NOAA-OAR-CIPO-2019-2005601 FFO Report.pdf

Competition for a Cooperative Institute for the North Atlantic Region

TABLE OF CONTENTS

I. Funding Opportunity Description 4

A. Program Objective 4 B. Program Priorities 5 C. Program Authority 10

II. Award Information 10 A. Funding Availability 10 B. Project/Award Period 11 C. Type of Funding Instrument 11

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

IV. Application and Submission Information 12 A. Address to Request Application Package 12 B. Content and Form of Application 12 C. Unique Entity Identifier and System for Award Management (SAM) 16 D. Submission Dates and Times 16 E. Intergovernmental Review 17 F. Funding Restrictions 17 G. Other Submission Requirements 17

V. Application Review Information 18 A. Evaluation Criteria 18 B. Review and Selection Process 19 C. Selection Factors 20 D. Anticipated Announcement and Award Dates 20

VI. Award Administration Information 20 A. Award Notices 20 B. Administrative and National Policy Requirements 21 C. Reporting 25

VII. Agency Contacts 26 VIII. Other Information 26

Federal Funding Opportunity Page 1 of 26

ANNOUNCEMENT OF FEDERAL FUNDING OPPORTUNITY

EXECUTIVE SUMMARY

Federal Agency Name(s): Oceanic and Atmospheric Research (OAR), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce

Funding Opportunity Title: Competition for a Cooperative Institute for the North Atlantic Region

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-CIPO-2019-2005601

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

Dates: Applications must be received by OAR no later than November 5, 2018, 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: Dr. Candice Jongsma, 1315 East-West Highway, Room 11350, 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 5:00 p.m. EDT, November 5, 2018 will not be reviewed or considered for funding.

Funding Opportunity Description: The NOAA Office of Oceanic and Atmospheric Research (OAR) invites applications for the establishment of a North Atlantic Regional Cooperative Institute (CI). The proposed CI will serve a critical function at the juncture of the interdependent global and regional observing systems in the North Atlantic Ocean and those of the Northeast U.S. Shelf Large Marine Ecosystem (NEUS LME). In so doing, the Institute will link basin-scale climate observations to ecosystem-scale monitoring, assessments, and decision making.

Broad scale climate observations will also be integrated into to the Global Ocean Observation System. The intent of this CI is to expand and improve our ability to collect, deliver, and use ocean information to study the effect of climate change on various spatial scales including regions, LMEs, and the Nation.

Federal Funding Opportunity Page 2 of 26

Because of NOAA’s need for climate information across the North Atlantic; ecosystem and resource information in the NEUS; and information concerning the linkage between the NEUS and the larger North Atlantic, the CI must be able to work across spatial scales (i.e., bays to the North Atlantic basin) and disciplines (i.e., physics, chemistry, biology). The CI must have expertise in linking across natural and humans systems to support NOAA’s stewardship and climate-related missions, as well as the ability to work across the scientific enterprise (i.e., research, new technologies, observations, modeling, and decision-support). The goal is for the CI to perform interdisciplinary and transdisciplinary science that focuses on the North Atlantic Ocean, the NEUS LME, and the linkage between them

Federal Funding Opportunity Page 3 of 26

FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The purpose of this announcement is to invite the submission of proposals to establish a Cooperative Institute for the North Atlantic Region 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 and supporting research affiliates, each of which demonstrate outstanding

Federal Funding Opportunity Page 4 of 26 performance within one or more established research programs in 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. 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 for the North Atlantic Region:

I. Sustained Ocean Observations and Climate Research – The CI must be capable of collecting and analyzing observations of the ocean environment that are critical to understanding climate processes on various time scales. The CI is expected to develop and redesign ocean observation platforms and instruments that measure the ocean environment (biological, physical, and chemical characteristics) for understanding climate processes on various time scales. The CI must have the skills necessary to identify optimum configurations for observation networks. To this end, the Institute must maintain expertise in the following program areas: evaluation of climate and weather prediction models;

deployment of ocean-climate reference stations; and Argo float development, fabrication, and data analysis. The Institute must be well-versed in ocean processes (particularly the air sea exchange of heat, water, and momentum) that are critical to building and operating accurate earth system models. Climate reference moored buoys require the highest possible measurement accuracies and long time series. These essential climate time-series records must not be broken. The Argo array of profiling floats now provides one of central elements of the global ocean-climate observing system, delivering continuous measurements of ocean heat and salinity, which are essential for initializing forecast models and analyzing climate change.

II. Ecosystem Research, Observation, and Modeling – The CI must be capable of conducting research associated with the use of coastal observing systems and basin-scale ocean

Federal Funding Opportunity Page 5 of 26 observations to understand and describe the present state of the various ecological and environmental parameters in the NEUS LME. The CI is expected to focus on parameters that determine, or are hypothesized, to be key to predicting the impacts that climate change, population growth along the coastal zone, natural resource use, and episodic events on the ecosystem. The CI is expected to conduct research on data integration techniques and geospatial technologies (GIS and remote-sensing), as well as the prototype development of decision-support tools that enable improved regional ecosystem forecasting, ecosystem management, and ecosystem policy decisions. It is expected that the CI’s research will lead to improved understanding and forecasting of the frequency and magnitude of ecosystem processes in the NEUS LME and in connected ecosystems across the North Atlantic. This research includes: monitoring and extensive use of present and past environmental, ecological, and socio-economic data; large-scale environmental and ecological studies, as well as focused process studies for understanding ecosystem functions and change; and model development, parameterization, and verification. The CI must be capable of developing numerical modeling capabilities for ocean models, biogeochemical models, climate models, ecosystem models, population models, and economic models and will include data assimilation and the ability for hindcasts, nowcasts, and forecasts. It is expected that the CI’s work will be linked to NOAA climate and living marine resource goals. It will also be expected to identify and improve the understanding of cause and effect of climate variability and change on ecosystems. The CI must be capable of interdisciplinary efforts that involve the physical, chemical, natural, and social sciences applied to the complexity of interactions between people and natural systems at the regional and local level.

III. Stock Assessment Research – The CI is expected to conduct research addressing fundamental data and modeling questions related to stock assessments, and use innovative technologies and techniques to conduct assessments. Assessments conducted in the NEUS LME are the priority; however, assessments on species found in the NEUS not necessarily assessed by the NEFSC are also of interest. The CI will need to be able to integrate across spatial scales and develop improved forecasting tools. Finally, the CI should possess the skills needed to develop techniques and approaches, including Management Strategy Evaluation, to better support science-based decision making in the region.

IV. Protected Species Research and Recovery—The CI is expected to conduct research that leads to prototype development of technology, research tools, and scientific approaches for effective assessments, status determinations, and recovery efforts. The CI will enable improvements in defining, observing, forecasting, and protecting components of protected areas. The CI’s efforts will assist with restoring habitats and populations to form productive, sustainable, and resilient systems. The Institute’s expertise will cover a wide range of topics from improving habitats, modifying fishing practices, and developing new observational

Federal Funding Opportunity Page 6 of 26 tools focused on protected species in the NEUS LME. The CI will focus on the critically endangered North Atlantic Right Whale, Atlantic salmon and protected species in the region.

V. Ecosystem Based Fisheries Management – The CI is expected to focus on the scientific enterprise in support of Ecosystem Based Fisheries Management. Species, habitat, climate, and human interactions are all parts of the EBFM framework. The Institute’s work is expected to include promoting sustainable coastal development, facilitating community resiliency, and enabling an ecosystem approach to management in the NEUS LME and across the North Atlantic. It is anticipated that the CI will enhance scientific understanding of the interconnections between the marine ecosystem and the adjacent watershed, including their human health, resource stewardship implications, and the effects of climate change.

COOPERATIVE INSTITUTE CAPABILITIES

CI facilities should complement and expand the Institute’s research capacity so as to provide the CI and NOAA with the necessary infrastructure to study global and regional climate/ecosystem connections in the North Atlantic region. The infrastructure should include the following capabilities, facilities and equipment:

- Sampling programs for areas not typically or well sampled by NOAA programs (e.g., estuaries, coastal areas, shelf break, open ocean, and deep oceans)

- Sampling programs for species not typically or well sampled by NOAA programs (e.g., phytoplankton, micro zooplankton, gelatinous zooplankton, pelagic fish and invertebrates, highly migratory species, seabirds)

- Seawater culture facilities to support laboratory research and aquaculture development

- Advanced modeling capabilities including ocean, biogeochemical, climate, ecosystem, population, and economic models

- Advanced technology (e.g., remote sensing, electronic tagging, passive and active acoustics, underwater video, underwater vehicles, molecular biology, genomics, data management)

- Construction and engineering facilities for deep ocean observation platforms

- Collaboration with local and regional fishing communities for cooperative research (e.g., conservation engineering, bycatch reduction, tagging, biological sampling, fishery

Federal Funding Opportunity Page 7 of 26 monitoring, habitat)

- Access to a supercomputer and very large data storage devices for advanced numerical modeling and data assimilation

The CI will provide access to scientifically-equipped coastal and global ocean class research vessels, crews, and support facilities that can be chartered on both routine and project-by-project basis for climate observation operations. The CI will provide access to UNOLS as well as research vessels from cooperating institutions in other countries in order to deliver ship support services most economically in all regions of the global ocean.

The CI should have the capability to develop ocean sensors for physical, chemical and biological monitoring as well as technology for autonomous underwater and airborne observations. Examples of some needed facilities and capabilities are:

- Shore Operations

- Mooring Operations and Field Support Capabilities

- Mooring and Buoys

- Floats

- Sensors and Samplers

- CTD/Calibration Operations

The CI will promote undergraduate, graduate student and postdoctoral support in research projects in ways to train the next generation of scientists and NOAA employees. The CI should provide support for graduate and undergraduate students and post-doctoral scientists that will provide a “hands-on” opportunity for the development of a wide range of expertise.

NOAA can capitalize on this expertise, as CI employees and students will work with NOAA to conduct research that complements NOAA’s mission needs. 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). Applicants should clearly describe how they

Federal Funding Opportunity Page 8 of 26 will recruit and train a more diverse and inclusive workforce.

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

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

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

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

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

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

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

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

The CI should also support NOAA Diversity and Inclusion goals at the undergraduate, graduate, post-doctoral, and faculty levels. To this end, the CI should provide education and training programs at the NEFSC, NOAA Fisheries, and NOAA Research. Additionally, the CI should interact with the Cooperative Sciences Center, in particular the Living Marine Resources Cooperative Sciences Center.

COMPOSITION OF THE INSTITUTE

The proposed CI can be comprised of a single academic institution that offers accredited graduate level degree-granting programs in NOAA-related sciences or a consortium of academic institutions with the aforementioned programs and their supporting research affiliates. Each academic proposing entity must have strong programs in support of at least one of the identified research areas. The CI would be expected to develop and implement mechanisms to facilitate collaborative research, education, and outreach with NOAA (e.g., Federal Funding Opportunity Page 9 of 26 post-doctoral appointments, graduate research assistantships and research appointments).

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

RESEARCH FOCI

The CI will also help NOAA meet a number of critical research objectives identified in the Agency’s 20-year research vision and numerous research plans that have been developed including U.S. Department of Commerce Strategic Plan 2018-2022, NOAA Fisheries Ecosystem-Based Fisheries Management Policy, and NOAA Fisheries Climate Science Strategy. The CI will support NOAA's goal to increase the sustainable economic contributions of our fishery and ocean resources. The CI’s research activities will help NOAA work toward the new paradigm for predicting changes in the global ecosystems, as described in NOAA’s 20-year research vision.

In addition to the blended needs of climate and ecosystem-based management, the CI would strongly support “the goals, objectives, and tactics necessary to recruit a diverse, highly capable workforce, build an inclusive work environment, and ensure continued progress and commitment” as described in NOAA’s Diversity and Inclusion Strategic Plan. To this end, this CI would provide an opportunity to train the next generation of scientists and NOAA employees by giving many students and post-doctoral scientists a ‘hands-on’ opportunity to participate in NOAA research activities. This training is extremely important for NOAA as it works to attract a competent and diverse scientific workforce. The CI would also interact with NOAAs Cooperative Science Centers, primarily the Living Marine Resources Cooperative Science Center.

C. Program Authority

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

II. Award Information

A. Funding Availability

All funding is contingent upon the availability of Federal appropriations. NOAA anticipates that up to approximately $7M-$12M will be available annually for this CI. The actual annual funding that the CI receives may be less than the anticipated amount and will depend on the actual projects that are approved by NOAA after the main CI award begins, the availability of funding, the quality of the research, the satisfactory progress in achieving the stated goals described in project proposals, and continued relevance to program

Federal Funding Opportunity Page 10 of 26 objectives.

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

III. Eligibility Information

A. Eligible Applicants

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

B. Cost Sharing or Matching Requirement

To stress the collaborative nature and investment of a CI by both NOAA and the research institution, cost sharing is required. There is no minimum cost sharing requirement;

however, the amount of cost sharing will be considered when determining the level of the CI’s commitment under NOAA’s standard evaluation criteria for overall qualifications of applicants. Acceptable cost-sharing proposals include, but are not limited to, offering a reduced indirect cost rate against activities in one or more Tasks, waiver of any indirect costs assessed by the awardee on subawards, waiver of indirect costs assessed against base funds and/or Task I activities, waiver or reduction of any costs associated with the use of facilities at the CI, and full or partial salary funding for the CI director, administrative staff, graduate students, visiting scientists, or postdoctoral scientists.

C. Other Criteria that Affect Eligibility

Not applicable

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IV. Application and Submission Information

A. Address to Request Application Package

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

Dr. Candice Jongsma OAR Cooperative Institutes 1315 East West Highway, Room 11350 Silver Spring, MD 20910 Telephone: (301) 734-1177 candice.jongsma@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:

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

http://hr.commerce.gov/s/groups/public/@doc/@os/@ocio/@oitpp/documents/web_assets/pr od01_008655.pdf and

2. NOAA’s Environmental Compliance Questionnaire for Federal Financial Assistance Applicants, which may be found at: http://www.nepa.noaa.gov/questionnaire.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

Federal Funding Opportunity Page 12 of 26 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

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

b. Abstract. An abstract must be included and should contain a brief description of the CI, research themes, and proposed activities. The abstract should appear on a separate page, 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

Federal Funding Opportunity Page 14 of 26 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 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 how the CI will use the Executive Council and Council of Fellows described in the CI Interim Handbook. The Business Plan must describe how the CI chooses projects and reviews its progress, as well as how the CI will support enhanced communication and collaborations with NOAA.

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

Federal Funding Opportunity Page 15 of 26 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 $7M in the first year, with reasonable inflationary escalation in subsequent years. NOAA uses the proposed annual budgets to establish a funding for the entire award. After award selection, annual funding will be provided only after approval by the NOAA Grants Officer of an annual research plan or any other proposal submitted to NOAA that includes a detailed budget. While this level of funding is not guaranteed, this amount will allow for the possibility of funding for projects that were not originally planned for the CI award. Annual and total budgets should be stratified by Task and Institution, particularly if the CI award has proposed a reduced indirect cost rate for certain tasks. A budget justification should include information described in the budget guidelines provided in the Grants.gov application package. NOAA AGO also provides guidance on preparing the budget narrative on its website at http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24- 2017_final.pdf.

f. Vitae. Abbreviated 1-2 page curriculum vitae are sought with each proposal. 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)

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

D. Submission Dates and Times

The deadline for receipt of proposals in Grants.gov or at the NOAA/OAR office is 5:00 p.m., EDT, November 5, 2018. Proposals received after the deadline will not be considered.

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NOAA uses information from Grants.gov to determine whether an application has been submitted before the deadline. If a hard copy proposal is submitted, the original and two unbound copies of the proposal should be included. Paper submissions should be sent to: Dr.

Candice Jongsma 1315 East-West Highway, Room 11350, Silver Spring, Maryland 20910;

telephone (301) 734-1177. Hard copy applications will be date/time stamped as they are physically received in the NOAA/OAR office. (Note that late-arriving hard copy proposals provided to a delivery service on or before 5:00 p.m., E.T., November 5, 2018, 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, “Intergovernmental Review of Federal Programs.”

F. Funding Restrictions

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

G. Other Submission Requirements

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

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V. Application Review Information

A. Evaluation Criteria

Proposals will be evaluated using the standard NOAA evaluation criteria. Various questions under each criterion are provided to ensure that the applicant includes information 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 priorities described in the program priorities (see Section I.B.)?

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

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

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

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

* Does the proposal include a Data Management 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

Federal Funding Opportunity Page 18 of 26 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 proposal?

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

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

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

4. Project costs (5 percent): The budget is evaluated to determine if it is realistic and commensurate with the project needs and 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. All proposals will be evaluated and individually ranked in accordance with the assigned weights of the above-listed evaluation criteria by an independent peer review panel. At least three experts, who may be Federal or non-Federal, will be used in this process. Each expert will submit an individual merit review and there will be no consensus opinion. The merit reviewers’ ratings are used to produce a rank order of the proposals. The Selecting Official selects proposals after considering the peer reviews and selection factors listed below. In making the final selections, the Selecting Official will award in rank order unless the proposal is justified to be selected out of rank order based upon one or more of the selection factors. The Selecting Official makes the final award recommendation to the Grants Officer authorized to obligate funds.

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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.

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

July 1, 2019, should be used as the proposed start date on proposals. The announcement of the award is expected January 2019.

VI. Award Administration Information

A. Award Notices

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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, 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.

B. Administrative and National Policy Requirements

DEPARTMENT OF COMMERCE PRE-AWARD NOTIFICATION

REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS.

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

ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT

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

DOC TERMS AND CONDITIONS.

Successful applicants who accept a NOAA award under this solicitation will be bound by Department of Commerce Financial Assistance Standard Terms and Conditions. This

Federal Funding Opportunity Page 21 of 26 document will be provided in the award package in NOAA’s Grants Online system at http://www.ago.noaa.gov and at http://go.usa.gov/hKbj.

LIMITATION OF LIABILITY.

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

UNPAID OR DELINQUENT TAX LIABILITY.

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

ADMINISTRATIVE ORDER 216-6A for NEPA, http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216- 6A.html, and the Council on Environmental Quality implementation regulations, http://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf. Consequently, as part of an applicant's package, and under its description of its program activities, applicants are required to provide detailed information on the activities to be conducted, locations, sites, species and habitat to be affected, possible construction activities, and any environmental concerns that may exist (e.g., the use and disposal of hazardous or toxic chemicals, introduction of non- indigenous species, impacts to endangered and threatened species, aquaculture projects, and impacts to coral reef systems). In addition to providing specific information that will serve as the basis for any required impact analyses, applicants may also be requested to assist NOAA in drafting an environmental assessment, if NOAA determines an assessment is required. Applicants will also be required to cooperate with NOAA in identifying feasible measures to reduce or avoid any identified adverse environmental impacts of their proposal. Failure to do so shall be grounds for not selecting an application.

In some cases if additional information is required after an application is selected, funds can

Federal Funding Opportunity Page 22 of 26 be withheld by the Grants Officer under a special award condition requiring the recipient to submit additional environmental compliance information sufficient to enable NOAA to make an assessment on any impacts that a project may have on the environment.

REVIEW OF RISK.

After applications are proposed for funding by the Selecting Official, the Grants Office will perform administrative reviews, including an assessment of risk posed by the applicant under 2 C.F.R. 200.205. These may include assessments of the financial stability of an applicant and the quality of the applicant’s management systems, history of performance, and the applicant’s ability to effectively implement statutory, regulatory, or other requirements imposed on non-Federal entities.