a new CI competitively when it identifies a need to sponsor a long-term (5-10 years) collaborative partnership with one or more outstanding non-Federal, non-profit research institutions. For NOAA, the purposes of this long-term collaborative partnership are to promote research, education, training, and outreach aligned with the NOAA mission, to obtain research capabilities that do not exist internally, and to expand research capacity in NOAA-related sciences. In developing such a partnership, NOAA will:

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

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

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

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

The Institute can be comprised of a single academic institution that offers accredited graduate level degree-granting programs in NOAA-related sciences or a consortium of academic institutions with the aforementioned programs and their supporting research

Notice of Federal Funding Page 4 of 26 affiliates. Each proposing entity must have strong programs in support of at least one of the identified research areas. CIs conduct research under approved administrative tasks, as described below. These tasks may not be redefined or abbreviated:

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

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

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

B. Program Priorities

Research Themes of the Proposed Cooperative Institute for Meteorology Satellite Studies:

I. Satellite Research and Applications – The CI must be capable of providing expertise in the development, evaluation and analysis of new and innovative satellite products that can ultimately be transitioned into NOAA operations to support weather and climate information needs, such as (a) global atmospheric and surface characteristics from geostationary and polar-orbiting imagers, hyperspectral sounders, altimeters, and scatterometers, including temperature and humidity profiles, winds, cloud properties, atmospheric chemicals (e.g., ozone and carbon monoxide), snow, land and sea ice, algal blooms, and tropical cyclones;

(b) sounders and imagers for aviation applications, including turbulence, stability, and volcanic ash; (c) early warnings for drought and drought monitoring; (d) severe weather and associated alert systems; (e) detection and monitoring of fires and smoke associated with wildfires, prescribed burns, deforestation and agricultural applications throughout the world;

(f) proving ground activities, including demonstrations of product applications in collaboration with operational users such as National Weather Service (NWS) forecasters and ice analysts; (g) analysis of the atmospheric interactions with, and impacts on, coastal, Great Lakes, and ocean waters; and (h) compilation and analysis of cloud, fire, and sea/lake ice time series products (climate data records).

II. Satellite Sensors and Techniques – The CI is expected to provide expertise in the evaluation of existing and proposed satellite sensors, algorithms, and measurement techniques for meteorological applications. This includes satellite sensor calibration and multi-satellite intercalibration, sensor performance analysis, specification of instrument

Notice of Federal Funding Page 5 of 26 characteristics and applications for future satellite imagers and sounders, new technologies for small satellites such as cubesats, multi-sensor data fusion, cloud computing, and machine learning approaches, and product validation with field observations, other satellite products, and model fields.

III. Environmental Models and Satellite Data Assimilation – The CI will use satellite-derived fields for numerical model assimilation and verification. Activities will include the development of satellite data assimilation methods and model impact studies to improve numerical weather analysis, nowcasting, assimilation of satellite-derived atmospheric composition products in atmospheric chemistry models, and observing System Experiments and Observing System Simulation Experiments. Techniques must be developed whenever possible within the framework of the Joint Effort for Data assimilation Integration (JEDI) in order to prepare for the transition into NOAA operations, but might also utilize in-house capabilities. The CI would need to develop observing system analysis and design capabilities in conjunction with NOAA, where possible adopting a Unified Forecast System (UFS) / JEDI approach.

IV. Outreach and Education - The CI will foster formal education and/or training, nationally and internationally, of students, scientists, resource managers and the general public in the use of remotely-sensed data sets and numerical models through short courses, workshops, site visits, Internet-based training sessions, web-based material, presentations, forums, and exhibits at public science museums. The CI is expected to work with NWS at all levels.

Initially, approximately 75% of the non-base funding will be for the first two themes (Satellite Meteorology Research and Applications; Satellite Sensors and Techniques) and 25% for the third and fourth themes (Environmental Models and Data Assimilation;

Outreach and Education). These proportions may change in response to evolving priorities with new satellite programs.

COOPERATIVE INSTITUTE CAPABILITIES

The proposed CI should provide the flexibility needed to work on a broad range of research in collaboration with the NESDIS Center for Satellite Applications and Research (STAR) and the National Centers for Environmental Information (NCEI), the NWS Ocean Prediction Center (OPC) and Environmental Modeling Center (EMC), the NWS Forecast Offices including the Alaska Sea Ice Program (ASIP), the OAR Climate Program Office (CPO) and research laboratories, the NOAA/NASA/DOD Joint Center for Satellite Data Assimilation (JCSDA), and the National Ice Center (NIC).

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The CI should have a wide range of scientific expertise. Unique characteristics and capabilities that will be required of the new CI include:

- Experience in satellite remote sensing of clouds, snow, land and sea ice, volcanic ash, atmospheric and sea surface temperature, atmospheric and soil moisture, precipitation (including snowfall), fires, coastal and Great Lake algal blooms, drought monitoring and prediction, and conditions that lead to severe weather.

- Evolutionary and revolutionary algorithm development; i.e. the initial creation of innovative satellite products and evolutionary changes in response to user needs and new satellite capabilities.

- Both geostationary and polar-orbiting satellite expertise, including the specification of sensor characteristics and calibration.

- Software design for data analysis, operational implementation, and visualization.

- End-to-end processing, from satellite sensor specification and algorithm development to support the transition of research products to an operational environment.

- Scientific analysis of satellite products for weather and environmental analysis, including satellite data assimilation in weather and Earth system models.

- Capability to organize and participate in field campaigns for the validation of satellite products.

- A history of innovation and applications of new technologies. For the near future, this includes multi-sensor fusion, cloud computing, processing “big data”, machine learning, and artificial intelligence.

- Data handling capabilities, including real-time satellite data acquisition, processing, reformatting, storage, and distribution. Development of new data handling capabilities.

- Training programs, graduate and undergraduate student support and mentorship, visiting scientists from the US and abroad.

- Collaborations with satellite agencies in other countries and international involvement in efforts to shape the global space-based observing system.

- A strong record of publications in leading scientific journals.

- Collocation with an atmospheric sciences academic department that has a strong remote sensing program and offers graduate degrees.

The CI must also have a strong education program with established graduate degree programs in NOAA-related sciences, with a special emphasis on the theory and practice of remote sensing. These programs must provide opportunities to train the next generation of scientists and NOAA employees by giving undergraduate, graduate students, and postdoctoral scientists opportunities to participate in NESDIS research and development projects. To strengthen the collaborations between NOAA and the CI, many students and postdocs should be located close enough to allow them to work with NOAA STAR scientists

Notice of Federal Funding Page 7 of 26 in the Madison, WI area on a routine (weekly) basis. This training is extremely important for NOAA and serves as a pipeline as it strives to attract and maintain a world-class and diverse scientific workforce.

The Nation’s underrepresented minority students enrolled in undergraduate science, technology, engineering or mathematics (STEM) degree programs and gaining degrees, are an untapped talent pool. NOAA is committed to developing a future workforce that reflects the diversity of the Nation and encourages the CI to work with Mioroty Servign Institutuions (MSIs) and NOAA Cooperative Science Centers (CSCs). Applicants should clearly desscribe how they will recruit and train a more diverse and inclusive workforce.

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

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

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

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

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

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

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

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

The CI is expected to promote student and postdoctoral involvement in research projects in ways to train the next generation of scientists. The CI should provide substantial support for graduate and undergraduate students and post-doctoral scientists that will support the development of a wide range of expertise. NOAA can capitalize on this expertise, as CI employees and students will work with NOAA to conduct research that complements NOAA’s mission needs and serve as a pipeline as it strives to attract and maintain a world-class and diverse scientific workforce.

COMPOSITION OF THE INSTITUTE

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

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

RESEARCH FOCI

The CI will also help NOAA meet a number of critical research objectives identified in the Agency’s 20-year research vision and numerous research plans that have been developed including Weather Research and Forecasting Innovation Act, Pub. L. 115-25 (April 18, 2017), and U.S. Department of Commerce Strategic Plan 2018-2022 to reduce the impact of extreme weather and water events.

For example, NESDIS has relied heavily on CI staff for the formation of its instrument and algorithms teams for clouds, atmospheric soundings, cryosphere, volcanic ash, severe weather, fires, tropical cyclones, winds, precipitation, and air quality. Developing expertise in new sensors has taken many years and the ability of NESDIS to collaborate with an established CI has allowed NESDIS to rely on CI staff for critical functions. CIs provide NOAA with access to the same levels of continuous and mature technical expertise.

C. Program Authority

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

II. Award Information

A. Funding Availability

All funding is contingent upon the availability of Federal appropriations. NOAA anticipates up to $30 million will be available annually for this CI. The actual annual funding that the CI receives may be less than the anticipated amount and will depend on the actual projects that are approved by NOAA after the main CI award begins, the availability of funding, the quality of the research, the satisfactory progress in achieving the stated goals described in project proposals, and continued relevance to program.

B. Project/Award Period

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

C. Type of Funding Instrument

The funding instrument for this award will be a cooperative agreement since several NOAA organizations will be substantially involved in working with the CI. Examples of substantial involvement may include, but are not limited to, proposals for collaboration between NOAA scientists and a CI scientist and/or assistance by NOAA personnel in developing curricula. NOAA will issue only one award to the successful institution or, in the event that a consortium of academic institutions and supporting research affiliates submits the successful application, to the lead academic institution of the proposed consortium that applied for the award and where the CI will be established and resident.

III. Eligibility Information

A. Eligible Applicants

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

B. Cost Sharing or Matching Requirement

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

C. Other Criteria that Affect Eligibility

Not applicable.

IV. Application and Submission Information

A. Address to Request Application Package

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The standard application package, consisting of the standard forms, i.e., SF-424, SF424A, SF-424B, SF-LLL, and the CD-511, is available at http://www.grants.gov. Users of Grants.gov will be able to download a copy of the application package, complete it offline, and then upload and submit the application via the Grants.gov site. If an applicant has problems downloading the application forms from Grants.gov, contact Grants.gov Customer support at 1-800-518-4726 or suppport@Grants.gov. For applicants without Internet access, an application package may be secured by contacting:

Dr. Christopher Brown National Oceanic and Atmospheric Administration NESDIS STAR/CoRP NCWCP (E/RA1), Office #2600 5830 University Research Ct College Park, MD 20740-3818 301-405-8031 christopher.w.brown@noaa.gov

Applicants are strongly encouraged to apply online through the Grants.gov website. Paper submissions are only acceptable only if internet access is not available.

B. Content and Form of Application

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

As required by the National Environmental Policy Act (NEPA), NOAA must analyze the potential environmental impacts of applications that request Federal funding. In order for NOAA to complete its analysis, NOAA must address NOAA’s Environmental Compliance Questionnaire for Federal Financial Assistance Applicants, which may be found at:

https://www.nepa.noaa.gov/docs/NOAA-Grants-Questionnaire-final.pdf.

Applicants are required to submit answers to the following abbreviated set of questions and, depending on the specifics of the project as indicated in response to those questions, may be required to provide additional detail, prior to a funding decision, as NOAA deems necessary in order for NOAA to fulfill its NEPA responsibilities:

Project Title

Name and contact information for the principal investigator

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Describe the proposed activity, including, as applicable:

- its purpose, objectives, and goals;

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

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

- any proposed mitigation or monitoring measures and protocols;

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

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

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

1. Proposals

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

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

2. Required Elements Failure to include the following elements will result in proposals being returned to the submitter without review:

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

b. Abstract. An abstract must be included and should contain a brief description of the CI, research themes, and proposed activities. The abstract should appear on a separate page, Notice of Federal Funding Page 12 of 26 headed with the proposal title, institution’s investigators, total proposed cost, and budget period.

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

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

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

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

The Research Theme Section includes information that will help NOAA determine the quality of the CI’s capabilities and the expertise at the CI needed to conduct outstanding research in each of the research themes described in Section I.B. This Section also includes project descriptions of research projects that could be conducted by the CI under each theme (or combination of themes), if sufficient funding during the five-year award is provided. The selection of this proposal neither precludes the CI from proposing additional research projects after the award has been made as long as they fit under one of the research themes, nor obligates NOAA to fund the projects proposed in this application. Following the selection of the award, the CI will be required to provide a complete proposal and budget for each research project funded under the CI award after consulting with the NESDIS CoRP Division Chief, and the NOAA program(s) that provide funding for the project.

The Education Section includes information on NOAA-related education programs offered at the CI’s institution(s), including a complete list of terminal degrees in these programs.

This section should also describe how the CI will integrate students and post-docs into the research projects at the CI, as well conduct outreach and education activities in support of the research themes.

The Business Plan should be well-developed and include details regarding CI governance structure, fiscal and human resource management and administration, as well as strategic planning and accountability. It must describe the organizational structure of the CI, how it will operate, the responsibilities of the participants from multiple institutions, and the composition of the Executive Board and Council of Fellows (as well as each governing

Notice of Federal Funding Page 13 of 26 entity's roles and responsibilities, consistent with the terms of the Cooperative Institute Handbook). The Business Plan must describe how the CI chooses projects and reviews its progress, as well as how the CI will support enhanced communication and collaborations with NOAA. If any CI personnel will work in NOAA-operated facilities, the Business Plan must describe the administrative support structure for such personnel.

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

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

Additionally, the CD-512 “Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying” is required to be submitted with the application package. To do this, download the form from http://ci.noaa.gov/sites/lci/Documents/Forms/funding_forms_CD-512.pdf. Fill out, sign, scan, and attach the form to the application package. The proposal must include total and annual budgets corresponding to the descriptions provided in the project description not to exceed $30M, with possible reasonable inflationary escalation in subsequent years. NOAA uses the proposed annual budgets to establish a funding for the entire award. After award selection, annual funding will be provided only after approval by the NOAA Grants Officer of an annual research plan or any other proposal submitted to NOAA that includes a detailed budget. While this level of funding is not guaranteed, this amount will allow for the possibility of funding for projects that were not originally planned for the CI award. Annual and total budgets should be stratified by Task and Institution, particularly if the CI award has

Notice of Federal Funding Page 14 of 26 proposed a reduced indirect cost rate for certain tasks. A budget justification should include information described in the budget guidelines provided in the Grants.gov application package. NOAA AGO also provides guidance on preparing the budget narrative on its website at http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24- 2017_final.pdf.

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

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

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

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

D. Submission Dates and Times

The deadline for receipt of proposals in Grants.gov or at the NOAA/NESDIS office is 11:59 p.m., EDT, January 8, 2020. Proposals received after the deadline will not be considered. NOAA uses information from Grants.gov to determine whether an application has been submitted before the deadline. If a hard copy proposal is submitted, the original and two unbound copies of the proposal should be included. Paper submissions should be sent to:

Dr. Christopher Brown, National Oceanic and Atmospheric Administration, NESDIS STAR/CoRP, NCWCP (E/RA1), Office #2600, 5830 University Research Ct, College Park, MD 20740-3818. Hard copy applications will be date/time stamped as they are physically received in the NOAA/NESDIS office. (Note that late-arriving hard copy proposals provided to a delivery service on or before 11:59 p.m., E.T., January 8, 2020 will be accepted for review if the applicant can document that the proposal was provided to the guaranteed delivery service by the specified closing date and time and if the proposal is received by NESDIS no later than 5 p.m., two business days following the closing date.) No email or facsimile proposal submissions will be accepted.

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E. Intergovernmental Review

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

F. Funding Restrictions

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

G. Other Submission Requirements

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

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

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

Proposals must be submitted to: National Oceanic and Atmospheric Administration, NESDIS STAR/CoRP, NCWCP (E/RA1), Office #2600, 5830 University Research Ct, College Park, MD 20740-3818, Attn: Dr. Christopher Brown.

V. Application Review Information

A. Evaluation Criteria

Proposals will be evaluated using the standard NOAA evaluation criteria. Various questions under each criterion are provided to ensure that the applicant includes information

Notice of Federal Funding Page 16 of 26 that NOAA will consider important during the evaluation, in addition to any other information provided by the applicant.

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

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

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

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

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

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

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

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

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

* Is there nationally and/or internationally recognized expertise within the appropriate

Notice of Federal Funding Page 17 of 26 disciplines needed to conduct the collaborative/interdisciplinary research described in the proposal?

* Is there a well-developed business plan that includes fiscal and human resource management, as well as strategic planning and accountability?

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

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

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

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

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

B. Review and Selection Process

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

C. Selection Factors

The merit review ratings shall provide a rank order to the Selecting Official for final funding recommendations. A program officer may first make recommendations to the Selecting Official applying the selection factors below. The Selecting Official shall award in

Notice of Federal Funding Page 18 of 26 the rank order unless the proposal is justified to be selected out of rank order based upon one or more of the following factors:

1. Availability of funding

2. Balance/distribution of funds:

a. Geographically

b. By type of institutions

c. By type of partners

d. By research areas

e. By project types

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

4. Program priorities and policy factors.

5. Applicant's prior award performance.

6. Partnerships and/or participation of targeted groups.

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

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

D. Anticipated Announcement and Award Dates

July 1, 2020, should be used as the proposed start date on proposals. The announcement of the award is expected around March 2020.

VI. Award Administration Information

A. Award Notices

1. Successful applicants will receive notification that the application has been recommended for funding to the NOAA Grants Management Division. This notification is not an authorization to begin performance of the project. Official notification of funding, signed by the NOAA Grants Officer, is the authorizing document that allows the project to

Notice of Federal Funding Page 19 of 26 begin. Notification will be issued to the Authorizing Official and the Principal Investigator of the project electronically via Grants Online or in hard copy. Unsuccessful applicants will be notified that their proposals were not selected for recommendation. Applications not selected for funding will be destroyed.

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

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

Applicants are strongly encouraged to review award documents carefully before accepting a Federal award so they are fully aware of the relevant Standard Terms and Conditions as well as any Specific Award Conditions that have been placed on the award.

B. Administrative and National Policy Requirements

DEPARTMENT OF COMMERCE PRE-AWARD NOTIFICATION

REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS.

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

UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT

REQUIREMENTS. Through 2 C.F.R. § 1327.101, the Department of Commerce adopted Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 200, which apply to awards in this program. Refer to http://go.usa.gov/SBYh and http://go.usa.gov/SBg4.

DOC TERMS AND CONDITIONS. Successful applicants who accept a NOAA award under this solicitation will be bound by Department of Commerce Financial Assistance Standard Terms and Conditions. This document will be provided in the award package in

Notice of Federal Funding Page 20 of 26

NOAA’s Grants Online system at http://www.ago.noaa.gov and at http://go.usa.gov/hKbj.

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

UNPAID OR DELINQUENT TAX LIABILITY. In accordance with Section 523 of Division B and Sections 744 and 745 of Division E of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) or a future public law, an authorized representative of the selected applicant(s) will be required to provide certain pre-award representations regarding federal felony and federal criminal tax convictions, unpaid federal tax assessments, and delinquent federal tax returns. The form must be completed and submitted with grant applications for: (a) all for-profit and non-profit organization applicants (Part I, and if required, Part II); and (b) all non-Federal entity applicants anticipating receipt of $5 million or more in the current Federal Fiscal Year appropriated funding (Part II only).

The form can be found at http://www.ago.noaa.gov/grants/forms.html.

NATIONAL ENVIRONMENTAL POLICY ACT (NEPA). NOAA must analyze the potential environmental impacts, as required by the National Environmental Policy Act (NEPA), for applicant projects or proposals which are seeking NOAA federal funding opportunities. Detailed information on NOAA compliance with NEPA can be found at the following NOAA NEPA website: http://www.nepa.noaa.gov/, including NOAA Administrative Order 216-6A for NEPA, http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216- 6A.html, and the Council on Environmental Quality implementation regulations, http://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf. Consequently, as part of an applicant's package, and under its description of its program activities, applicants are required to provide detailed information on the activities to be conducted, locations, sites, species and habitat to be affected, possible construction activities, and any environmental concerns that may exist (e.g., the use and disposal of hazardous or toxic chemicals, introduction of non- indigenous species, impacts to endangered and threatened species, aquaculture projects, and impacts to coral reef systems). In addition to providing specific information that will serve as the basis for any required impact analyses, applicants may also

Notice of Federal Funding Page 21 of 26 be requested to assist NOAA in drafting an environmental assessment, if NOAA determines an assessment is required.