NOAA-NOS-IOOS-2020-2006167 Full Announcement.pdf

Notice of Federal Funding Page 1 of 22

FY 2020 Ocean Technology Transition Project

TABLE OF CONTENTS

I. Funding Opportunity Description 4

A. Program Objective 4

B. Program Priorities 4

C. Program Authority 7

II. Award Information 7

A. Funding Availability 7

B. Project/Award Period 7

C. Type of Funding Instrument 8

III. Eligibility Information 8

A. Eligible Applicants 8

B. Cost Sharing or Matching Requirement 9

C. Other Criteria that Affect Eligibility 9

IV. Application and Submission Information 9

A. Address to Request Application Package 9

B. Content and Form of Application 9

C. Unique Entity Identifier and System for Award Management (SAM) 13

D. Submission Dates and Times 13

E. Intergovernmental Review 14

F. Funding Restrictions 14

G. Other Submission Requirements 14

V. Application Review Information 15

A. Evaluation Criteria 15

B. Review and Selection Process 16

C. Selection Factors 17

D. Anticipated Announcement and Award Dates 17

VI. Award Administration Information 17

A. Award Notices 17

B. Administrative and National Policy Requirements 18

C. Reporting 21

VII. Agency Contacts 21

VIII. Other Information 22

Notice of Federal Funding Page 2 of 22

ANNOUNCEMENT OF NOTICE OF FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): National Ocean Service (NOS), National Oceanic and Atmospheric

Administration (NOAA), Department of Commerce

Funding Opportunity Title: FY 2020 Ocean Technology Transition Project

Announcement Type: Initial

Funding Opportunity Number: NOAA-NOS-IOOS-2020-2006167

Catalog of Federal Domestic Assistance (CFDA) Number: 11.012, Integrated Ocean Observing

System (IOOS)

Dates: The requested letters of intent (LOI) should be submitted to via this Google Form https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-

HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform as a pdf and must be received by

11:59 p.m. Eastern Time on Friday, October 18th, 2019.

Full proposals must be received no later than 11:59 PM Eastern on Monday, January 13, 2020.

Funding Opportunity Description: The U.S. Integrated Ocean Observing System (IOOS®) is a national and regional partnership working to provide ocean, coastal and Great Lakes observations, data, tools, and forecasts to improve safety, enhance the economy, and protect our environment. To increase observational and technical capabilities we need smart investments to innovate sensors, data management, decision support products, and other technical capabilities that will improve our ability to monitor and forecast environmental conditions with greater efficiency. The primary objective of IOOS’ Ocean Technology Transition Project (OTT) is to reduce the Research to Operations transition period for ocean observing, product development, and data management technologies for the ocean, coastal and Great Lakes. The term

‘Technologies’ includes: ocean, coastal, and Great Lakes sensors, Information Technology (data management, data visualization); platform enhancement, and technology modernization efforts.

This objective is accomplished by investing in the transition of emerging and promising marine and Great Lakes observing technological capabilities from the mid to latter phases of research into operational status.

The National Oceanographic Partnership (NOPP) was established by Congress via Title II, subtitle E, of Public Law 104-201 to promote the national goals of assuring national security, advancing economic development, protecting quality of life, and strengthening science education and communication by improving knowledge of the ocean. There are over twenty agencies participating in the NOPP. They are identified on the NOPP website: www.nopp.org.

U.S. IOOS Program, in conjunction with NOPP, is seeking to fund projects, subject to the availability of funds, which advance new or existing technology-based solutions that address https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform http://www.nopp.org/

Notice of Federal Funding Page 3 of 22 long standing and emerging coastal observing, product development, and data management challenges. The projects will be focused on those technologies for which there are demonstrated operators who commit to integrated, long term use of those technologies and open data sharing.

A Transition Manager for the project should be identified and a Transition Plan will be a Year

One deliverable.

Funding will be targeted to technologies that are sufficiently mature for long term operations.

This announcement specifically funds activities needed to progress these technologies through the transitional stages between research and full operations such as system integration, testing, validation, and verification. Funding will not be awarded to continue projects previously funded through the Ocean Technology Transition Project.

In FY 2020-2022, it is estimated that up to $7.5 million will be available from the U.S. IOOS

Program. Multiple awards are anticipated, subject to availability of funds, in amounts up to

$400,000 per year for up to three years, with some exceptions for highly ranked proposals.

Proposals not funded in the current fiscal period may be considered for funding in the next fiscal period (Fiscal Year 2021) without NOAA repeating the competitive process outlined in this announcement.

Investigators are highly encouraged to visit the U.S. IOOS Ocean Technology Transition website for more information about the program: https://ioos.noaa.gov/project/ocean-technology-transition/

Notice of Federal Funding Page 4 of 22

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The overarching purpose of the U.S. Integrated Ocean Observing System (IOOS®) is to address regional and national needs for information, to gather reliable data on key coastal, ocean, and Great Lakes variables, and to ensure timely and sustained dissemination and availability of these data. IOOS is a national, regional and private-sector partnership working to enhance the nation’s ability to collect, disseminate, and use ocean information.

U.S. IOOS is designed to address regional and national needs for ocean, coastal and Great

Lakes information, to gather specific data on key coastal, ocean, and Great Lakes variables, and to ensure timely and sustained dissemination and availability of these data to support national defense, marine commerce, navigation safety, weather, climate, and marine forecasting, energy siting and production, economic development, ecosystem-based marine, coastal, and Great Lakes resource management, public safety, and public outreach training and education.

The IOOS Ocean Technology Transition Project (OTT) is an ongoing, multi-year effort to transition prototype ocean, coastal, and Great Lakes observing, product development, and data management technologies to sustained operations in a stepped, parallel, and scalable process that includes stakeholder engagement from industry, government, academia, and others invested in the monitoring and assessment of the nation’s ocean and coastal regions.

Sustained or Operational mode is defined as the actual application of the technology in its final form and under mission requirements. OTT focuses on developing and improving technologies for ocean chemical, biological, and physical parameters at multiple spatial and temporal scales to monitor changing conditions in the oceans, coasts, and Great Lakes. OTT technologies include hardware and software platforms, sensors, and data management resulting in improved ocean information supporting decision making for the coastal ocean, and Great Lakes’ environments.

Within this context, the U.S. IOOS Program is managing a competitive Notice of Funding

Opportunity (NOFO) to fund research and development proposals that advance ocean, coastal, and Great Lakes observing technology innovation projects designed to foster the transition of these technologies to operations mode. This funding will support technology transitions in regions across the United States, nationally and globally. A Transition

Manager for the project should be identified and a Transition Plan will be a Year One deliverable.

B. Program Priorities

Notice of Federal Funding Page 5 of 22

In FY 2020, the U.S. IOOS Program will accept applications to accelerate the transition of advanced coastal, ocean, and Great Lakes observing technologies to operations mode.

Technologies which support developing and improving observation, sensors, and information capabilities for chemical, biological, and physical parameters at multiple spatial and temporal scales to monitor changing conditions in the oceans, coasts, and Great Lakes will be considered.

Specific areas of interest under this funding opportunity include, but are not limited to:

1. sensors for physical, biological, or chemical parameters

2. use of cloud-based technologies and platforms

3. novel autonomous vehicles/platforms

4. HAB sensors and sensor platforms including deployment of sensors on new platforms

5. novel data management, analytics,and integration to improve service delivery to customers

6. sensors for ocean acidification related measurements

7. high frequency radar use impact and metrics, development, and improvement

Investigators are highly encouraged to learn more about IOOS and its OTT Project prior to submitting applications. This information, along with the name and contact information for the relevant competition manager can be found at the following website:

https://ioos.noaa.gov/about/funding-opportunities

OTT utilizes NOAA’s Readiness Levels (RL) ontology (see NOAA Administrative Order

215-105A at https://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/NAO%20

216-105A%20UNSEC%20Signed.pdf) to assess the maturity of R&D projects from research to operation, application, commercial product, or service, (Note: NOAA's Readiness Levels are similar to the Technology Readiness Levels developed by NASA) and embody the same concept for quantifying the maturity of research. RLs are used as a systematic metric/measurement system that supports assessments of the maturity of a particular IOOS technology, and enables a consistent comparison between different types of technologies.

OTT specifically focuses on transitioning technology from RLs 6 through 8 towards RL 9.

The aim is to further the development of externally developed innovative research to be ready to be transitioned into operational elements of IOOS or other parts of NOAA.

Applicants are asked to identify the RL of the technologies with which they are working.

Each applicant’s application will state clearly how the applicant determined that his/her proposed technology project is at an appropriate RL level for this funding opportunity.

Applicants should describe end-to-end projects that will result in innovations for routine operations for identified operators (e.g., small business, commercial sector, Regional

Associations, and/or Federal and State Programs). A project needs to involve operators and practitioners, to the fullest extent possible, from the beginning of the project. Commitment from operators and practitioners is critical to the eventual success of each project and the http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/NAO

Notice of Federal Funding Page 6 of 22 transition and adoption of technology for sustained use. The applicant must show a clear path for further developing the partnerships and opportunities for transfer throughout the course of the project.

To ensure that research leads to practical and valuable management outcomes, proposals should include a minimum of two investigators, a Scientific Principal Investigator and a

Transition Principal Investigator. In order to ensure transition of management tools to application, the duties and responsibilities of the two PIs are presented below:

Scientific Principal Investigator: will coordinate activities such as:

- Development and validation of technologies

- Deployment and testing of prototypes

- Working with Transition PI to refine and develop technologies based on input from end users.

Transition Principal Investigator: will be responsible for activities related to transitioning the technology toward operational application, such as:

- Writing the Transition Plan

- Developing application concepts based on stakeholder outreach;

- Coordination and communications with the operator and end user groups, ensuring continuous engagement in project activities (meetings, workshops), and outreach of project results;

- Ensuring that the milestones representing transition of research to operations timeline are met.

The operator(s) that will ultimately adopt technologies for operational use should demonstrate a strong interest in and commitment to the proposed technology. As the technology matures and the likelihood of success increases, and the commitment of the operator(s) is expected to grow, including resource commitments to incorporate and maintain the new technology in operational settings.

Applicants to this topic must include partners from an IOOS Regional Association to qualify.

The participation of an RA should be described in a Letter of Support and the RA providing the letter should be contacted no later than three weeks before the submission of the proposal to allow for sufficient coordination. Additional partners are encouraged, e.g., academia, government (including Federal, State, local, and tribal) and other private sector partners

(including Non-Governmental Organizations and Foundations).

Applicants must also provide specific details regarding their quality assurance and quality control (QA/QC) plan to ensure data integrity if sensor technologies are developed and how they should be regularly calibrated using approved reference materials. A plan for routine inter-calibration with partner laboratories is also encouraged for applications proposing the advancement of sensor technologies. It is important that the information produced be acceptable by the broader research community as well as end users and a plan to ensure these goals must be included in the application. Applicants shall also provide a plan for assessing

Notice of Federal Funding Page 7 of 22 the market potential for, and stakeholder satisfaction with, the transitioned technology.

Applicants are expected to commit to drafting a technical report describing an end-to-end system for the proposed technology at a regional scale. The end-to-end system described in the technical report should be scalable to a national system. The technical report will be required at the end of the project and shall include cost and benefit analysis. This is in addition to any financial and performance project reports identified in the terms and conditions if the proposal is successfully chosen at then end of this competitive process.

Applicants are also expected to describe how the transitioned technology will result in improvements to the overall ability of the observing system to provide information, such as:

a) significant reductions in overall cost;

b) significant improvements in data and information products that flow from sensors to servers and users;

C. Program Authority

Statutory authority for this project is provided under the Integrated Coastal and Ocean

Observation System (ICOOS) Act of 2009, 33 U.S.C. 3601-3610. Public Law 111-11.

II. Award Information

A. Funding Availability

In FY 2020 - 2022 it is estimated that up to $7.5 million will be available from the U.S.

IOOS Program. Multiple awards are anticipated, subject to availability of funds, in amounts up to $400,000 per year for up to three years. The number of awards is anticipated to range from approximately three to five, and will be adjusted based on availability of funds.

Proposals not funded in the current fiscal period may be considered for funding in the next fiscal period (FY 2021) without NOAA repeating the competitive process outlined in this announcement.

There is no guarantee that funds will be available to make awards for this Notice of Funding

Opportunity or that any proposal will be selected for funding. If an applicant incurs any costs prior to receiving an award agreement signed by a NOAA grants officer, the applicant does so at the applicant’s own risk. In no event will NOAA or the Department of Commerce be responsible for any proposal preparation costs. Recipients and subrecipients are subject to all

Federal laws and agency policies, regulations, and procedures applicable to Federal financial assistance awards. Applicants must be in good standing with respect to all existing NOAA awards in order to receive funds

B. Project/Award Period

Applicants may request funding for up to three years. Funding is contingent upon

Notice of Federal Funding Page 8 of 22 availability of funds and the satisfactory performance of the recipient, and is at the sole discretion of NOAA.

The start date should always begin on the first day of the month and the end date should always end on the last day of any given month when making a projection for the award start and end dates.

C. Type of Funding Instrument

NOAA will likely issue a cooperative agreement. If a cooperative agreement is awarded, the Federal government will be substantially involved by, for example, coordinating partners and teams to accomplish the work; assisting with technical aspects of the project; and/or coordinating access to Federal data or facilities needed to support the work.

If the non-Federal applicant is at an institution that has a NOAA Cooperative Institute (CI), it is allowed to submit applications that reference the CI by attaching a cover letter to the application stating its desire to have the application associated with the CI. This letter should specify the name of the cooperative institute, the CI cooperative agreement number, and the NOAA-approved research theme and task that applies to the proposal. The application will use the Facilities & Administrative (F&A, or indirect cost) rate associated with the main CI agreement. If the application is selected for funding, NOAA will notify the university that a separate award will be issued with its own award number. However, the award will include two Special Award Conditions (SACs): (1) the existing

University/NOAA Memorandum Of Agreement (MOA) would be incorporated by reference into the terms of the competitive award, and (2) any performance report(s) for the competitive project must follow the scheduled timetable of, and submit directly to, the IOOS

Program. Report(s) will be copied to the CI's administrator when due, to be attached to the main cooperative agreement progress report as an appendix. This will allow the CI to coordinate all the projects submitted through the CI, since the terms of these awards will specify that this is a CI project via the MOA.

III. Eligibility Information

A. Eligible Applicants

Eligible funding applicants for this competition are institutions of higher education, non-profit and for-profit organizations, and State, local and tribal governments. Federal agencies or institutions and foreign governments may not be the primary recipient of awards under this announcement, but they are encouraged to partner with applicants when appropriate.

If an applicant has a partner(s) who would receive funds, the lead grantee will be expected to use subcontracts or other appropriate mechanisms to provide funds to the partner(s). If a partner is a NOAA office or laboratory, the funds will be transferred internally.

Notice of Federal Funding Page 9 of 22

Funding will not be awarded to continue projects previously funded through the Ocean

Technology Project.

Applicants should note that paying for transportation, travel, or other expenses for any

Federal employee are unallowable costs.

B. Cost Sharing or Matching Requirement

None.

C. Other Criteria that Affect Eligibility

None.

IV. Application and Submission Information

A. Address to Request Application Package

Application packages are available online as part of the NOFO announcement on grants.gov and final applications will only be accepted via submission through www.grants.gov.

B. Content and Form of Application

Applicants must be responsive to all requirements stated in this announcement or their application will not be considered. No reference to the National Environmental Policy Act

(NEPA) questionnaire is required in the proposal.

1. Letter of Intent (LOI)

The purpose of the LOI process is to provide information to potential applicants on the relevance of their proposed project and the likelihood of it being competitive in advance of preparing a full application. The LOI should provide a concise description of the proposed work and its relevance to the OTT Program. Full applications will be encouraged only for

LOIs deemed relevant; however, the final decision to submit a full proposal is made by the investigator. Failure to submit an LOI is not grounds for rejection of proposals but is highly recommended. The LOI should be no more than two pages (front only) in length, single spaced in 12-point Times New Roman font with 1-inch margins and should include in order the components listed below.

(1) Tentative project title.

(2) Name(s) phone number(s), email address(s) and institution of all Principal Investigator

(s) and specification of which individual is the Lead Principal Investigator.

(3) Approximate cost of the project.

(4) Statement of the problem and its management relevance.

(5) Brief summary of work to be completed, process to plan for transition to operations.

http://www.grants.gov/

Notice of Federal Funding Page 10 of 22

IOOS Program Managers will review each LOI to determine whether it is responsive to the

Program's goals, as advertised in this notice. Letters or emails to encourage or discourage a full application are scheduled to be sent out two weeks after the LOI due date.

FULL APPLICATION:

The proposal narrative must total no more than 15 pages (double-spaced, 12-point font). The

15-page limit does not include the proposal title page, table of contents, the data sharing plan, the project summary referenced below under item two (2), and any required appendices. Appendices should be limited to:

A. Materials that directly support the main body of the proposal (e.g., support letters, resumes, references, lists of data sources, and maps), which may not exceed 30 pages in length;

B. Detailed Budget not to exceed 10 pages. See guidance at:

https://cdn.ioos.noaa.gov/media/2017/12/Budget-Narrative-Guidance-Effective-Feb-

2015.pdf. Also see GMD budget narrative guidance at http://www.ago.noaa.gov/grants/training.html. In addition to an overall budget, an SF-424A must be submitted for each year of the proposal. Applicants must also provide a separate budget for each subcontract. SF- 424As will not be included in the page count of the proposal or appendices. For your convenience, sample forms and instructions on how to fill out the forms can be found online at https://ioos.noaa.gov/about/funding-opportunities/;

Applicants should paginate their proposal and any appendices. Appendices should be paginated as independent documents. Applicants should present their work plan in priority order such that if less money is available than is requested the process of modifying proposals is simplified.

All funding application packages must contain the following components:

1. Title Page (Proposal Cover Sheet). Include proposal title, complete contact information for the Principal Investigator and Financial Representative, duration of proposed project, funding type (cooperative agreement), applicant type (i.e. cooperative institute (see section

C. Type of Funding Instrument), non-profit, state, etc.) and funding request by year and total funds requested. If funds are to be transferred to a NOAA partner on the project, also state the amount to NOAA on the cover.

2. Project Summary. Provide a one-to-two-page summary of the proposed project. The summary should be prepared to be readable to a broad audience and contain the following sections:

a. Project Name/Title

b. Primary Contact (name, address, telephone, fax, e-mail)

c. Primary Recipient Institution

d. Other Investigators (name, affiliated institution or agency)

e. Brief Project Summary including objectives and intended benefits

f. Name and affiliation of the Transition Manager http://www.ago.noaa.gov/grants/training.html

Notice of Federal Funding Page 11 of 22

g. Partners

3. Project Description. All project descriptions (proposals) must include the following sections:

a. Goals and Objectives. Describe in the narrative the specific project goals and objectives to be achieved. Goals and objectives should be specific for each year of the work plan presented. Recipients will be required to submit semi-annual progress reports in which progress against these goals and objectives will be reported.

b. Background. Provide sufficient background information for NOAA and non-NOAA reviewers to assess independently the significance of the proposed project. Summarize the problem to be addressed and the status of ongoing efforts to address the identified needs.

Identify the current readiness level of the technology and the anticipated level at the end of the project and how you determined these levels.

c. Audience. Identify specific users of the results of the project, describe how they will use the results, and identify any training that will be needed for users to make full use of the results.

d. Approach. Provide a work plan that: identifies specific tasks to be accomplished; explains the technical approach (including quality assurance) needed to accomplish the tasks;

identifies partner roles and contributions, including resources; and identifies potential obstacles to successful completion of the goals and objectives. Describe how end-users are involved in the planning and design process. If the project generates data, the work plan must include a data management plan which clearly addresses data management requirements, and the steps to be taken to achieve efficient and effective data access/sharing through U.S. IOOS and archiving that is compliant with Federal regulations as indicated in the Data Sharing Plan Policy (up to 2 pages). See Section VI.B., Administrative and National

Policy Requirements, below for additional information on what the data management plan should contain. If the project includes Federal partners, the roles, responsibilities and contributions of the Federal partners must be clearly identified.

e. Benefits. Identify, with a high degree of specificity, the users of the products or information derived from the work, and the benefits that will be achieved for those users, as well as society as a whole. Document how valid user requirements are guiding the proposed work. Describe how the technologies or information from the project will be delivered to those users, and any special considerations or requirements for ensuring or improving the delivery of the technology or information.

f. Milestone Schedule. Display time lines for major tasks, target milestones for important intermediate and final products including deliverables and key project outcomes.

g. Project Budget. Provide a budget description that follows the categories and formats in the

NOAA grants package (SF-424A) and a brief narrative justification of the budget. An SF-

424A must be submitted for each year of the project as well as for each subcontract.

h. All applicants must submit (in addition to the above SF-424A) a detailed itemized Budget

Notice of Federal Funding Page 12 of 22

Table within the Budget Narrative Attachment section broken out by year. It must also include a detailed Budget Justification that describes and justifies each expense and demonstrates cost effectiveness (refer to the budget narrative guidance at https://cdn.ioos.noaa.gov/media/2017/12/Budget-Narrative-Guidance-Effective-Feb-

2015.pdf).

The full proposal package includes the information described in this section as well as the required federal forms as applicable: 1) Application for Federal Assistance (SF-424), 2)

Budget Information - Non-Construction Programs (SF-424A), 3) Certifications (CD-511), 4)

Assurances - Non-Construction Program (SF-424B), 5) Standard Form 424C - Budget

Information - Construction Programs, 6) Standard Form 424D - Assurances - Construction

Programs, and 7) Disclosure of Lobbying Activities (Standard Form LLL). Applicants must use the Standard Form SF 424A Budget Information-Non Construction Programs that is contained in the standard NOAA Grants and Cooperative Agreement Package. When applying for a Multi-Year award (2 to 5 years), the non-federal entity must submit a line item budget (SF-424A) and corresponding budget narrative for each of the funding periods anticipated.

The budget narrative must also provide, to the extent possible, detailed information on travel, including costs, a description of anticipated travel, destinations, the number of travelers, and a justification of how the requested travel is directly relevant to the successful completion of the project. If actual trip details are unknown, applicants must state the basis for the proposed travel charges. Applicants should allocate travel funds for any coordination meetings at regional or national levels. Foreign travel must receive prior approval, and therefore, should be included in the proposal to avoid having to request prior approval after the project starts.

Applicants may factor in travel costs for participation in a NOAA Grants Management

Division workshop for recipients should one be offered.

If a NOAA or another non-NOAA Federal partner is requested to perform any work as part of the project, please be advised that the work to be performed and resources required must be reflected separately in the project description and partner budget. The budget should clearly show where all funds will go and how the funds will be used.

For a NOAA partner, applications for Federal assistance (SF-424 and SF-424A) must show the total amount less that which would go to the NOAA partner. Detailed budget and budget justifications within the proposal should show the total amount, including that which would go to the NOAA partner, and should include text stating that the applicant wishes for NOAA to retain those funds and transfer them to the NOAA partner.

For a non-NOAA Federal partner, applications for Federal assistance (SF-424 and SF-

424A) must show the total amount including that which would go to the non- NOAA Federal partner. Detailed budget and budget justifications within the proposal should show the total amount, including that which would go to the non-NOAA Federal partner. NOAA will not

Notice of Federal Funding Page 13 of 22 retain the funds and transfer them to the non-NOAA Federal partner. That transfer will be the responsibility of the awardee.

Additional detailed budget information, including a description of complementary funding and in-kind contributions from project partners, should be included in an appendix (see

IV.B.4 for additional information). For your convenience, sample forms and instructions on how to fill out the forms can be found online at https://ioos.noaa.gov/about/funding-opportunities/;

4. Appendices

a. Resumes. Provide resumes of the Principal Investigator for the project and other key personnel critical to the success of the project. Ensure that resumes address qualifications relevant to conducting the proposed work, and do not exceed 3 pages per person.

b. Detailed Budget Information, including budgets of subawards and contracts, detailed information on travel, etc. Information should include the names of all entities receiving funds, the locations of the entities receiving funds (city, State, and Congressional district), and the locations of the primary places of performance under the contract/subaward. In this appendix, the budget narrative also shall clearly identify the priority and cost of separable elements of the proposed work, and shall identify the elements of the project that the cooperator would recommend for revision or elimination in the event that sufficient funding is not available for all proposed activities.

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 http://www.ecfr.gov/cgi-bin/text- idx

SID=2dae4a7dcd5848a6364bb94d2d7786dd&mc=true&tpl=/ecfrbrowse/Title02/2subtitleA.t pl.

For your convenience, sample forms and instructions on how to fill out the forms can be found online at https://ioos.noaa.gov/about/funding-opportunities/.

D. Submission Dates and Times

The requested, but not required, letters of intent (LOI) must be submitted via Google

Form https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-

HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform as a pdf and must be received by 11:59 p.m. Eastern Time on Friday, October 18th 2019.

Applicants will receive an email verification of receipt.

http://www.sam.gov/portal/public/SAM/ http://www.ecfr.gov/cgi-bin/text-

Notice of Federal Funding Page 14 of 22

Full applications must be received by 11:59 PM Eastern on Monday, January 13, 2020.

Applications received after this deadline will not be considered for funding. For applications submitted through www.Grants.gov a date and time receipt indication is included and will be the basis of determining timeliness. Hard copy submissions will not be accepted. Faxed or emailed copies of applications will not be accepted.

E. Intergovernmental Review

Funding applications to NOAA are subject to Executive Order 12372, "Intergovernmental Review of Federal Programs." It is the State agency's responsibility to contact their State's Single Point of Contact (SPCO) to find out about and comply with the

State's process under EO 12372. To assist the applicant, the names and addresses of the

SPOCs are listed on the White House’s web site https://www.whitehouse.gov/wp-content/uploads/2017/11/SPOC-Feb.-2018.pdf

F. Funding Restrictions

None.

G. Other Submission Requirements

LETTER OF INTENT (LOI):

The suggested letters of intent (LOI) should be sent via Google Form https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-

HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform as a pdf and are due by 11:59 p.m.

Eastern Time on Friday, October 18th 2019.

FULL APPLICATION:

Full application packages must be submitted through www.Grants.gov/apply. No e-mail or hard copies will be accepted.

Applicants using www.Grants.gov must locate the downloadable application package for this solicitation by the Funding Opportunity Number or the CFDA number (11.012). Applicants will be able to download a copy of the application package, complete it off line, and then upload and submit the application through Grants.gov.

Grants.gov will provide information about submitting a proposal through the site as well as the hours of operation. After electronic submission of the application, the person submitting the application will receive within 24 to 48 hours two e- mail messages from Grants.gov updating him or her on the progress of the application. The first e-mail will confirm receipt of the application by Grants.gov, and the second will indicate that the application has been either successfully validated by the system prior to transmission to the grantor agency, or rejected due to errors. After the application has been validated, this same person will receive another e-mail when the application has been downloaded by the Federal agency.

To use grants.gov, applicants must have a Dun and Bradstreet Data Universal Numbering

System (DUNS) number and be registered in the System for Award Management (SAM).

http://www.grants.gov/ http://www.whitehouse.gov/wp-https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform https://docs.google.com/forms/d/e/1FAIpQLSeA-H_5fHAsQR-HiRMjV_M6P5blMBmV1aKKQf_nJ-0YOlDkwA/viewform http://www.grants.gov/apply http://www.grants.gov/

Notice of Federal Funding Page 15 of 22

[Note: Your organization's Employer Identification Number (EIN) will be needed on the application form.] Applicants are strongly encouraged not to wait until the application deadline data to begin the application process through grants.gov.

Please refer to important information in "Submission Dates and Times" above to help ensure your application is received on time. Please be advised that potential funding applicants must register with Grants.gov before any application materials can be submitted. An organization's one-time registration process may take up to three weeks to complete, so please allow sufficient time to ensure applications are submitted before the closing date.

Grants.gov contains directions for submitting an application, the application package

(forms), and is also where the completed application is submitted.

Full application packages must be submitted through www.Grants.gov/apply. No e-mail or hard copies will be accepted.

V. Application Review Information

A. Evaluation Criteria

1. Importance/Relevance and Applicability of Application to the Project Goals

(35%)

This ascertains whether there is intrinsic value in the proposed work and/or relevance to

NOAA, Federal, regional, State, and/or local activities. This includes importance and relevance to the topics and scientific priorities described in the Funding Opportunity.

Proposed projects will be assessed on their ability to advance new or existing technology-based solutions that address ocean, coastal and Great Lakes observing, product development, and data management challenges. Funding will be targeted to projects focused on: 1) technologies for which there are demonstrated operational end-users who commit to integrated, long term use of those technologies and open data sharing; 2) are transitioning technology from RLs 6 through 8 towards RL 9; 3) and include partners from at least one

IOOS Regional Association, academia, and the private sector. The PI's record of making his/her technologies and data accessible and usable by the scientific community in the past may also be considered when evaluating the importance and relevance of the application.

2. Technical/Scientific Merit (35%)

This assesses whether the approach is technically sound and/or innovative, whether the methods are appropriate, and whether there are clear project goals and objectives. The proposed work should have focused objectives and a complete and technically sound strategy for project design, methodologies, data management (including QA/QC), data analysis, and development of products and outcomes in support of the objectives. The proposed work should demonstrate the technology is mature and proven for consideration in long- term operations.

http://www.grants.gov/apply

Notice of Federal Funding Page 16 of 22

3. Overall Qualifications of Applicants (10%)

This criterion assesses whether the applicant team possesses the necessary education, experience, training, facilities, and administrative resources to accomplish the project.

4. Project Costs (10%)

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

5. Outreach/Education/Broader Impacts (10%)

This criterion assesses whether the project provides a focused and effective education and outreach strategy regarding partner agency missions, including NOAA's mission to understand and protect the Nation's natural resources. Education can include plans for development of technical workforce capacity to work with the technology that the project will deliver. Broader Impacts address actions that will enhance the potential of the research to benefit society and contribute to the achievement of specific, desired societal outcomes.

B. Review and Selection Process

An LOI is not required but is highly recommended. The purpose of the LOI process is to provide information to potential applicants on the relevance of their proposed project and the likelihood of it being competitive in advance of preparing a full application. Full applications will be encouraged only for LOIs deemed relevant; however, the final decision to submit a full proposal is made by the investigator.

The LOI should provide a concise description of the proposed work and its relevance to the

OTT Program. The LOI should be no more than two pages (front only) in length, single spaced in 12-point Times New Roman font with 1-inch margins and should include in order the components listed below.

Full application:

An initial administrative screening is conducted to determine compliance with requirements/completeness for the proposal. Proposals that do not meet the requirements and goals of this NOFO, will not be evaluated.

All proposals meeting the NOFO requirements will be evaluated and individually scored in accordance with the assigned weights of the above evaluation criteria by an impartial expert panel review process. The panel will consist of 7-10 members with each panelist expected to read all proposals. Three panelists will provide written reviews before the panel meeting and all panelists will participate in the reviews and scoring. One panelist will be assigned as the lead to guide discussion, a second panelist will take notes, and a third will provide a written review. All panelists will be present to review proposals. Panelists are strongly encouraged to participate in person. The merit reviewers' ratings are used to produce a rank order of the proposals. The Selecting Official will award in the rank order unless proposals are justified to be selected out of rank order based upon one or more of the selection factors provided below. The Selecting Official or designee may negotiate the funding level of the proposal.

Notice of Federal Funding Page 17 of 22

C. Selection Factors

The competition manager will present selection recommendations to the selecting official in rank order as determined by the merit review ratings. The selection official shall award in 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. By number and type of partners

b. By project type

c. By operational focus

d. By type of institutions

e. By geographic region

f. By industry type

3. Leveraging of other projects funded or considered for funding by NOAA/Federal agencies

4. Project priorities and policy factors

5. Applicant's prior award performance

6. Partnerships with/participation of targeted groups

7. Adequacy of information necessary for NOAA staff to make a determination about the environmental impacts of the project on the environment and draft necessary documentation before recommendations for funding are made to the Grants Officer.

The Selecting Official makes final recommendations for awards to the Grants Officer who is authorized to obligate the funds.

D. Anticipated Announcement and Award Dates

The start date on proposals should be September 1, 2020, or the first day of the month of any month after September 1, 2020, but no later than December 1, 2020.

VI. Award Administration Information

A. Award Notices

Applicants will receive an evaluation of their LOI within 2 weeks of submission.

Successful applicants will receive notification that the application has been recommended for funding by an official of the U.S. IOOS Program. This notification is not an authorization to begin performance of the project. Official notification of funding, signed by a NOAA

Grants Officer, is the authorizing document that allows the project to begin.

Notifications will be issued to the applicant’s Authorized Representative and the Principal

Investigator of the project.

Notice of Federal Funding Page 18 of 22

B. Administrative and National Policy Requirements

The 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 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 continuing

Congressional appropriations. Applicants are hereby given notice that funds have not yet been appropriated 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.

Transition Plan.

Applicants are expected to commit to developing a draft transition plan using the guidance in http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216-http://www.gpo.gov/fdsys/pkg/FR-2014-12-30/pdf/2014-30297.pdf http://go.usa.gov/SBYh http://go.usa.gov/SBg4 http://www.ago.noaa.gov/ http://go.usa.gov/hKbj http://www.ago.noaa.gov/grants/forms.html http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216-

Notice of Federal Funding Page 19 of 22

105B.html. The draft transition plan will be required no later than the end of year one and follow the guidelines provided in the NOAA Transition Procedural Handbook. See page 9 for section on Transition Plans -

(http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/Handbook

_NAO216-105B_03-21-17.pdf ).

National Environmental Policy Act (NEPA).

If recommended for funding, applicants whose proposed projects may have an environmental impact will be asked to furnish sufficient information to assist NOAA in assessing the potential environmental consequences of supporting the project. NOAA must analyze the potential environmental impacts, as required by the National Environmental

Policy Act (NEPA), for each project which seeks NOAA funding. Detailed information on

NEPA can be found at the following NOAA NEPA web site: www.nepa.noaa.gov, including our NOAA Administrative order 216-6 for NEPA, www.nepa.noaa.gov/NAO216_6.pdf, and the Council on Environmental Quality implementation regulations, http://ceq.hhs.doe.gov/nepa/regs/ceq/toc_ceq.htm.

If needed by NOAA for NEPA assessment, applicants will be asked to provide detailed information on the activities to be conducted, locations, sites, species, and habitat to be affected, possible construction activities, and any environmental concerns that may exist

(e.g., the use and disposal of hazardous or toxic chemicals, introduction of non-indigenous species, impacts to endangered and threatened species, aquaculture projects, and impacts to coral reef systems). In addition to providing specific information that will serve as the basis for any required impact analyses, applicants may also be requested to assist NOAA in drafting an environmental assessment if NOAA determines an assessment is required.

Applicants will also be required to cooperate with NOAA in identifying feasible measures to reduce or avoid any identified adverse environmental impacts of their proposal. The failure to do so shall be grounds for not selecting an application. In some cases if additional information is required after an application is selected, funds can be withheld by the Grants

Officer under a special award condition requiring the recipient to submit additional environmental compliance information sufficient to enable NOAA to make an assessment on any impacts that a project may have on the environment.

Review of Risk.

After applications are proposed for funding by the Selecting Official, the Grants Office will perform administrative reviews, including an assessment of risk posed by the applicant under

2 C.F.R. 200.205. These may include assessments of the financial stability of an applicant and the quality of the applicant’s management systems, history of performance, and the applicant’s ability to effectively implement statutory, regulatory, or other requirements imposed on…