NOAA-OAR-CIPO-2019-2005712 Full Announcement.pdf

Competition for a Cooperative Institute for Ocean Exploration

TABLE OF CONTENTS

I. Funding Opportunity Description 3

A. Program Objective 3 B. Program Priorities 4 C. Program Authority 9

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

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

IV. Application and Submission Information 10 A. Address to Request Application Package 10 B. Content and Form of Application 11 C. Unique Entity Identifier and System for Award Management (SAM) 14 D. Submission Dates and Times 15 E. Intergovernmental Review 15 F. Funding Restrictions 15 G. Other Submission Requirements 15

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

VI. Award Administration Information 18 A. Award Notices 18 B. Administrative and National Policy Requirements 19 C. Reporting 23

VII. Agency Contacts 24 VIII. Other Information 24

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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 Ocean Exploration

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-CIPO-2019-2005712

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

Dates: Applications must be received by OAR no later than October 15, 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, October 15, 2018 will not be reviewed or considered for funding.

Funding Opportunity Description: OAR invites applications for the establishment of a Cooperative Institute (CI) to:

a) discover and initially characterize new marine flora, fauna, and phenomena in support of NOAA and national priorities; (b) advance NOAA and national undersea technology capabilities in partnership with academia, the private sector, and not-for-profit institutions; and (c) enhance the utility of ocean exploration results to stakeholders. This CI will facilitate a long-term collaborative environment between NOAA and the recipient(s) within which broad-based exploration, research, technology development, and education and outreach capabilities that focus on NOAA's priorities for the global ocean living and non-living marine resources can be developed and sustained.

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The purpose of this announcement is to invite the submission of proposals to establish a Cooperative Institute for ocean exploration 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-relevant 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 science, education, training, and outreach aligned with NOAA’s mission; to obtain science and technology capabilities that do not exist internally; and/or to expand science and technology capacity in NOAA-relevant sciences to:

* conduct collaborative, long-term marine exploration 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-relevant research studies; and

* strengthen NOAA-relevant science and technology capabilities at the research institution(s) that complement and contribute to NOAA’s ability to reach its mission goals.

A CI may be comprised of a single academic institution or a consortium of academic

Federal Funding Opportunity Page 3 of 24 institutions and supporting research affiliates, each of which demonstrates outstanding performance within one or more established research programs in NOAA-relevant 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 activities involve on-going direct science and technology collaboration with NOAA scientists. This collaboration typically is fostered by the co-location of Federal and CI employees.

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

B. Program Priorities

Research Themes of Proposed Cooperative Institute for ocean exploration:

The NOAA CI for ocean exploration will conduct exploration of the world’s oceans; identify and test advanced technology; and maximize the value of ocean exploration information.

I. Ocean Exploration: The new CI will work in partnership with NOAA's Office of Ocean Exploration and Research (OER), consistent with its mission to make ocean discoveries of scientific, economic, and cultural value. The new OER CI will:

a. Independently conduct, as well as partner with NOAA to support, at-sea ocean exploration expeditions.

b. Assist with support of NOAA’s at-sea ocean exploration expeditions aboard NOAA owned vessels, UNOLS vessels, or other capably equipped vessels in use by NOAA (e.g., leased or chartered vessels)

c. Foster partnerships for ocean exploration missions with federal, public and private programs and organizations.

II. Ocean Exploration Technology: OER is NOAA’s focal point for the design, development, deployment, testing, evaluation, application, and transition to operational status of new and refined marine technologies (e.g., instrument systems, sensors, and platforms) to advance deep, expeditionary, and interactive marine data collection technology.

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The OER CI will work with OER to identify exploration technology priorities; stimulate and support creative development of new technologies (including high-risk, high-payoff technologies) and/or improvement of existing technologies for in situ work in the world’s oceans; and develop plans to transition technologies to appropriate users. The CI will enhance the existing OER Technology Development Program that includes the Small Business Innovation Research Program, partnerships with NOAA laboratories, science centers, and programs, other Federal agencies, and extramural partnerships (i.e., long-term extramural partnerships, short-term grants and contracts.) The new OER CI will:

a. Identify and integrate emerging in-situ marine exploration data collection technologies, including platforms and sensors, into ocean exploration operations.

b. Support innovation in telepresence and demonstration of new technologies that include sensing, physical sampling, autonomy, augmented reality, high-throughput communications, and long-term deep in-situ observations.

III. Increase the Utility of Ocean Exploration Information: A critical component of OER's mission is to transition new knowledge of the ocean’s physical, geological, chemical, biological, and archaeological environments. In order to increase the richness of content and lessen the interval between collection, availability, and application of data, the new OER CI will employ new techniques for data management, synthesis, visualization, and display that allow NOAA and its stakeholders both to conduct science differently and to share results in terms useful to government, academic, private, and public stakeholders. The 2017 National Ocean Exploration Forum: Ocean Exploration in a Sea of Data identified a number of gaps and recommendations for increasing the value of ocean exploration data. See this link for details: https://oceanexplorer.noaa.gov/national-forum/media/noef-2017-exec-summary-final.pdf

The OER CI will also strengthen ocean stewardship and inform decision making by coastal communities, stakeholders, and users of marine resources by capitalizing on OER's current capabilities (e.g., telepresence or the use of satellite technology to allow scientists, teachers, and students on shore access to data and images from ships at sea in real time, lesson plan development, and the Ocean Explorer website, http://oceanexplorer.noaa.gov/) coupled with capabilities brought in by the participating institutions. These efforts will infuse ocean exploration and research into the daily lives of future scientists, and be responsible for communicating research findings and technological developments to resource managers and key stakeholders. The new OER CI will bring the embedded expertise and collaborative platform that can best, and most efficiently, assist NOAA in meeting information challenges in the following categories:

a. Data:

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- Develop and participate in the development of ocean exploration data products

- Support the development and advancement of ocean exploration data management and dissemination capabilities, including data visualization capabilities

b. Science:

- Identify new research topics and physical, chemical, and biological patterns and processes that are revealed by exploration data

- Foster community engagement in identifying new data needs and pursuing results from exploration data and information

c. Outreach:

- Support and advance NOAA’s ocean exploration related outreach, education, and public engagement

- Communicate the outcomes of exploration discoveries and technical innovations across sectors to facilitate the transition of exploration results to research, application, and management

d. Education:

- Encourage the next generation of ocean explorers, scientists, and engineers

- Educate students about ocean exploration

- Increase opportunities for individuals from under-represented groups, university students, and early career professionals to participate in ocean exploration activities

COOPERATIVE INSTITUTE CAPABILITIES

NOAA requires substantial flexibility from the CI to provide both scientific depth to existing programs and to add new capabilities when NOAA is faced with new drivers and/or mandates. CI facilities should complement and expand the research capacity to provide the CI and NOAA with the necessary infrastructure to explore the global oceans, as described below:

The CI will operate, and/or provide access to, specialized vessels for ocean exploration and research; systems and sensors to conduct exploration activities (e.g., remotely operated vehicles, autonomous underwater vehicles, and other underwater technologies), as well as the personnel with appropriate expertise to conduct the at-sea operations using these technologies.

The CI must have access to the necessary facilities and personnel for undersea technology development and testing. The CI will have the capability to develop and test ocean sensors for physical, chemical, and biological monitoring, as well as for autonomous underwater observations. The CI is encouraged to pursue innovative mechanisms for gaining access to facilities; ownership is not required, and partnerships are encouraged.

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The CI will include (or have access to) expertise in telepresence use and display, as well as marine data management and visualization techniques that support the theme of increased utility of ocean exploration information.

The CI should have resident or affiliated faculty with broad expertise in oceanography, marine biology, deep-sea ecosystems, marine engineering, and undersea technology and tool development. Staff of the CI should have experience in field operations in the global oceans, as well as experience in managing and implementing multi-investigator, large-scale projects involving partners in Federal, state, and local governments; academia; and the private sector.

To conduct ocean exploration, research, and technology development under these research themes, the proposed CI should possess the flexibility needed to work on multi-disciplinary research in collaboration with its primary sponsor, OER. The CI is strongly encouraged to include a range of partners, including but not limited to: other governmental agencies;

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

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 will recruit and train a more diverse and inclusive workforce.

The new CI will also support the goals established by the U.S. Congress (33 USC 3401- 3406) to “conduct interdisciplinary voyages … to explore and survey little known areas of the marine environment, inventory, observe, and assess living and nonliving marine resources, and report such findings.” This mandate includes marine archaeological activities, a deep ocean focus, and enhancing the development of oceanographic technology systems to include underwater platforms, sensors, and autonomous vehicles. In addition, the program is encouraged to “facilitate coordination of data and information management systems, outreach and education programs to improve public understanding of ocean and coastal

Federal Funding Opportunity Page 7 of 24 resources, and development and transfer of technologies to facilitate ocean and undersea research and exploration.”

Additionally, ocean exploration information collected by the CI will support Blue Economy initiatives, when it comes to sustainable exploitation of such things as deep sponge communities - which are essential for the marine natural products industry (expected to be worth $400-500 billion by 2025) – and offshore ocean-based oil, gas, and methane seeps (estimates suggest methane hydrate in the Gulf of Mexico alone has potential to increase U.S. natural gas resources six-fold).

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. The NOAA Diversity and Inclusion goals can be found in the NOAA Diversity and Inclusion Strategic Plan here:

http://www.eeo.noaa.gov/d&i/NOAA%20Diversity%20and%20Inclusion%20Strategic%20P lan.pdf

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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-relevant sciences or a consortium of academic institutions with the aforementioned programs and its supporting research affiliates. Each proposing entity must have strong programs in support of at least one of the identified research areas. The CI would be expected to develop and implement mechanisms to facilitate collaborative research, education, and outreach with NOAA (e.g., post-doctoral appointments, graduate research assistantships and research appointments). The proposed CI should support the long-term goals of NOAA identified in NOAA's Strategic Plan, NOAA's Five-year Research Plan, and NOAA's 20-year Research Vision (all available at www.spo.noaa.gov).

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 approximately $15M-$30M 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 alignment of project progress to the original project proposal's stated goals, and continued relevance to OER program 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 located here: https://nrc.noaa.gov/sites/nrc/Documents/Committees/CI_Handbook.pdf

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 educational curricula. NOAA will issue only one award to the successful institution or, in the event that a consortium of academic institutions and supporting research

Federal Funding Opportunity Page 9 of 24 affiliates submits the successful application, to the lead academic institution of the proposed consortium that applied for the award. This is also 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-relevant sciences.

B. Cost Sharing or Matching Requirement

To stress the collaborative nature inherent in a CI and the investment being made by both NOAA and the applying research institution(s), 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 applicant's commitment under NOAA’s standard evaluation criteria for overall qualifications. Acceptable cost-sharing proposals include, but are not limited to, offering a reduced indirect cost rate against activities in one or more Tasks, waiver of any indirect costs assessed by the awardee on subawards, waiver of indirect costs assessed against base funds and/or Task I activities, waiver or reduction of any costs associated with the use of facilities at the CI, and full or partial salary funding for the CI director, administrative staff, graduate students, visiting scientists, or postdoctoral scientists.

C. Other Criteria that Affect Eligibility

Not applicable

IV. Application and Submission Information

A. Address to Request Application Package

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

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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

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. Minimum font size should be 11 pixels.

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. 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

Federal Funding Opportunity Page 11 of 24 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-relevant 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 described above.

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.

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e. Data Management Plan. 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.

f. Environmental Compliance. As required by the National Environmental Policy Act (NEPA), NOAA must analyze the potential environmental impacts of the proposed activities in applications that request Federal funding and complete a NEPA compliance document. In order to complete the compliance document, NOAA must take into account 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.

CI Applicants are required to submit answers to the following abbreviated set of questions for each project or the holistic set of projects and 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

• Description of 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 more detailed 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.

g. 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

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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 $15M 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/training.html.

h. 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.

i. 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

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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, October 15, 2018. Proposals received after the deadline will not be considered.

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

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., October 15, 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 critical issues identified in NOAA’s Five-Year Research Plan, NOAA’s Strategic Plan, and the priorities described in the program priorities (see Section I.B.)?

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

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

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

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

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

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

Federal Funding Opportunity Page 16 of 24 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 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 relevant sciences that also encourages student participation in NOAA-relevant 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

Federal Funding Opportunity Page 17 of 24 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

Awards may not necessarily be made to the highest scored proposals, based on the merit review ratings. The NOAA 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.

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 in January 2019.

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

Federal Funding Opportunity Page 18 of 24 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 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

Federal Funding Opportunity Page 19 of 24 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. Certifications Regarding Federal Felony and Federal Criminal Tax Convictions, Unpaid Federal Tax Assessments and Delinquent Federal Tax Returns. In accordance with Section 523 of Division B and Sections 744 and 745 of Division E of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) or a future public law, an authorized representative of the selected applicant(s) will be required to provide certain pre-award representations regarding federal felony and federal criminal tax convictions, unpaid federal tax assessments, and delinquent federal tax returns. The form must be completed and submitted with grant applications for:

(a) all for-profit and non-profit organization applicants (Part I, and if required, Part II); and

(b) all non-Federal entity applicants anticipating receipt of $5 million or more in the current Federal Fiscal Year appropriated funding (Part II only). The form can be found at http://www.ago.noaa.gov/grants/forms.html.

NATIONAL ENVIRONMENTAL POLICY ACT (NEPA). NOAA must analyze the potential environmental impacts, as required by the National Environmental Policy Act (NEPA), for applicant projects or proposals which are seeking NOAA federal funding opportunities. Detailed information on NOAA compliance with NEPA can be found at the following NOAA NEPA website: http://www.nepa.noaa.gov/, including NOAA Administrative Order 216-6A for NEPA, http://www.corporateservices.noaa.gov/ames/administrative_orders/chapter_216/216- 6A.html, and the Council on Environmental Quality implementation regulations, http://energy.gov/sites/prod/files/NEPA-40CFR1500_1508.pdf. Consequently, as part of an applicant's package, and under its description of its program activities, applicants are required to provide detailed information on the activities to be conducted, locations, sites, species and habitat to be affected, possible construction activities, and any environmental concerns that may exist (e.g., the use and disposal of hazardous or toxic chemicals, introduction of non- indigenous species, impacts to endangered and threatened species, aquaculture projects, and impacts to coral reef systems). In addition to providing specific information that will serve as the basis for any required impact analyses, applicants may also 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 20 of 24 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. Special conditions that address any risks determined to exist may be applied. Applicants may submit comments to the Federal Awardee Performance and Integrity Information System (FAPIIS) about any information included in the system about their organization for consideration by the awarding agency.

DATA SHARING PLAN.

1. Environmental data and information collected or created under NOAA grants or cooperative agreements must be made discoverable by and accessible to the general public, in a timely fashion (typically within two years), free of charge or at no more than the cost of reproduction, unless an exemption is granted by the NOAA Program.