NOAA-NWS-NWS CIPO-2021-2007043 NOFO Report.pdf

Competition for a Cooperative Institute to Support Water Resources

TABLE OF CONTENTS

I. Funding Opportunity Description 4

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

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

III. Eligibility Information 10 A. Eligible Applicants 10 B. Cost Sharing or Matching Requirement 10 C. Other Criteria that Affect Eligibility 11

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

V. Application Review Information 16 A. Evaluation Criteria 17 B. Review and Selection Process 18 C. Selection Factors 18 D. Anticipated Announcement and Award Dates 19

VI. Award Administration Information 19 A. Award Notices 19 B. Administrative and National Policy Requirements 20 C. Reporting 26

VII. Agency Contacts 27 VIII. Other Information 27

Notice of Federal Funding Page 1 of 27

NOTICE OF FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): National Weather Service (NWS), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce

Funding Opportunity Title: Competition for a Cooperative Institute to Support Water Resources

Announcement Type: Initial

Funding Opportunity Number: NOAA-NWS-NWS CIPO-2021-2007043

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

Dates: Applications must be received by OAR no later than November 29, 2021, at 5:00 p.m.

EDT. For applications submitted via Grants.gov, a date and time receipt indication will form the basis for determining timeliness. For those applicants not having access to the Internet, one signed original and two hard copy applications must be received by OAR at the following address: NOAA/OAR, Attn: Competition Manager Sandra Byers, 1315 East-West Highway, Room 11340, Silver Spring, Maryland 20910. Use of U.S. mail or another delivery service must be documented with a receipt. (Note that late-arriving hardcopy applications provided to a delivery service on or before 5:00 p.m. EDT on the closing date for applications will be accepted for review if the applicant is able to document that the application was provided to the guaranteed delivery service by the specified closing date and time and if the application is received by OAR no later than 5:00 p.m., EDT, two business days following the closing date.)

No facsimile or electronic mail applications will be accepted. Applications submitted after November 29, 2021, will not be reviewed or considered for funding.

Funding Opportunity Description: Across NOAA, water is a common thread that runs through many mission areas, each of which serve stakeholders through a variety of field offices, laboratories, and national service outlets.

NOAA services inform essential emergency management and water resources decisions across all timescales, including drought, low-flow risks, and routine and seasonal water management and planning. The development and continued evolution of NOAA’s water resources information capabilities is a critical component of our national infrastructure and essential to our water and economic security.

To continue and accelerate the evolution of NOAA’s water resources information, NOAA’s National Weather Service invites applications for the establishment of the Cooperative Institute to Support Water Resources. The proposed CI will help advance science and services which

Notice of Federal Funding Page 2 of 27 transform NOAA’s ability to inform routine, high value and event driven, high impact decisions related to water. More specifically, the Institute will enhance NOAA’s ability to accomplish its mission to provide actionable water resources intelligence to support the issuance of forecast, watch, and warning products and related information for the protection of life and property, as well as the enhancement of the Nation’s economy.

To this end, the Institute will conduct research under the following themes: (1) Expansion and improvement of water resources prediction capabilities; (2) Advancement and acceleration of water resources modeling; (3) Advancement and augmentation of hydroinformatics; and (4) Application of social, economic, and behavioral science to water resources.

The research activities described herein have been carefully defined to complement, rather than duplicate, research at other CIs, except in cases where there are advantages for such overlap. The CI may consist of one or more (e.g., a consortium) academic or non-profit, degree-granting institutions that possess an outstanding research program in one or more areas related to NOAA’s mission. In the case of a consortium applicant, NOAA will issue only one award to the lead academic institution that applied for the award and where the CI will be established and resident. The CI is strongly encouraged to work in conjunction with a range of supporting research affiliates, including, but not limited to other governmental agencies; private industry;

non-traditional partners; and NOAA laboratories, and science and data centers; other CIs and Cooperative Science Centers (CSCs); and Sea Grant Colleges.

Notice of Federal Funding Page 3 of 27

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The purpose of this announcement is to invite the submission of proposals to establish a Cooperative Institute to Support Water Resources and to provide details on the application, review, and selection process.

CI Concept/Program Background

A Cooperative Institute (CI) is a NOAA-supported, non-Federal organization that has established an outstanding research program in one or more areas that are relevant to the NOAA mission “to understand and predict changes in climate, weather, oceans, and coasts, to share that knowledge and information with others, and to conserve and manage coastal and marine ecosystems and resources.” CIs are established at research institutions with outstanding graduate degree programs in NOAA-related sciences. CIs provide significant coordination of resources among all non-government partners and promote the involvement of students and post-doctoral scientists in NOAA-funded research. NOAA establishes a new CI competitively when it identifies a need to sponsor a long-term (5-10 years) collaborative partnership with one or more outstanding non-Federal, non-profit research institutions.

For NOAA, the purpose of this long-term collaborative partnership is to promote research, education, training, and outreach aligned with NOAA’s mission; to obtain research capabilities that do not exist internally; and/or to expand research capacity in NOAA-related sciences to:

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

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

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

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

A CI may be comprised of a single academic institution or a consortium of academic institutions, at times working in conjunction with supporting research affiliates, each of which demonstrates outstanding performance within one or more established research programs in

Notice of Federal Funding Page 4 of 27

NOAA-related sciences.

CIs conduct research under approved administrative tasks, as described below. These tasks may not be redefined or abbreviated:

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

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

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

B. Program Priorities

Research Themes of Proposed Cooperative Institute to Support Water Resources:

(1) Expansion and improvement of water resources prediction capabilities Research under this theme not only fosters improvements in service equity, coastal resilience research, ecosystem management, enhanced decision support services, but also promotes integration within NOAA's Unified Forecast System (UFS). Such research may include, but is not limited to, the following activities:

a. Improved Physical Process Understanding

i. Streamflow: Improve understanding and modeling of rivers and streams.

ii. Stormflow Generation: Improve understanding of hydroclimatic and geophysical processes that convert precipitation into streamflow.

iii. Drought: Improve modeling and prediction of drought.

iv. Coastal Processes: Improve understanding and modeling of coastal processes, including weather and water impacts (e.g., tropical storms).

b. Hydro Meteorological Forcings:

The accuracy of hydrologic and coastal hydrodynamic forecasts are highly dependent on the accuracy of the hydrometeorological forcings and are critical to the UFS. Research topics may include, but are not limited to, improving forecasted temperature and precipitation amount, type, and timing; developing research methods to address reformulation of convection and microphysics schemes, model resolution, and improved component couplings; advancing Research Machine Learning (ML) and Artificial Intelligence (AI) to

Notice of Federal Funding Page 5 of 27 refine data assimilation and post-processing methods; and exploring two-way coupling between the atmospheric and land surface models to advance NOAA’s commitment to a

UFS.

c. Flood Inundation Mapping: Derive water surface elevations, spatial extents, and depth from high resolution continental-scale hydrologic and hydraulic models in a manner that optimizes skill and accuracy. Research to improve emergency management decision support before, during, and after an event by developing a comprehensive real-time and forecast flood inundation mapping (FIM) capability to better depict when, where, how deep, and for how long flood waters persist.

d. Aquatic Resources Mapping and Prediction: Research addressing the intersection of real-time flood inundation mapping developed for emergency management applications and how the flood waters may interact or connect to critical aquatic resources (e.g., wetlands and marshes).

e. Integrated Water Prediction and Hindcasts

i. Coastal Coupling: Research concerning routine total water prediction along the coastal boundaries for FIM applications. Research exploring the feasibility of coupled systems that better accounts for freshwater contributions to 3D coastal hydrodynamic applications.

ii. Post Storm Assessment: Observations and post storm assessments following landfalling tropical cyclones

f. Water Resources Model Validation and Forecast Verification: Research focused on identifying and developing key components of a comprehensive model evaluation and forecast validation capability to support water quantity and quality model development.

g. Probabilistic Forecasting and the Quantification of Uncertainty: Accurate quantification and communication of hydrologic and hydro-meteorological model forecast uncertainty for all rivers and streams to support a broad spectrum of risk-informed water management decisions, in the context of a changing climate.

h. Remote Sensing: Research of the estimation of inundation extent and water budget variables, such as snow water equivalent and soil moisture, from satellites, crewed and uncrewed aircraft and vessels, and ground based camera imagery.

i. Data Assimilation: Improvements in forecast and warning skill through the assimilation of in-situ (e.g., streamflow) and remotely-sensed observations and data that represent anthropogenic processes, such as reservoir management and diversions, which impact the Nation’s waterways and systems.

(2) Advancement and acceleration of community water resources modeling Research conducted under this theme investigates water resources modeling advances with observing, analysis, and forecasting capabilities to improve forecasting of water resources from summit to sea, including coupling with coastal and ocean processes’ This

Notice of Federal Funding Page 6 of 27 research examines water quality modeling, and the incorporation of these models in a next-generation water resources modeling framework.

Research under this theme develops and implements a Next Generation (NextGen), community-based, open source, water resources modeling framework. This research supports advancement of community-based water resources modeling, prediction and related services, and promotes integration within NOAA’s Unified Forecast System (UFS).

This research explores a modeling architecture that incorporates the following design tenets:

a. Maximum flexibility - as models, data sources, and needs evolve, framework supports changes and additions;

b. Model agnostic;

c. Common architecture to avoid duplication and promote interoperability;

d. Open source development applying standards where available;

e. Friendly to domain scientists and engineers to facilitate community development; and

f. Supported by documentation, tutorials and training.

(3) Advancement and augmentation of hydroinformatics Research under this theme supports enhanced integration, access to, and understanding of increasingly complex water data through hydroinformatics. Hydroinformatics is the application of information and communication technologies to deliver the next generation of water resources services that span multiple sectors. The focus is to leverage geographic information systems and techniques such as remote sensing, data assimilation, computational science and high-performance computing, and artificial intelligence and machine learning to help organize, integrate, and optimally synthesize large volumes of complex data to better inform water resources decisions.

(4) Application of social, economic and behavioral science to water resources Research under this theme is associated with water-related operations and outreach to improve the delivery and efficacy of decision support services based on the expressed needs and comprehension of the stakeholders NOAA serves.

Such research would evaluate human dimensions in water resources which explore the full range of social sciences important for the valuation, public understanding, dissemination, management- and policy-related use of scientific information. Research should apply a broad realm of water resources predictions including quantity and quality, and assessments enabled by the integration of physical and social sciences.

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COOPERATIVE INSTITUTE CAPABILITIES

CI facilities are expected to complement and expand NOAA’s research capacity to provide the CI and NOAA with the necessary infrastructure to study water resources sciences and develop advanced capabilities. NOAA encourages and prioritizes submissions from applicants that can demonstrate established collaboration with NOAA’s water research programs, led by the National Water Center, as well as those of other pertinent Federal partners, principally the U.S. Geological Survey and Federal Emergency Management Authority. The CI should be capable of providing:

1. Access to geospatial laboratory and computing clusters;

2. Access to hydrology related physical laboratory space;

3. Access to supercomputing resources and very large data storage devices for advanced numerical modeling and data assimilation;

4. Access to facilities to host in person and distance learning training; and

5. Access to Internet2 (https://internet2.edu/) to readily retrieve and share data supporting research to operational activities.

COMPOSITION OF THE INSTITUTE

The CI will promote undergraduate, graduate students, and postdoctoral support in research projects in ways to train the next generation of water resources scientists and engineers, and NOAA employees. The CI should establish a community of scientists who develop and apply new and innovative water prediction approaches and models. The CI should provide support for graduate and undergraduate students and postdoctoral scientists that will provide a “hands-on” opportunity for the development of a wide range of expertise. These can include work-based learning opportunities such as fellowships, internships, and cooperative experiences with NOAA or other sponsors (e.g., Hollings Undergraduate Scholarship, Knauss Sea Grant Fellowship, Margaret A. Davidson Graduate Fellowship, the National Water Center Innovator’s Program and Summer Institute, and other NOAA-sponsored coastal fellowships).

The Nation’s underrepresented minority students enrolled in undergraduate science, technology, engineering or mathematics (STEM) degree programs and gaining degrees, are an untapped talent pool. NOAA is committed to developing a future workforce that reflects the diversity of the Nation and encourages the CI to work with Minority Serving Institutions (MSIs) and NOAA Cooperative Science Centers (CSCs). The MSI designation is determined by statute, with the U.S. Department of Education serving as the cognizant Federal education

Notice of Federal Funding Page 8 of 27 agency. The U.S. Department of Education provides the following MSI definitions:

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

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

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

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

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

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

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

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

RESEARCH FOCI

The CI will provide expertise to meet a number of critical research objectives identified in the Agency’s 2005 20-year Research Vision, NOAA’s NextGeneration Strategic Plan, and the NOAA Research and Development Vision Areas: 2020-2026.

The CI will also provide expertise to support the Consolidated Appropriations Act, 2021, Pub. L. No. 116-260 (December 27, 2020), which stated “a clear, present, and increasing threat of water-related hazards demands an increased commitment to and investment in water-related research and development to better support NWS’s existing and growing water-related operational services, and the Weather Research and Forecasting.” Innovation Act, Pub. L. 115-25 (April 18, 2017). In addition, the CI supports National Weather Service Policy Directive 10-24 and National Weather Service Policy Directive IO - Operations & Services

C. Program Authority

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

II. Award Information

A. Funding Availability

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All funding is contingent upon the availability of Federal appropriations. NOAA anticipates that up to $360M will be available for this CI. The actual annual funding that the CI receives may be less than the anticipated amount and will depend on the actual projects that are approved by NOAA after the main CI award begins, the availability of funding, the quality of the research, the satisfactory progress in achieving the stated goals described in project proposals, and continued relevance to program objectives.

NOAA has a reasonable expectation that proposed funding levels will be executed through the proposed CI; however, the agency will establish flexibility in post-award execution in the event additional NOAA spending becomes available to further support its mission.

B. Project/Award Period

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

C. Type of Funding Instrument

The funding instrument for this institutional award will be a cooperative agreement since several NOAA organizations will be substantially involved in working with the CI.

Examples of substantial involvement may include, but are not limited to, proposals for collaboration between NOAA scientists and a CI scientist and/or assistance by NOAA personnel in developing curricula. NOAA will issue only one award to the successful institution or to the lead academic institution of a consortium of universities, with supporting research affiliates if applicable, where the Institute will be established and resident.

III. Eligibility Information

A. Eligible Applicants

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

B. Cost Sharing or Matching Requirement

Cost sharing is not required. However, given the collaborative nature and investment of a CI by both NOAA and the research institution, the amount of voluntary committed cost sharing will NOT be considered when determining the level of the CI’s commitment.

Acceptable cost-sharing proposals include, but are not limited to, offering a reduced indirect cost rate against activities in one or more Tasks, waiver of any indirect costs assessed by the

Notice of Federal Funding Page 10 of 27 awardee on subawards, waiver of indirect costs assessed against base funds and/or Task I activities, waiver or reduction of any costs associated with the use of facilities at the CI, and full or partial salary funding for the CI director, administrative staff, graduate students, visiting scientists, or postdoctoral scientists.

C. Other Criteria that Affect Eligibility

Not applicable

IV. Application and Submission Information

A. Address to Request Application Package

The standard application package, consisting of the standard forms, i.e., SF-424, SF424A, SF-424B, SF-LLL, and the CD-511, is available at http://www.grants.gov. Users of Grants.gov will be able to download a copy of the application package, complete it offline, and then upload and submit the application via the Grants.gov site. In addition, budget justification and narrative guidance can be found at https://www.noaa.gov/sites/default/files/legacy/document/2019/Jun/gmd_budget_narrative_g uidance_-_05-24-2017_final.pdf. If an applicant has problems downloading the application forms from Grants.gov, contact Grants.gov Customer support at 1-800-518-4726 or support@Grants.gov. For applicants without Internet access, an application package may be secured by contacting:

Sandra Byers, Competition Manager OAR Cooperative Institutes Administration Office 1315 East West Highway, Room 11350 Silver Spring, MD 20910 Telephone: (301) 734-1125 Sandra.byers@noaa.gov

B. Content and Form of Application

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

As required by the National Environmental Policy Act (NEPA), NOAA must analyze the potential environmental impacts of applications that request Federal funding. In order for NOAA to complete its analysis, NOAA must address the following questionnaires:

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The U.S. Department of Commerce National Environmental Policy Act (NEPA) Environmental Questionnaire & Checklist, which may be found at:

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

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

Project Title Name and contact information for the principal investigator Describe the proposed activity, including, as applicable:

- its purpose, objectives, and goals;

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

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

- any proposed mitigation or monitoring measures and protocols;

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

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

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

1. PROPOSALS

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

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

2. REQUIRED ELEMENTS

a. Title page. The title page should clearly indicate the proposed name of the CI, principal investigators, total amount of Federal funds being requested, and award period. In the event that the application is submitted by a consortium, the lead academic institution for the

Notice of Federal Funding Page 12 of 27 consortium should submit the application on behalf of its supporting research affiliates.

Applications submitted by a CI consortium should include the name of each academic institution and supporting research affiliate, along with each associated principal investigator.

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

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

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

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

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

The Research Theme Section includes information that will help NOAA determine the quality of the CI’s capabilities and the expertise at the CI needed to conduct outstanding research in each of the research themes described in Section I.B. This Section also includes project descriptions of research projects that could be conducted by the CI under each theme (or combination of themes), if sufficient funding during the five-year award is provided. The selection of this proposal neither precludes the CI from proposing additional research projects after the award has been made as long as they fit under one of the research themes, nor obligates NOAA to fund the projects proposed in this application. Following the selection of the award, the CI will be required to provide a complete proposal and budget for each research project funded under the CI award after consulting with the OAR CI Program Director and the NOAA program(s) that provide funding for the project. The Education Section includes information on NOAA-related education programs offered at the CI’s institution(s), including a complete list of terminal degrees in these programs. This Section should also describe how the CI will integrate students and post-docs into the research projects at the CI, as well conduct outreach and education activities in support of the research themes.

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

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Executive Board and the Council of Fellows (as well as each governing entity’s roles and responsibilities, consistent with the terms of the Cooperative Institute Interim Handbook (found at https://ci.noaa.gov/Contact-Us/Policies-and-Guidance)). The Business Plan must describe how the CI chooses projects and reviews its progress, as well as how the CI will support enhanced communication and collaborations with NOAA. If any CI personnel will work in NOAA-operated facilities, the Business Plan must describe the administrative support structure for such personnel.

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

e. Budget. Applicants must submit a Standard Form 424 “Application for Federal Assistance,” including a detailed budget using the Standard Form 424A, “Budget

Information--Non-Construction Programs,” and a Standard Form 424B, “Assurances -- Non- Construction Programs.” These and other forms, including Commerce Department Form

CD-511 “Certification Regarding Lobbying,” and, if applicable, Standard Form SF-LLL “Disclosure of Lobbying Activities,” are provided in the Grants.gov application package.

Additionally, the CD-512 “Certifications Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying” is required to be submitted with the application package. To do this, download the form from http://ci.noaa.gov/sites/lci/Documents/Forms/funding_forms_CD-512.pdf. Fill out, sign, scan, and attach the form to the application package. The proposal must include total and annual budgets corresponding to the descriptions provided in the project description not to exceed $72M in the first year, with a reasonable inflationary escalation in subsequent years. NOAA uses the proposed annual budgets to establish funding for the entire award.

After award selection, annual funding will be provided only after approval by the NOAA Grants Officer of an annual research plan or any other proposal submitted to NOAA that

Notice of Federal Funding Page 14 of 27 includes a detailed budget. While this level of funding is not guaranteed, this amount will allow for the possibility of funding for projects that were not originally planned for the CI award. Annual and total budgets should be stratified by Task and Institution, particularly if the CI award has proposed a reduced indirect cost rate for certain tasks. A budget justification should include the information described in the budget guidelines provided in the Grants.gov application package. NOAA AGO also provides guidance on preparing the budget narrative on its website at http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24- 2017_final.pdf.

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

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

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

Each applicant (unless the applicant is an individual or Federal awarding agency that is excepted from those requirements under 2 C.F.R. §25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 C.F.R. §25.110(d)) is required to: (i) Be registered in SAM before submitting its application; (ii) Provide a valid unique entity identifier in its application; and (iii) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. NOAA may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time NOAA is ready to make a Federal award, NOAA may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

D. Submission Dates and Times

The deadline for receipt of proposals in Grants.gov or at the NOAA/OAR office is no later than November 29, 2021, by 5:00 p.m. EDT. Proposals received after the deadline will not be considered. NOAA uses information from Grants.gov to determine whether an application has been submitted before the deadline. If a hard copy proposal is submitted, the original and two unbound copies of the proposal should be included. Paper submissions should be sent to: Sandra Byers 1315 East-West Highway, Room 11340, Silver Spring, Maryland 20910; telephone (301) 734-1125. Hard copy applications will be date/time stamped as they are physically received in the NOAA/OAR office. (Note that late

Notice of Federal Funding Page 15 of 27 arriving hard copy proposals provided to a delivery service on or before November 29, 2021, will be accepted for review if the applicant can document that the proposal was provided to the guaranteed delivery service by the specified closing date and time and if the proposal is received by OAR no later than 5 p.m., two business days following the closing date.) No email or facsimile proposal submissions will be accepted.

E. Intergovernmental Review

Applications under this program are not subject to Executive Order 12372.

F. Funding Restrictions

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

G. Other Submission Requirements

Federal employees are not allowed to assist in the preparation of an application or proposal, except that these individuals may provide you with information on program goals, funding priorities, application procedures, and completion of application forms. Because this is a competitive program, Federal employees will not provide assistance in conceptualizing, developing, or structuring proposals, or write letters of support for an application or proposal. All applicants are strongly encouraged to submit proposals through the Grants.gov portal. For applicants without Internet access, hard copy proposals will be accepted. The hard copies must be submitted by postal mail, commercial delivery service, or hand-delivery.

Proposals must be submitted to: NOAA/OAR, 1315 East-West Highway, Room 11350, Silver Spring, Maryland 20910, Attn: Sandra Byers.

V. Application Review Information

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A. Evaluation Criteria

A. Evaluation Criteria Proposals will be evaluated using the standard NOAA evaluation criteria. Various questions under each criterion are provided to ensure that the applicant includes information that NOAA will consider important during the evaluation, in addition to any other information provided by the applicant.

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

* Does the proposal include research goals and projects that address the critical issues identified in Agency’s 2005 20-year Research Vision, NOAA’s NextGeneration Strategic Plan, and the NOAA Research and Development Vision Areas: 2020-2026 and the priorities described in the program priorities (see Section I.B.)?

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

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

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

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

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

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

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

* Is there nationally and/or internationally recognized expertise within the appropriate disciplines needed to conduct the collaborative/interdisciplinary research described in the

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

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

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

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

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

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

B. Review and Selection Process

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

C. Selection Factors

The merit review ratings shall provide a rank order to the Selecting Official for final funding recommendations. A program officer may first make recommendations to the Selecting Official applying the selection factors below. The Selecting Official shall award in the rank order unless the proposal is justified to be selected out of rank order based upon one or more of the following factors:

1. Availability of funding.

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2. Balance/distribution of funds:

a. Geographically

b. By type of institutions

c. By type of partners

d. By research areas

e. By project types

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

4. Program priorities and policy factors.

5. Applicant’s prior award performance.

6. Partnerships and/or Participation of targeted groups.

7. Adequacy of information necessary for NOAA staff to make a NEPA determination and draft necessary documentation before recommendations for funding are made to the NOAA Grants Officer. Awards may not necessarily be made to the highest scored proposals.

D. Anticipated Announcement and Award Dates

April 01, 2022, should be used as the proposed start date on proposals. The announcement of the award is expected by March 31, 2022.

VI. Award Administration Information

A. Award Notices

1. Successful applicants will receive notification that the application has been recommended for funding to the NOAA Grants Management Division. This notification is not an authorization to begin performance of the project. Official notification of funding, signed by the NOAA Grants Officer, is the authorizing document that allows the project to begin. Notification will be issued to the Authorizing Official and the Principal Investigator of the project electronically via Grants Online or in hard copy. Unsuccessful applicants will be notified that their proposals were not selected for recommendation. Applications not selected for funding will be destroyed.

2. Modification of Applications. Successful applicants may be asked to modify objectives, Notice of Federal Funding Page 19 of 27 work plans, or budgets prior to final approval of an award. The exact amount of funds to be awarded, the final scope of activities, the project duration, and specific NOAA substantial involvement (if any) with the activities of each project will be determined in pre-award negotiations among the applicant, the NOAA Grants Office, and NOAA program staff.

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

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

4. PRE-AWARD COSTS. Per 2 C.F.R. §200.458, NOAA authorizes award recipients to expend pre-award costs up to 90 days before the period of performance start date at the applicant’s own risk and in accordance with the applicant’s internal policies and procedures.

Such costs are allowable only to the extent that they would have been allowable if incurred after the date of the Federal award. This does not include direct proposal costs. In no event will NOAA or the Department of Commerce be responsible for direct proposal preparation costs. Pre-award costs will be a portion of, not in addition to, the approved total budget of the award. Pre-award costs expended 90 or more days prior to the period of performance start date require approval from the Grants Officer. This does not constitute prior approval for an applicant to begin the period of performance early.

5. GRANTS OFFICER SIGNATURE. Proposals submitted in response to this solicitation are not considered awards until the Grants Officer has signed the grant agreement. Only Grants Officers can bind the Government to the expenditure of funds. The Grants Officer’s digital signature constitutes an obligation of funds by the federal government and formal approval of the award.

B. Administrative and National Policy Requirements

Administrative and National Policy Requirements

DEPARTMENT OF COMMERCE PRE-AWARD NOTIFICATION

REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS.

The Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements contained in the Federal Register notice of December 30, 2014 (79

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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.

SCIENCE INTEGRITY.

1. Maintaining Integrity. The non-Federal entity shall maintain the scientific integrity of research performed pursuant to this grant or financial assistance award including the prevention, detection, and remediation of any allegations regarding the violation of scientific integrity or scientific and research misconduct, and the conduct of inquiries, investigations, and adjudications of allegations of violations of scientific integrity or scientific and research misconduct. All the requirements of this provision flow down to subrecipients.

2. Peer Review. The peer review of the results of scientific activities under a NOAA grant, financial assistance award, or cooperative agreement shall be accomplished to ensure consistency with NOAA standards on quality, relevance, scientific integrity, reproducibility, transparency, and performance. NOAA will ensure that peer review of "influential scientific information" or "highly influential scientific assessments" is conducted in accordance with the Office of Management and Budget (OMB) Final Information Quality Bulletin for Peer Review and NOAA policies on peer review, such as the Information Quality Guidelines.

3. In performing or presenting the results of scientific activities under the NOAA grant, financial assistance award, or cooperative agreement and in responding to allegations regarding the violation of scientific integrity or scientific and research misconduct, the non- Federal entity and all subrecipients shall comply with the provisions herein and NOAA Administrative Order (NAO) 202-735D, Scientific Integrity, and its Procedural Handbook, including any amendments thereto. That Order can be found at http://nrc.noaa.gov/ScientificIntegrityCommons.aspx.

4. Primary Responsibility. The non-Federal entity shall have the primary responsibility to prevent, detect, and investigate allegations of a violation of scientific integrity or scientific and research misconduct. Unless otherwise instructed by the grants officer, the non-Federal entity shall promptly conduct an initial inquiry into any allegation of such misconduct and may rely on its internal policies and procedures, as appropriate, to do so.

5. By executing this grant, financial assistance award, or cooperative agreement the non- Federal entity provides its assurance that it has established an administrative process for performing an inquiry, investigating, and reporting allegations of a violation of scientific integrity or scientific and research…