NOAA-NOS-NCCOS-2024-2008101 NOFO Report.pdf

Social, Cultural and Economic Assessment of Harmful Algal Blooms

TABLE OF CONTENTS

I. Funding Opportunity Description 5

A. Program Objective 5 B. Program Priorities 7 C. Program Authority 12

II. Award Information 12 A. Funding Availability 12 B. Project/Award Period 12 C. Type of Funding Instrument 13

III. Eligibility Information 15 A. Eligible Applicants 15 B. Cost Sharing or Matching Requirement 16 C. Other Criteria that Affect Eligibility 17

IV. Application and Submission Information 17 A. Address to Request Application Package 17 B. Content and Form of Application 17 C. Unique Entity Identifier and System for Award Management (SAM) 27 D. Submission Dates and Times 28 E. Intergovernmental Review 28 F. Funding Restrictions 29 G. Other Submission Requirements 29

V. Application Review Information 31 A. Evaluation Criteria 31 B. Review and Selection Process 32 C. Selection Factors 34 D. Anticipated Announcement and Award Dates 35

VI. Award Administration Information 35 A. Award Notices 35 B. Administrative and National Policy Requirements 36 C. Reporting 43

VII. Agency Contacts 46 VIII. Other Information 47

Notice of Federal Funding Page 1 of 48

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: Social, Cultural and Economic Assessment of Harmful Algal Blooms

Announcement Type: Initial

Funding Opportunity Number: NOAA-NOS-NCCOS-2024-2008101

Federal Assistance Listings Number: 11.478, Center for Sponsored Coastal Ocean Research - Coastal Ocean Program

Dates: The required letters of intent (LOI) must be submitted by e-mail to nccos.grant.awards@noaa.gov and received by 11:59 p.m. Eastern Time on the October 13, 2023. Applicants will receive an email verification of receipt.

Responses to LOIs should be expected by approximately two weeks after the LOI deadline or October 27, 2023.

Full applications must be received and validated by Grants.gov by 11:59 p.m. Eastern Time January 17, 2024. Electronic submissions received after the deadline will not be considered.

Investigators are advised to submit full applications well in advance of the deadline as a precaution against unanticipated delays. Applicants must register with Grants.gov before submitting application materials. When developing your submission timeline, keep in mind the following information regarding application submission on Grants.gov:

1. Grants.gov requires applicants to complete a free annual registration process in the electronic System for Award Management (SAM), which may take between three and five business days or as long as several weeks to process as described in Section IV.G.

of this Announcement.

2. Applicants must be registered with eRA Commons as described in Section IV.G. of this Announcement. Registering with eRA Commons can take up to four weeks to process.

It is encouraged that applicants register with eRA Commons as soon as possible to avoid any delays.

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3. If you submit a full application via Grants.gov, you will receive a series of email notifications for up to two business days before learning via validation or rejection whether NOAA has received your application.

If use of Grants.gov is not feasible, contact the NCCOS Grants Administrator (see section VII for contact information) as soon as possible and no later than a week before the due date to assess whether alternative arrangements can be made.

Funding Opportunity Description: The purpose of this document is to advise the public that NOAA/NOS/National Centers for Coastal Ocean Science (NCCOS)/Competitive Research Program (CRP) [formerly Center for Sponsored Coastal Ocean Research (CSCOR)/Coastal Ocean Program (COP)] is soliciting proposals for the Social, Cultural and Economic Assessment of Harmful Algal Bloom program. Funding is contingent upon the availability of Fiscal Year 2024 Federal appropriations. It is anticipated that projects funded under this announcement will have a September 1, 2024 start date. An informational webinar on this solicitation will be offered within approximately two weeks from the publication date of the NOFO. Information regarding this announcement, including webinars and additional background information, is available on the NCCOS funding opportunities website (https://coastalscience.noaa.gov/about/funding-opportunities/).

It is anticipated that up to approximately $1,500,000 may be available in Fiscal Year 2024 for the first year for all projects combined. If funds become available for this program, 3 to 5 projects are expected to be funded at the level of $300,000 to $400,000 per year per proposal. Projects are not expected to exceed 3 years in duration. NCCOS/CRP may reject any proposals submitted with an annual budget that is greater than $400,000 for any year.

NOAA encourages applicants and awardees to support the principles of diversity, equity, and inclusion when writing their proposals and performing their work. NOAA defines diversity as the mixture of the unique attributes that shape an individual’s identity which they bring into the workplace to help NOAA accomplish its goals (1). Diversity refers to demographic diversity (e.g., race, gender, sexual orientation), experiential diversity (e.g., affinities, hobbies, and abilities), and cognitive diversity (e.g., sensory processing and problem solving). Equity is defined as the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment (2,3). NOAA defines inclusion as a culture that values the unique attributes of all team members. Inclusion is an environment which is respectful, collaborative, supportive, and one that allows for equal access (1). Inclusion requires active and intentional engagement on the part of everyone and provides a feeling of belonging. By promoting diversity, equity, and inclusion NOAA seeks to improve the creativity, productivity, and the vitality of its research community.

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The required LOI should be sent by e-mail to nccos.grant.awards@noaa.gov. Full proposals will not be considered if a LOI was not submitted.

Electronic Access: Proposals should be submitted through Grants.gov, http://www.grants.gov.

Sign up to receive any potential amendments to this Announcement via www.grants.gov.

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

1. Overview of the NCCOS Competitive Research Program

The Competitive Research Program (CRP), part of the National Oceanic and Atmospheric Administration (NOAA) National Centers for Coastal Ocean Science (NCCOS), supports the development of actionable information and tools that improve how the nation protects, manages, and conserves ocean and coastal ecosystems. NCCOS/CRP funds regional-scale and targeted research through a competitive, peer-reviewed process to address our Nation’s most pressing issues including harmful algal blooms and hypoxia research as authorized under the Harmful Algal Bloom and Hypoxia Research and Control Act, coastal resiliency, sea-level rise, ocean acidification, mesophotic coral ecosystems, and effective ecosystem-based management.

Research supported by NCCOS/CRP seeks to produce actionable information and user-driven products that will enable resource managers to assess management and policy strategies, as well as increase scientific understanding on issues threatening ecosystems and communities. To accomplish this, NCCOS/CRP emphasizes a collaborative research process that involves resource managers, planners, policymakers, and impacted communities as research project partners or advisors. To ensure useful results, NCCOS/CRP requires articulation of outcomes that benefit management in proposals and recipients must report progress toward achieving outcome-based goals annually (see Section IV.B.).

2. Social, Cultural and Economic Assessment of HABs Objectives

a) Harmful Algal Bloom (HAB) Occurrence and Growing Problem of Impacts

Marine, estuarine, and Great Lakes waters of the United States are increasingly impacted by HABs with blooms reported in nearly every coastal state. The species that cause HABs in the U.S. are as diverse as the habitats in which they occur. HABs impact public health, key sectors of our Blue Economy (4), and the health of our coastal ecosystems. Multiple human poisoning syndromes are associated with the consumption of seafood contaminated with algal toxins. Human exposure to aerosolized or water-

Notice of Federal Funding Page 5 of 48 borne algal toxins and dermatological contact with HABs can also cause negative impacts. HABs can cause mortalities of fish and wildlife, ecosystem disruption, hypoxia and anoxia from high biomass blooms, and noxious impacts associated with the accumulation and decay of massive microalgal and seaweed blooms. These many and diverse impacts makes it challenging to derive a single national estimate of the annual economic impact from all U.S. HABs.

The increase in frequency, extent, and variety of HABs has increased society's concerns about the safety of our seafood and drinking water, the health of endangered species, fish and wildlife, the sustainability of beach and lakeside communities, losses to fisheries and aquaculture, increased strain on shrinking state, local, cultural and tribal resources, and long-term aquatic ecosystem changes. Economic costs associated with HAB impacts on public health, fisheries, recreation, and tourism, as well as the use of scarce funds for monitoring and management can be significant for local communities. A single HAB event can cost tens of millions of dollars, including toxin monitoring; closures of shellfish beds; fish, shellfish, turtles, birds, and mammal mortalities; closures of affected fisheries; disruptions in recreation and tourism; threats to public and coastal resource health;

publication of watershed, health, drinking water and seafood advisories; and medical treatments (5). Additional socio-economic costs can stem from public reactions to HAB events such as canceled vacations, job losses due to decreased demand for seafood, lower value for coastal or lake-front real-state or property, or loss of access to key subsistence foods.

b) The Social, Cultural and Economic Assessment of HABs Program

Social, cultural and economic research provides critical information that allows communities, resource management, public health agencies, affected sectors, and scientists to develop and implement coordinated, effective responses to HAB events at local, state and regional scales. Qualitative and quantitative studies are needed to determine the extent to which HAB events and management responses (e.g., fisheries closures, restriction of recreational uses, drinking water bans or treatments, etc.) directly or indirectly result in social, cultural and economic impacts ( e.g., cost of management responses, local and tourist dollars spent, loss of recreational opportunities, community conflict, increased reliance on social services, disruption to or shifts in livelihoods, subsistence and food security, Notice of Federal Funding Page 6 of 48 degradation of cultural practices and values, etc).

The research needed to understand the social, cultural and economic impacts of HABs has been the focus of national level planning efforts that include the Harmful Algal Blooms and Hypoxia Comprehensive Research Plan and Action Strategy (6), HARRNESS (7), HARR-HD, (8) the HAB RDDTT (9) Workshop Report (Chapter 2 Section 2.B.3.c.) and the 2020 Workshop on the Socio-economic Effects of Harmful Algal Blooms in the U.S (5).

Past NCCOS competitive HAB funding opportunities have had limited success to date in stimulating many high quality research proposals needed to make progress in this field. As a result, the socioeconomic impacts of HABs remain poorly characterized.

B. Program Priorities

1. Social, Cultural, and Economic Assessment of HABs Priorities

NCCOS/CRP is soliciting proposals that assess the social, cultural and economic impacts of HAB events. Research funded through this opportunity may guide future research on the social, cultural and economic impacts of HAB events at a local, state, and regional, and national level, and inform the selection of management strategies and methods most appropriate to a specific HAB event and ongoing issues. Resulting research will also provide the necessary building blocks that can lead to a better national assessment of the social, cultural and economic impacts from HAB events.

Proposals must address at least one of the following priorities:

- Social and/or cultural impacts of HAB events response at local, state and/or regional scales.

- Economic impacts of HAB events at local, state and/or regional scales.

- Impacts of HAB events on subsistence at local, state and/or regional scales.

Within one of these priorities, ideal proposals will address at least one of the following objectives:

- Assess the impacts of HAB events on different human uses ( e.g., Notice of Federal Funding Page 7 of 48 commercial, recreational, and subsistence), human communities, social networks, and/or individuals;

- Identify and/or quantify actual and potential vulnerability and resilience of industries (e.g, shellfish, seafood and tourism), communities, and/or individuals to HAB events;

- Evaluate behavioral response to HAB events and/or HAB prevention, control and mitigation strategies;

- Measure the cost and benefits of HAB prevention, control, and mitigation strategies.

Examples include research that helps:

- Assess the social and/or cultural impacts of HAB events (e.g., changes in recreation and tourism, community conflict, changes in social, cultural, and/or psychological well-being, etc.);

- Assess subsistence impacts of HAB events (e.g., lost fishing and seafood access, changes in subsistence, changes in social, cultural, and/or psychological well-being, etc.);

- Assess the social and or cultural impacts of HAB events on vulnerable social groups or communities (e.g., are some groups disproportionately affected or less able to avert harm?);

- Evaluate behavioral changes that may occur during and after HAB events in different sectors and communities (e.g., temporal and spatial shifts in activities, changes commercial, recreational and subsistence use, community conflict, etc.);

- Evaluate perceptions, value, and use of information (e.g., how people perceive, understand, and act on advisories, trust or distrust management decisions, etc.);

- Determine the economic impacts of HAB events across communities, demographic groups, regions, and policy interventions (e.g., loss of access, loss in revenue, cost of avoidance, etc.)

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- Estimate loss and cost by HAB events and sector (e.g., aquaculture industry, recreational activities, coastal tourism, etc.);

- Measure economic impacts of HAB events on individuals, households and communities associated with commercial, recreational, and subsistence fisheries (e.g., economic impact analysis, cost-benefit analysis, etc.)

Possible research products and outputs may include: 1) Research and strategies that lead to more accurate assessments of the direct social, cultural and or economic impacts of HAB events at the local, state, and regional scales 2) Development and/or use of transferable research approaches that can be applied to different HAB events and at different scales (e.g., local, state, regional).

While 3 to 5 projects are expected to be funded, NCCOS/CRP envisions funding at least one project focused on social, cultural and/or subsistence impacts of HAB events and at least one project focused on economic impacts of HAB events.

2. Examples of Non-Applicable Research Topics

NCCOS CRP coordinates with other NOAA, federal, and state research programs to leverage their research investments and avoid duplication of effort. The scope of these programs has been described in several reports (6,10,11,12,13). NCCOS Competitive HAB Programs will not fund research in the following areas:

a) Research on inland or freshwater HABs except in the Great Lakes and coastal waters, which, as defined in the Coastal Zone Management Act (16 U.S.C.

1453 (3)), contain a measurable quantity or percentage of seawater. Research on freshwater toxins that are transported into the coastal zone is, however, permitted.

b) Disease surveillance, clinical characterization, and therapeutic guidance in humans are the purview of other agencies, such as NSF/NIEHS COHH, CDC and FDA.

c) Routine monitoring for HAB cells and toxins and water quality.

d) Operational HAB forecasting and observation systems.

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3. Management Technical Advisory Group

Application of research results for use by managers, policy-makers, and other end users through a highly integrated and collaborative approach is a central objective of NCCOS/CRP. Proposals should clearly articulate outcome-based management goals of the project (more information can be found in Section IV.B. and at https://coastalscience.noaa.gov/about/fundingopportunities/outputs-and-outcomes/) and a continuous engagement process with relevant end users.

Engagement activities with end users may include, but are not limited to, annual meetings, workshops, training sessions on how to apply information or tools, and inclusion on coordination calls. The Lead Principal Investigator (PI) is strongly encouraged to establish a Management Transition Advisory Group (MTAG) to ensure effective collaboration between the project PI(s) and end users, and successful transfer of research results to the intended end user(s).

4. References

(1) NOAA FY2020-2024 Diversity and Inclusion Strategic Plan, December 2020.

https://www.noaa.gov/sites/default/files/legacy/document/2020/Dec/NOAA% 202020-2024%20Diversity%20and%20Inclusion%20Strategic%20Plan.pdf.

(2) Government-Wide Strategic Plan To Advance Diversity, Equity, Inclusion.

Accessibility In The Federal Workforce, November 2021. The White House.

https://www.whitehouse.gov/wp-content/uploads/2021/11/Strategic-Plan-to- Advance-Diversity-Equity-Inclusion-and-Accessibility-in-the-Federal-Workforce- 11.23.21.pdf.

(3) Executive Order On Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (EO 13985), January 20, 2021.

https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20 /executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/

(4) NOAA Blue Economy Strategic Plan 2021-2025, January 2021.

https://oceanservice.noaa.gov/economy/blue-economy-strategy/.

(5) Proceedings of the Workshop on the Socio-economic Effects of Harmful Algal Blooms in the United States, U.S. National Office for Harmful Algal Blooms, Woods Hole Oceanographic Institution, March 2021.

Notice of Federal Funding Page 10 of 48 https://repository.library.noaa.gov/view/noaa/33455.

(6) National Science and Technology Council, Subcommittee on Ocean Sciences and Technology, 2016. Harmful Algal Blooms and Hypoxia Comprehensive Research Plan and Action Strategy: An Interagency Report. Washington, DC. 94 pp.

http://www.whoi.edu/fileserver.do?id=230904&pt=10&p=19132.

(7) HARRNESS, 2005. Harmful Algal Research and Response: A National Environmental Science Strategy 2005-2015. Ramsdell, J.S., D.M. Anderson and P.M. Glibert (Eds.), Ecological Society of America, Washington DC, 96 pp.

http://www.esa.org/HARRNESS/harrnessReport10032005.pdf.

(8) HARR-HD, Bauer, M., ed. 2006. Harmful Algal Research and Response: A Human Dimensions Strategy. National Office for Marine Biotoxins and Harmful Algal Blooms, Woods Hole Oceanographic Institution, Woods Hole, MA, 58 pp

(9) HAB RDDTT. 2008. Harmful Algal Bloom Research, Development, Demonstration, and Technology Transfer National Workshop Report. Dortch, Q., Anderson, D.M., Ayres, D.L., Glibert, P.M. (Eds). Woods Hole, MA.

hab.whoi.edu/wp-content/uploads/2018/05/RDDTT_National_Workshop_Report_ Final_43464.pdf.

(10) Jewett, E.B., Lopez, C.B., Dortch, Q., Etheridge, S.M., Backer, L.C., 2008.

Harmful Algal Bloom Management and Response: Assessment and Plan.

Interagency Working Group on Harmful Algal Blooms, Hypoxia and Human Health of the Joint Subcommittee on Ocean Science and Technology. Washington, DC, 76 pp. https://obamawhitehouse.archives.gov/sites/default/ files/microsites/ostp/jsost_hab0908.pdf.

(11) Lopez, C.B., Jewett, E.B., Dortch, Q., Walton, B.T., Hudnell, H.K. 2008.

Scientific Assessment of Freshwater Harmful Algal Blooms. Interagency Working Group on Harmful Algal Blooms, Hypoxia, and Human Health of the Joint Subcommittee on Ocean Science and Technology, Washington, D.C., 65 pp.

http://www.whoi.edu/fileserver.do?id=41023&pt=10&p=19132.

(12) National Assessment of Harmful Algal Blooms in U.S. Waters. 2000. National Science and Technology Council Committee on Environmental and Natural Resources, 47pp. https://docslib.org/doc/2056206/national-assessment-of-harmful-algal-blooms-in-us-waters.

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(13) NOAA National Sea Grant College Program. 2001. Prevention, Control, and Mitigation of Harmful Algal Blooms: A Research Plan. 28pp.

http://www.whoi.edu/fileserver.do?id=24160&pt=10&p=19132.

C. Program Authority

Public Law 102-567, §201(c) authorized NOAA’s Coastal Ocean Program, now known as the National Centers for Coastal Ocean Science (NCCOS) Competitive Research Program (CRP). The Harmful Algal Bloom and Hypoxia Research and Control Act (HABHRCA; 33 U.S.C. §4001-4010, 1998, 2004, 2014, and 2017) authorizes NCCOS CRP competitive Harmful Algal Bloom (HAB) research programs and directs NOAA to advance the scientific understanding and ability to detect, monitor, assess, and predict HAB and hypoxia events.

II. Award Information

A. Funding Availability

Funding is contingent upon the availability of Fiscal Year 2024 Federal appropriations. It is anticipated that up to approximately $1,500,000 may be available in Fiscal Year 2024 for the first year for all projects combined. If funds become available for this program, 3 to 5 projects are expected to be funded at the level of $300,000 to $400,000 per year per proposal. Projects are not expected to exceed 3 years in duration. NCCOS/CRP may reject any proposals submitted with an annual budget that is greater than $400,000 for any year.

It is anticipated that projects funded under this announcement will have a September 1, 2024 start date.

B. Project/Award Period

Full applications may cover a project/award period up to 3 years.

Awards may be funded incrementally, generally on an annual basis, but once awarded, those awards will not compete for funding in subsequent years. Once approved, full applications are not required for the continuation in the out years. While applicants are not required to divide Federal assistance project activities into annual increments based on appropriations law, this approach may be constructive given the possibility that funding may not be available in subsequent years.

Funding for each year's activity is contingent upon the availability of appropriations, Notice of Federal Funding Page 12 of 48 satisfactory performance, and is at the sole discretion of the agency.

During the implementation phase of research projects funded under this Announcement, regardless of the funding mechanism used, NCCOS/CRP Program Managers will analyze financial statements and progress reports for each continuing award, and will have dialogue with the PIs and Authorized Representatives of the recipient institutions to discuss research progress and expected timelines for the remaining award period. If NOAA experiences budget fluctuations in future fiscal years, the amount of funding provided in any given fiscal year will be determined on a project-specific basis by the remaining tasks to be completed, the overall pace of the research and the length of time remaining on the award, and/or across the board reductions or increases based on the overall funds available.

Regardless of the budget for any given fiscal year, NCCOS/CRP Program Managers will consider the length of time remaining for each project, the amount of funds available, the tasks to be completed in the upcoming fiscal year, the pace of research, and any delayed progress relative to that originally proposed, before determining the funding amount in any given fiscal year.

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

In an effort to maximize the use of limited resources, applications from non-Federal, non-NOAA Federal, and NOAA Federal applicants will be evaluated in the same competition, with different funding instruments applicable to the type of applicant.

The funding instrument for a research application selected for funding from a non- Federal researcher is expected to be a cooperative agreement. A cooperative agreement is appropriate when substantial Federal government involvement is anticipated. This means that the recipient can expect substantial agency collaboration, participation, or intervention in project performance. Substantial involvement exists when: responsibility for the management, control, direction, or performance of the project is shared by the assisting agency and the recipient; or the assisting agency has the right to intervene (including interruption or modification) in the conduct or performance of project activities. "Substantial involvement” will be coordinated and communicated by NCCOS/CRP Program Managers, and can include collaboration and

Notice of Federal Funding Page 13 of 48 participation by NOAA (but see section III.A.5-6), as well as NCCOS/CRP Program Manager involvement in PI meetings, setting up management advisory groups, development of management transition plans, and communication of project results.

If the non-Federal applicant is at an institution that has a NOAA Cooperative Institute (CI), https://ci.noaa.gov/, 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 CI, 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 timetable of the funding program and be submitted directly to the funding 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.

If the non-Federal applicant is at an institution that has a NOAA approved Cooperative Ecosystem Studies Unit (CESU), http://www.cesu.psu.edu/, and meets the criteria described below for using that status, they may include a cover letter with their application stating their desire to have the application associated with that CESU. This letter should specify the name of the CESU. Of the 17 CESUs across the nation, NOAA is a member of 10: North and West Alaska, California, Hawaii-Pacific Islands, South Florida-Caribbean, Gulf Coast, Piedmont- South Atlantic Coast, Chesapeake Watershed, North Atlantic Coast, Pacific Northwest, and Great Plains. The following criteria must be met for NOAA to use the established partnerships with CESUs:

1. The proposed project must fit within the objectives of the National CESU Network Program, which are to provide research, technical assistance, and education to Federal land management, environmental, and research agencies and their partners in biological, physical, social, cultural, or engineering disciplines needed to address natural and cultural resource management issues at multiple scales and in an ecosystem context.

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2. The proposed project must fit the intent of the CESU’s existing cooperative and joint agreement, which means (1) the research partnership will carry out or stimulate an activity (e.g., data, products, or services) for a public purpose, and

(2) NOAA will be significantly involved in the work.

The funding instrument for a selected application from an eligible NOAA Federal applicant will be an intra-agency transfer of funds.

The funding instrument for a selected application from a non-NOAA Federal applicant will be through an inter-agency transfer of funds, provided legal authority exists for the Federal applicant to receive funds from another agency. Non-NOAA Federal applicants that intend to be the lead institution should contact the NCCOS Grants Administrator (refer to Section VII) to discuss how to structure budgets and prepare required documentation. PLEASE NOTE: Before non-NOAA Federal applicants may be funded, they must demonstrate that they have applicable legal authority for an inter-agency transfer of funds.

Support may be solely through NCCOS/CRP or partnered with other Federal offices and agencies. Unfunded proposals may be shared with other NOAA offices or other Federal Agencies for the purposes of collaboration and eliminating duplication.

The intra- and inter-agency transfers of funds are not Federal assistance (grants or cooperative agreements), and the policies described in this Announcement applicable to Federal assistance awards do not apply to Federal entities receiving intra- and inter-agency transfers of funds. In the agreements implemented in these situations, NOAA will be substantially involved in the projects in a manner similar to the cooperative agreements with non-Federal parties. Contact the NCCOS Grants Administrator for more information (refer to Section VII).

III. Eligibility Information

A. Eligible Applicants

Eligible applicants for Federal financial assistance in this competition are U.S.

institutions of higher education, other non-profits, state, local, tribal government entities, U.S. Territories, and for-profit organizations. Federal agencies that possess the statutory authority to receive transfers of funds are eligible to submit applications for intra- or inter-agency funds transfers through this competition. Department of Commerce (DOC)/NOAA supports cultural and gender

Notice of Federal Funding Page 15 of 48 diversity and encourages women and minority individuals and groups to submit applications to its programs. In addition, DOC/NOAA is strongly committed to broadening the participation of historically black colleges and universities, Hispanic serving institutions, tribal colleges and universities, Asian American and Native American Pacific Islander-Serving Institutions, and institutions that work in underserved areas. DOC/NOAA encourages encourages applications involving any of the above institutions to apply.

Please note that:

(1) PIs must be employees of an eligible entity listed above; and applications must be submitted through that entity. Non-Federal researchers should comply with their institutional requirements for application submission.

(2) Non-Federal researchers affiliated with NOAA-University Cooperative/Joint Institutes will be funded through cooperative agreements.

(3) Foreign researchers must apply as subawards or contracts through an eligible U.S. entity.

(4) Federal applicants are eligible to submit applications for intra- or inter-agency funds transfers through this competition. Non-NOAA Federal applicants will be required to submit certifications or documentation showing that they have specific legal authority to accept funds for this type of research.

(5) An eligible U.S. entity may propose Federal agency researchers as funded or unfunded collaborators. If Federal agency researchers are proposed as funded collaborators, the applicant should present the collaborator's funding request in the application in the same way documentation is provided for a subrecipient for purposes of project evaluation, even though intra- or inter-agency funding transfers will generally be used if the project is selected.

(6) NCCOS researchers may apply through an eligible U.S. entity as funded or unfunded collaborators, but cannot be the lead PI on the application. NOAA Federal salaries will not be paid.

B. Cost Sharing or Matching Requirement

Requirement None.

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C. Other Criteria that Affect Eligibility

Letters of intent are required. Applications that did not submit an LOI are not eligible and will be rejected. Each application must substantially comply with the 14 elements listed under Section IV.B(c) Content and Form of Application: Required Elements (1) - (14), or it will be returned to sender without further consideration. A checklist with the required and requested application elements can be found in Section VIII.

IV. Application and Submission Information

A. Address to Request Application Package

Proposal materials are available at http://www.grants.gov as part of the electronic proposal package. Please contact the NCCOS Grants Administrator (see section VII) should you have an issue accessing the materials.

B. Content and Form of Application

1. Letter of Intent (LOI)

LOIs are required. Any full proposals submitted without a prior timely LOI submission will not be considered. 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 program priorities. The LOI should be no more than two pages (front only) in length, single spaced in 12-point font with 1-inch margins and should include in order the components listed below. If all these components are not included, the LOI will not be considered.

(a) Tentative project title.

(b) Name phone number, email address, and institution of all PIs and specification of which individual is the Lead PI.

(c) Approximate cost of the project.

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

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(e) Brief summary of work to be completed, methodology to be used and the plan for transitioning results to management application.

CRP Program Managers will review each LOI to determine whether it is responsive to the Program's goals, as advertised in this Announcement. Letters or emails to encourage or discourage a full application are scheduled to be sent out two weeks after the LOI due date. Late LOIs will not be considered and any associated full applications will not be considered.

2. Full Application

(a) Example Application

A sample application package and other guidance can be found under “Information for applicants” located on the NCCOS website at:

https://coastalscience.noaa.gov/about/funding-opportunities/application-forms/.

(b) Collaborative Proposals

If more than one institution is collaborating in a project awarded funds, the lead institution will be the only institution to directly receive funds from NOAA and will be responsible for distributing funds to the partner institutions with the exception of Federal agency partners. Federal agencies will be funded with either intra- or inter-agency agreements initiated by NCCOS. Only one full proposal per project must be submitted via grants.gov. Collaborating institutions expected to receive funds must be budgeted as subawards or contracts in the submitted proposal and provide the lead institution with their documents for submission by the lead. Unfunded collaborators may also participate.

(c) Required Elements

Each application must substantially comply with the following 14 elements to be forwarded for merit review. The Summary Title Page, Abstract, Project Description, References, Biographical Sketch, and Budget Narrative must be single spaced in 12-point font with one- inch margins. The Collaborators List must be an Excel spreadsheet. The 14 elements are as follows:

(1) Standard Form 424. The applicant must submit the Standard Form, SF-424, “Application for Federal Assistance,” to indicate the total amount of funding

Notice of Federal Funding Page 18 of 48 proposed for the whole project period. This form is to be the cover page for the original application and is the first required form in the grants.gov application package. Please ensure that the person who is listed as the authorized representative matches the signature, if there is shared signing authority, please submit supporting documentation.

(2) Summary Title Page. One-page maximum. The Summary Title Page identifies the project's title and the PI’s name, affiliation, complete address, phone, and email information. The requested funding amounts for each fiscal year should be included on the Summary Title Page. If this proposal is a resubmission from a previous NCCOS competition, indicate that information on the Summary Title Page.

(3) One-page Abstract/Project Summary. The summary (abstract) should appear on a separate single page, headed with the proposal title, institution(s), investigator(s), total proposed cost, and budget period. It should be written in the third person. The project summary should include an introduction of the problem, rationale, scientific objectives and/or hypotheses to be tested, and a brief summary of work to be completed. The summary is used to help compare proposals quickly and allows the respondents to summarize their key points in their own words. Project summaries of applications that receive funding may be posted on program-related websites.

(4) Project Description. The description of the proposed project must include four narrative sections: the Proposed Research, its Application to Management, a Data Management Plan, and a Statement of Diversity and Inclusion. The project description shall not exceed 18 pages. Page limits are as follows: Proposed Research and Application to Management (15 pages);

Data Management Plan (two pages); Statement of Diversity and Inclusion (one page). These four sections must include the information as described below.

a. Proposed Research

The Proposed Research narrative section should be thorough and explicitly indicate its relevance to the program goals and scientific priorities by:

i. Identifying the topic that is being addressed by the proposal;

Notice of Federal Funding Page 19 of 48

ii. Describing the proposed scientific objectives and research activities in relation to the present state of knowledge in the field and in relation to previous and current work by the proposing PI(s);

iii. Discussing how the proposed project lends value to the program goals;

and

iv. Identifying the function of each PI. The Lead PI will be responsible for communicating with the NCCOS/CRP Program Manager on all pertinent verbal or written information.

[Note: If the proposal is a resubmission from a previous competition, any concerns identified with the Project Description in the previous review process and provided to the applicant(s) should be addressed in the resubmitted proposal.]

b. Application to Management

The Applications to Management Narrative should establish the connection to relevant resource management needs by explicitly identifying the end user group(s) including evidence of the linkage between the scientific questions and management needs. The format and role of Management Technical Advisory Group (MTAG) (see Section I.B.) should be included in this section. The narrative should provide the management justification for the research by:

i. Articulating the coordination with one or more end users.

ii. Discussing the expected significance of the project to management priorities and needs. Specific management targets, with proposed outputs and outcomes, should describe how this project will improve management capabilities. Outputs are defined as products (e.g., publications and models) or activities that lead to outcomes (changes in management knowledge or action). Definitions and examples of outputs and outcomes can be accessed at:

https://coastalscience.noaa.gov/about/funding-opportunities/outputs-and-outcomes/. The timeline for achieving outputs should be included in the Milestone Chart (below).

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iii. Describing specific activities, such as workshops or development of outreach materials, that will enhance information transfer from project scientists to relevant management entities, other end-users, or the public.

iv. If the proposal includes a project advisory committee, such as a MTAG or Technical Advisory Committee, describing the structure, size, and activities of the advisory committee, particularly by including a plan for how the committee will engage with project PIs. Members of the advisory committee should be named, when possible. Letters may be included, but are not required, to indicate that they have agreed to serve on the advisory committee; these letters do not count against the page limits.

c. Data Management Plan

Proposals must provide a detailed Data Management Plan that describes how metadata and data collected as part of the project will be disseminated to the broader community, and plans for longer term archiving of these data.

PIs that propose to collaborate with data centers or networks, except the National Center for Environmental Information (NCEI), are advised to obtain letters of commitment that affirm the collaboration. Where possible, all PIs are strongly encouraged to use existing data centers and data portals to archive and disseminate their data. All ocean acidification data must be archived and accessible through NCEI (http://www.nodc.noaa.gov/oceanacidification/index.html). Costs associated with use of data centers, or data archiving, should be included in the application budget. See the section on the NOAA Data Reporting requirements in Section VI.C.

d. Statement of Diversity and Inclusion

NOAA recognizes that it has a particular and unique opportunity to support NOAA’s commitment to diversity, equity, and inclusion by taking an intentional step that encourages program applicants to consider the principles of diversity, equity, and inclusion as part of their scientific projects. This action has the potential to make an impact on not only the diversity, equity, and inclusion in science at NOAA, but also beyond the agency. In this

Notice of Federal Funding Page 21 of 48 section, describe how well the proposed project incorporates the principles of diversity, equity, and inclusion. Examples could include, but are not limited to, broadening the participation of underrepresented groups; partnering with underserved communities to ensure relevant science, services and tools reach decision-makers; partnering with minority serving institutions or programs that promote diversity in science, technology, engineering, and mathematics (STEM); having a diverse project team and MTAG across several factors (e.g., sectors, age, career stage, gender, ethnicity, disability, geography, etc.); encouraging diverse perspectives from project team members and partners; and or fostering an inclusive environment that empowers and engages all team members.

(5) References cited. Reference information is required. Each reference should include the names of all authors in the same sequence they appear in the publications, the article title, the journal or book title, volume number, page numbers, and year of publications. While there is no established page limitation, this section should include bibliographic citations only and should not be used to provide parenthetical information outside of the Project Description.

(6) Milestone chart. Provide timelines of major tasks covering the duration of the proposed project.

(7) Biographical sketch. All PIs and co-PIs must provide summaries of up to two pages that include the following:

a. A listing of professional and academic credentials and mailing address;

and

b. A list of up to five publications most closely related to the proposed project and five other significant publications.

(8) Current and Pending Support. Describe all current and pending Federal financial/funding support for all PIs and co-PIs. Continuing grants must also be included. A current and pending support form is available on the NCCOS website for your use:

https://coastalscience.noaa.gov/about/application-forms.

You should respond to this element whether or not you have any current and/or pending support, i.e., by indicating “not applicable.”

Notice of Federal Funding Page 22 of 48

(9) A list of all known applicable permits that will be required to perform the proposed work. You should respond to this requirement element whether or not permits are required.

(10) Budget Narrative. In order to allow reviewers to fully evaluate the appropriateness of costs, all applications must include a detailed budget narrative to support all proposed budget categories for each fiscal year. For additional budget guidance see:

https://coastalscience.noaa.gov/about/funding-opportunities/requirements/.

Personnel costs should be broken out by named PI, number of months, and percentage of time requested per year per PI. Support for each PI should be commensurate with their stated involvement each year in the milestone chart (see Required Elements: (6) Milestone Chart). Any unnamed personnel (graduate students, post-doctoral researchers, technicians) should be identified by their job title, their personnel costs explained similar to PI personnel costs, and when they are expected to be identified. The contribution of any personnel to the project goals should be explained.

Travel costs should be broken out by number of people traveling, destination and purpose of travel, and projected costs per person (i.e., hotel rate, meals and incidentals, and transportation). Registration fees belong in the “h. other” category in the SF424A and budget justification.

Equipment costs should describe the equipment to be purchased, and its contribution to the achievement of the project goals.

Any ship time needs must be clearly identified in the proposed budget. The applicant is responsible for requesting ship time through appropriate channels and for meeting all requirements to ensure the availability of requested ship time. If any NOAA personnel will be present during ship operations, vessel safety clearances must be obtained through the NOAA Corporate Services:

https://www.corporateservices.noaa.gov/~noaaforms/eforms/nf57-11-02.pdf Required information and procedures are detailed in a Charter Vessel Acquisition and Safety NOAA Administrative Order which can be accessed via the NOAA Office of the Chief Administrative Officer website at:

https://www.noaa.gov/organization/administration/nao-209-115-noaa-employees-aboard-non-noaa-vessels in advance of the cruise.

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If more than one institution is collaborating in a project awarded funds, the lead institution will be the only institution to directly receive funds from NOAA unless a Federal agency is a funded collaborator. Federal agencies may be funded directly by NOAA. The lead institution is responsible for sending funds to the other subaward institutions. A separate budget narrative is required for each subaward (including Federal collaborators) and must be provided to the lead institution for submission. Signed approval from each identified subaward institution is required. For acquisition contracts, the purpose and cost or price must be fully justified and the contract must fully comply with 2 C.F.R. 200.317-.327.

Applications are permitted to include the costs of project-level data management, including: coordinating, organizing, documenting, formatting, or otherwise preparing datasets for submission to NOAA or non-NOAA data facilities; establishing and maintaining data access tools and services and related metadata; managing non-digital data that are not required to be made publicly accessible, including laboratory notebooks, preliminary analyses, drafts of scientific papers, plans for future research, peer review reports, communications with colleagues, or physical objects, such as laboratory specimens.

An applicant requesting funds for indirect costs in its proposal budget that has a current Federally approved rate should submit documentation of the indirect cost rate agreement as an attachment to its application submission. An applicant without a Federally approved rate should refer to Section IV.F. of this Announcement regarding options.

(11) CD-511. Certification Regarding Lobbying. Lead institutions can submit these forms through the grants.gov CD-511 document placeholder without a hard signature because electronic signatures are allowed on documents from the submitting institution. Please ensure that the person who is listed as the authorized representative matches the signature, if there is shared signing authority, please submit supporting documentation.

(12) Standard Form (SF) 424B. Assurances - Non-Construction Programs. Lead institutions can submit these forms through the grants.gov SF-424B document placeholder without a hard signature because electronic signatures are allowed on…