NOAA-OAR-CIPO-2022-2007108 NOFO Report_revision 1.pdf

Notice of Federal Funding Page 1 of 29

Proposed Cooperative Institute for Earth System Research and Data Science

TABLE OF CONTENTS

I. Funding Opportunity Description 4

A. Program Objective 4

B. Program Priorities 5

C. Program Authority 11

II. Award Information 11

A. Funding Availability 11

B. Project/Award Period 11

C. Type of Funding Instrument 11

III. Eligibility Information 12

A. Eligible Applicants 12

B. Cost Sharing or Matching Requirement 12

C. Other Criteria that Affect Eligibility 12

IV. Application and Submission Information 12

A. Address to Request Application Package 12

B. Content and Form of Application 13

C. Unique Entity Identifier and System for Award Management (SAM) 16

D. Submission Dates and Times 17

E. Intergovernmental Review 17

F. Funding Restrictions 17

G. Other Submission Requirements 18

V. Application Review Information 18

A. Evaluation Criteria 18

B. Review and Selection Process 20

C. Selection Factors 20

D. Anticipated Announcement and Award Dates 21

VI. Award Administration Information 21

A. Award Notices 21

B. Administrative and National Policy Requirements 22

C. Reporting 27

VII. Agency Contacts 28

VIII. Other Information 28

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NOTICE OF 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: Proposed Cooperative Institute for Earth System Research and Data

Science

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-CIPO-2022-2007108

Federal Assistance Listings Number: 11.432, NOAA Cooperative Institutes

Dates: Applications must be received by OAR no later than 01/24/22, at 5:00 p.m.

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

No facsimile or electronic mail applications will be accepted. Applications submitted after [60 days], 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 Cooperative Institute (CI) to assist NOAA in fulfilling NOAA’s Next Generation Strategic Plan vision of “Healthy ecosystems, communities, and economies that are resilient in the face of change.” The CI’s research will leverage its expertise in climate processing and modeling, atmospheric processes, geophysics, advanced information systems, earth system modeling, and space weather to expand our understanding of the entire earth system. The proposed CI supports NOAA mission science by developing and applying satellite systems, ships, buoys, aircraft, research facilities, high-performance computing, and information management and distribution systems. In addition, the proposed CI will partner with NOAA in the pursuit of innovative research-to-application capabilities that recognize and apply significant new understanding.

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The proposed CI research themes are (1) Future Atmosphere; (2) Climate Science and

Prediction; (3) Earth System Data Science, Stewardship, and Application; (4) Regional Science and Applications; (5) Scientific Outreach, Education and Diversity; (6) Space Weather Science and Prediction; (7) Weather Research and Forecasting; and (8) Ecosystem Science and

Prediction.

The research described herein was carefully defined to complement, rather than duplicate research at other CIs.

The CI may consist of one or more (e.g., a consortium) academic or non-profit, degree-granting institutions that possess an outstanding research program in one or more areas related to

NOAA’s mission. In the case of a consortium applicant, NOAA will issue only one award to the lead academic institution that applied for the award and where the CI will be established and resident. The CI is strongly encouraged to work in conjunction with a range of supporting research affiliates, including, but not limited to other governmental agencies; private industry;

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

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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 Earth System Research and Data Science and to provide details on the application, review, and selection process.

CI Concept/Program Background

A 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 across partners and promote the involvement of students and post- doctoral scientists in

NOAA-funded research. NOAA establishes a new CI competitively when it identifies a need to sponsor a long-term (5-10 years) collaborative partnership with one or more outstanding non-Federal, non-profit research institutions.

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

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

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

support student participation in NOAA-related research studies; and strengthen or expand NOAA-related research capabilities and capacity at the research institution(s) that complements and contributes to NOAA’s ability to reach its mission goals.

A CI may be comprised of a single academic institution or a consortium of academic institutions, at times working in conjunction with supporting research affiliates, each of which demonstrates outstanding performance within one or more established research programs in NOAA-related sciences. CIs conduct research under approved administrative tasks, as described below. These tasks may not be redefined or abbreviated:

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Task I activities are related to the management of the CI, as well as general education and outreach activities. This task also includes support of postdoctoral and visiting scientists conducting activities within the research themes of the CI that are approved by the CI

Director, in consultation with NOAA, and are relevant to NOAA and the CI’s mission goals.

Task II research activities usually involve ongoing 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 Earth System Research and Data

Science:

I. Future Atmosphere

Changes in the composition of Earth's atmosphere are responsible for many current environmental issues, such as global warming, air quality degradation, and stratospheric ozone depletion. Timely and accurate predictions of atmospheric composition are needed to manage current problems and to make policy decisions that will mitigate future problems.

Such predictions can only be gained from understanding the inter-related chemical, dynamical, and physical processes that affect atmospheric composition, and incorporation of that understanding into numerical models of the atmosphere. The CI’s research under this theme will focus on observations and modeling of the atmosphere from the surface through the stratosphere not only to advance understanding of the processes that drive changes in atmospheric composition, but also to improve predictions of the future atmosphere.

Examples include monitoring and understanding changes in climate forcing agents; studies of air quality changes from diverse and changing emission sources (e.g., wildfires and vehicle fleet electrification);, research into how aerosols affect earth's radiation balance

(including potential climate warming mitigation strategies such as marine cloud brightening); and studies to understand how stratospheric chemical composition (e.g., ozone layer) affects global circulation and surface weather. Work under this research theme could include measurements of natural and man-made emission sources; observations of atmospheric gases and particles over short and long timescales; laboratory and field studies of chemical and physical processes that transform atmospheric constituents; studies of transport and mixing processes on local, regional, and global scales; regional and global model development; and application of field observations and laboratory studies to evaluate

Notice of Federal Funding Page 6 of 29 and improve model predictions.

Execution of these research priorities requires innovative observational approaches including in situ sampling platforms (e.g., UxS), remote sensing capabilities (e.g., lidar), and use of current and emerging satellite measurements (e.g., TEMPO). Evaluation and improvement of numerical models take advantage of new techniques, such as artificial intelligence and machine learning. New scientific understanding from this research will be translated into information usable by customers, stakeholders, and policymakers.

II. Climate Science and Prediction

Research under this theme advances understanding of physical processes that produce variability, change, and extreme events in the climate system, including the interactions among the atmosphere, ocean, land surface and cryosphere. The CI enhances understanding of oceanic and atmospheric dynamics, internal feedbacks and teleconnections between the tropics, mid-latitudes, and polar regions which affect short and long-term climate variability, extreme events and change. The CI will provide results from in-depth investigations of climate system variability, trend analysis, extremes and dynamics. CI will use traditional and novel observation techniques, characterization of systematic relationships from observations and process understanding, and advanced modeling techniques. Research analyzing long time series of climate variability, extremes and change from paleoclimate data will offer insights to Earth system dynamics under different boundary conditions and climate forcings.

Climate diagnostics research will develop and provide a suite of analysis, visualization and data products to support NOAA science capabilities and applications. Research will also focus on the effects of climate variability and change on the water cycle and the occurrence of extreme events and their impacts. Research will identify systematic errors in coupled modeling systems, improve the characterization of physical processes in these models, and advance understanding of climate system processes and phenomena. Research on the role of the atmospheric boundary layer will ensure key exchanges across atmosphere-ocean-land-sea ice boundaries are adequately represented in NOAA’s Earth system models. This portfolio of research leverages the array of ground-, air- and ship-based observing systems which NOAA deploys from the equator to the poles, at sea, and on land. An overarching element of this research theme is to accelerate the transition of climate science research advancements to enhance NOAA mission capabilities.

III. Earth System Data Science, Stewardship, and Application

Research under this theme supports properly managed data obtained from NOAA and non-

NOAA observing systems, including geophysical data, coastal bathymetry, tsunami and hazards data, precise geodetic measurements, paleoclimate data, biological data, and world-wide geomagnetic, solar and ionospheric measurements. Future datasets include

Notice of Federal Funding Page 7 of 29 interplanetary measurements from deep-space platforms, total solar irradiance observations from space, and atmospheric/ionospheric profiles derived from the Global

Positioning System (GPS) and other Global Navigation Satellite Systems, extensive ocean and coastal observations. CI research focuses on documenting, displaying, integrating, preserving, archiving, and distributing large amounts of environmental data and utilizing standard formats, documentation, and services, whenever beneficial. Research under this theme will improve understanding of our environment by collecting, organizing, and exploiting datasets collected from our Earth system. Research is needed to improve the quality and utility of these highly-relevant datasets and their derived information. Research should improve existing products, as well as create new higher-level products. In addition, modern data-access systems will be needed that improve the utility and accessibility, respectively, of NOAA’s environmental data. Beneficial research under this theme will involve implementing tools such as AI/ML, migrating existing systems, and developing new systems in Cloud environments.

All environmental data and derived products must be managed in accordance with NOAA

Administrative Order 212-15, “Management of Environmental Data and Information.”

Decisions regarding the acquisition of new datasets that may contribute to NOAA’s overall environmental mission requiring careful consideration using established guidelines (e.g., the

“NOAA Procedure for Scientific Records Appraisal and Archive Approval”). Such decisions rely on the sound judgment of a scientifically-proficient staff familiar with the needs of

NOAA’s operational and research constituents. In summary, the research conducted within this theme will improve NOAA’s understanding of our Earth system by collecting, organizing, and exploiting environmental datasets.

IV. Regional Science and Applications

The impacts of climate variability, extreme events and change are felt strongly at regional scales on land and in the ocean, whether through retreating Arctic sea ice and melting permafrost, heat and cold waves, floods, or persistent droughts. The CI’s research under this theme observes and reports on the impacts by: 1) enhancing measurement, analysis, and providing understanding of physical processes of the coupled atmosphere-ocean-land-ice-snow system that modulate extreme events on regional, national, and global scales, 2) advancing observations, analysis, and providing understanding of local changes in the tropics and polar regions and assessing the role of these regions in the global climate system,

3) advancing observing system science, demonstration, and transition of research advances to operations through regional testbeds that could lead to improved forecasts and warnings of

Notice of Federal Funding Page 8 of 29 extreme precipitation events and flooding, 4) identifying the role of key phenomena and processes in the weather-climate system producing extreme precipitation events, severe and prolonged droughts, and both marine and terrestrial heatwaves, 5) promoting the development of decision support tools for water resource management and validation data for weather and climate models in collaboration with programs such as the National

Integrated Drought Information System (NIDIS), Western Water Assessment (WWA), Hydrometeorology Testbed (HMT), Atmospheric Science for Renewable Energy (ASRE), Arctic Testbed (ATB) and

Hazardous Weather Testbed (HWT), and 6) developing the ability to explain the origins of weather and climate extremes that typically occur at regional scales.

V. Scientific Outreach, Education and Diversity

Scientific outreach, education and diversity efforts by the CI support research to explore and integrate transformative technologies including artificial intelligence and migration to Cloud infrastructure. Research under this theme identifies opportunities for improving environmental literacy and new technologies for learning. Under this theme, the CI develops exhibits featuring display systems showing Earth system science and developing science modules.

To improve diversity, inclusion, and equality within under-represented communities in science, the CI shall establish partnerships with Tribal Colleges, MSIs and NOAA CSCs.

The CI also explores involvement in university education through graduate student fellowship programs, active participation in postdoctoral and visiting scientist programs, and engagement with underrepresented minority K-12 students.

VI. Space Weather Science and Prediction

Research under this theme includes harnessing cutting-edge science and technology to provide actionable space weather information that safeguards society by planning, researching, and developing improvements to space weather prediction.

CI will improve the effectiveness of space weather event notifications through new forecast tools, displays, and data streams. The CI will support a continuous transition of science and technology advances into SWPC’s operations in alignment with NOAA Administrative

Order 216-105B. Research under this theme will streamline processes for rapid prototyping and adopting innovative science and technologies into operations.

CI research in this area serves decision-makers in mitigating the significant societal, economic, national security, and health impacts effects of severe space weather.

CI research on space weather product calibration and validation for both operational and scientifically authoritative data products, product development, archive, Notice of Federal Funding Page 9 of 29 and access could also better inform decision-makers. Research advancements require space weather physical and instrumentation subject matter expertise.

VII. Weather Research and Forecasting

Research under this theme provides improvement on weather research through a focused program of investment in affordable and attainable advances in observational, computing, and modeling capabilities to support substantial improvement in weather forecasting and prediction of high impact weather events as described in the Weather Research and

Forecasting Innovation Act of 2017. The CI will enhance NOAA’s advancements in the integrated components of observing systems, data assimilation, high performance computing, coupled numerical models, model ensembles, and forecast dissemination tools.

This effort would include contributions to NOAA’s Unified Forecast System and the Earth

Prediction Innovation Center (EPIC) described in the National Integrated Drought

Information System Reauthorization Act of 2018. An overarching element of this priority is to accelerate the transition of these advancements into operations and applications.

VIII. Ecosystem Science and Prediction

In the U.S., living marine and terrestrial resources and healthy ecosystems provide societal benefits. The CI’s research under this theme focuses on high-resolution, multi-decadal climate and Earth system model projections for assessing climate impacts, and informing adaptation planning for Large Marine Ecosystem regions, terrestrial ecosystems, and the coastal interface. Research includes predictions and projections of ecologically relevant variables at scales impacting marine and terrestrial ecosystems, and at much finer resolution than those resolved by global climate models (GCMs). Additionally, the CI will research the development of environmental indices that can be used to describe conditions from basin to regional scales and also interannual to interdecadal time frames.

COOPERATIVE INSTITUTE CAPABILITIES

The proposed CI should provide the expertise described above in the Research Themes of

Proposed Cooperative Institute for Earth System Research and Data Science and flexibility needed to work on multidisciplinary research in collaboration primarily with NOAA scientists.

AI/ML expertise will include both the ability to support specific AI/ML research needs, as well as provide broader training and expertise to support workforce adoption of AI/ML technologies. Expertise in Cloud migration and tools is also sought.

The CI must also have the ability to assist NOAA with effectively communicating the results of our research and associated social and economic impacts to decision-makers and the public.

Since it is important to maximize utilization of the research performed and observations, it is essential that the CI maintains a high level of scientific training within its staff and that it maintains a purposeful engagement across all sectors through education training and outreach activities. The CI is expected to fully embrace the principles laid out in NOAA’s Diversity and

Inclusion Strategic Plan (FY 2020-2024) to strengthen diversity and inclusion through the

Notice of Federal Funding Page 10 of 29 three stated goals and eight high-priority objectives, and to implement tactics necessary to recruit a diverse, highly capable workforce, build an inclusive work environment, and ensure continued progress and commitment.

COMPOSITION OF THE INSTITUTE

The CI will promote undergraduate, graduate students, and postdoctoral support in research projects in ways to train the next generation of scientists and engineers, and NOAA employees. The CI should provide support for graduate and undergraduate students and postdoctoral scientists that will provide a “hands-on” opportunity for the development of a wide range of expertise. These can include work-based learning opportunities such as fellowships, internships, and cooperative experiences with NOAA or other sponsors (e.g., Hollings Undergraduate Scholarship, Knauss Sea Grant Fellowship, Margaret A. Davidson

Graduate Fellowship). In addition to science, technology, engineering and mathematics interdisciplinary departmental and student involvement, a CI that can provide opportunities for interaction with social scientists and scholars in the humanities will be highly encouraged.

The Nation’s underrepresented minority students enrolled in undergraduate science, technology, engineering or mathematics (STEM) degree programs and gaining degrees, are an untapped talent pool. NOAA is committed to developing a future workforce that reflects the diversity of the Nation and encourages the CI to work with Minority Serving Institutions

(MSIs) and NOAA Cooperative Science Centers (CSCs). The MSI designation is determined by statute, with the U.S. Department of Education serving as the cognizant Federal education agency. The U.S. Department of Education provides the following MSI definitions:

a part B institution (a historically Black college or university) [§322 of the HEA, 20

U.S.C. §1061(2)];

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

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

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

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

a Predominantly Black Institution [§§318(b) and 371(c)(9) of the HEA; 20 U.S.C. §§

1059e(b)(6) and 1067q(c)(9)];

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

Notice of Federal Funding Page 11 of 29 a Native American-serving nontribal institution [§§319(b) and 371(c)(8) of the HEA; 20

U.S.C. §§1059f(b)(2) and 1067q(c)(8)].

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

RESEARCH FOCI

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

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 $565.8M will be available for this CI. The actual annual funding that the CI receives may be less than the anticipated amount and will depend on the actual projects that are approved by NOAA after the main CI award begins, the availability of funding, the quality of the research, the satisfactory progress in achieving the stated goals described in project proposals, and continued relevance to program objectives.

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

B. Project/Award Period

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

C. Type of Funding Instrument

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

Examples of substantial involvement may include, but are not limited to, proposals for collaboration between NOAA scientists and a CI scientist and/or assistance by NOAA personnel in developing curricula. NOAA will issue only one award to the successful

Notice of Federal Funding Page 12 of 29 institution or to the lead academic institution of a consortium of universities, with supporting research affiliates if applicable, where the Institute will be established and resident.

III. Eligibility Information

A. Eligible Applicants

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

NOAA-related sciences.

B. Cost Sharing or Matching Requirement

Cost sharing or matching is not required. It cannot be used as an evaluation factor during the merit review of applications or proposals but may be considered. Values for non-Federal entity contributions of services and property must be established in accordance with applicable cost principles. Voluntarily committed cost sharing is not considered when determining the level of the CI’s funding ceiling.

Acceptable cost sharing proposals could 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, SF424A, SF-424B, SF-LLL, and the CD-511, is available at http://www.grants.gov. Users of

Grants.gov will be able to download a copy of the application package, complete it offline, and then upload and submit the application via the Grants.gov site. In addition, budget justification and narrative guidance can be found at https://www.noaa.gov/sites/default/files/legacy/document/2019/Jun/gmd_budget_narrative_g http://www.grants.gov/ http://www.noaa.gov/sites/default/files/legacy/document/2019/Jun/gmd_budget_narrative_g

Notice of Federal Funding Page 13 of 29 uidance_-_05-24-2017_final.pdf. If an applicant has problems downloading the application forms from Grants.gov, contact Grants.gov Customer support at 1-800-518-4726 or support@Grants.gov. For applicants without Internet access, an application package may be secured by contacting:

Sandra Byers, Competition Manager

OAR Cooperative Institutes Administration Office 1315 East West Highway, Room 11350

Silver Spring, MD 20910 Telephone: (301) 734-1125 Sandra.byers@noaa.gov

B. Content and Form of Application

Proposals submitted in response to this Announcement must include a Data Management

Plan (up to 2 pages). See Section VI.B., Administrative and National Policy Requirements, below for additional information on what the plan should contain.

As required by the National Environmental Policy Act (NEPA), NOAA must analyze the potential environmental impacts of applications that request Federal funding. In order for

NOAA to complete its analysis, NOAA must address the following questionnaires:

The U.S. Department of Commerce National Environmental Policy Act (NEPA)

Environmental Questionnaire & Checklist, which may be found at:

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

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

Project Title

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

its purpose, objectives, and goals;

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

sampling, collection, or observation protocols and operational procedures;

any proposed mitigation or monitoring measures and protocols;

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

a description (i.e. specifications) of the equipment or structures (e.g. scientific monitoring equipment, deployment platforms, etc.) that would need to be temporarily or permanently placed in the environment. Proposals must adhere to the provisions under “Proposals” and the requirements under “Required Elements” in this section.

mailto:support@Grants.gov mailto:Sandra.byers@noaa.gov http://www.nepa.noaa.gov/docs/NOAA-Grants-Questionnaire-final.pdf

Notice of Federal Funding Page 14 of 29

PROPOSALS

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.

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.

REQUIRED ELEMENTS

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

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

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

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

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

d. Project Description. The information provided in this section will be used to evaluate the proposal according to NOAA’s standard evaluation criteria described in Section V of this document. The project description includes the following sections: The Goals Section should clearly describe the mission and vision of the CI, and what the CI expects to accomplish during the award.

The Research Theme Section includes information that will help NOAA determine the quality of the CI’s capabilities and the expertise at the CI needed to conduct outstanding research in each of the research themes described in Section I.B. This Section also includes

Notice of Federal Funding Page 15 of 29 project descriptions of research projects that could be conducted by the CI under each theme

(or combination of themes), if sufficient funding during the five-year award is provided. The selection of this proposal neither precludes the CI from proposing additional research projects after the award has been made as long as they fit under one of the research themes nor obligates NOAA to fund the projects proposed in this application. Following the selection of the award, the CI will be required to provide a complete proposal and budget for each research project funded under the CI award after consulting with the OAR CI Program

Director and the NOAA program(s) that provide funding for the project. The Education

Section includes information on NOAA-related education programs offered at the CI’s institution(s), including a complete list of terminal degrees in these programs. This section should also describe how the CI will integrate students and post-docs into the research projects at the CI, as well as conduct outreach and education activities in support of the research themes.

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

Executive Board and the Council of Fellows (as well as each governing entity’s roles and responsibilities, consistent with the terms of the Cooperative Institute Interim Handbook

(found at https://ci.noaa.gov/Policies-Guidance)). The Business Plan must describe how the

CI chooses projects and reviews its progress, as well as how the CI will support enhanced communication and collaborations with NOAA. If any CI personnel will work in NOAA-operated facilities, the Business Plan must describe the administrative support structure for such personnel.

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

NOAA’s approval of the annual research plan. Funding for subsequent years of the award will require additional annual research plans.

Notice of Federal Funding Page 16 of 29

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 --

NonConstruction Programs.” These and other forms, including Commerce Department Form

CD-511 “Certification Regarding Lobbying,” and, if applicable, Standard Form SF-LLL

“Disclosure of Lobbying Activities,” are provided in the Grants.gov application package.

Additionally, the CD-512 “Certifications Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying” is required to be submitted with the application package. To do this, download the form from http://ci.noaa.gov/sites/lci/Documents/Forms/funding_forms_CD-512.pdf. Fill out, sign, scan, and attach the form to the application package. The proposal must include total and annual budgets corresponding to the descriptions provided in the project description not to exceed $113M in the first year, with a reasonable inflationary escalation in subsequent years.

NOAA uses the proposed annual budgets to establish funding for the entire award. After award selection, annual funding will be provided only after approval by the NOAA Grants

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

2017_final.pdf.

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

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

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

Each applicant (unless the applicant is an individual or Federal awarding agency that is excepted from those requirements under 2 C.F.R. §25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 C.F.R. §25.110(d)) is required to: (i) Be http://ci.noaa.gov/sites/lci/Documents/Forms/funding_forms_CD-512.pdf http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24-

Notice of Federal Funding Page 17 of 29 registered in SAM before submitting its application; (ii) Provide a valid unique entity identifier in its application; and (iii) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. NOAA may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time NOAA is ready to make a Federal award, NOAA may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

D. Submission Dates and Times

The deadline for receipt of proposals in Grants.gov or at the NOAA/OAR office is no later than 01/24/22], by 5:00 p.m. EDT. Proposals received after the deadline will not be considered. NOAA uses information from Grants.gov to determine whether an application has been submitted before the deadline. If a hard copy proposal is submitted, the original and two unbound copies of the proposal should be included. Paper submissions should be sent to: Sandra Byers 1315 East-West Highway, Room 11340, Silver

Spring, Maryland 20910; telephone (301) 734-1125. Hard copy applications will be date/time stamped as they are physically received in the NOAA/OAR office. (Note that late-arriving hard copy proposals provided to a delivery service on or before [60 days], will be accepted for review if the applicant can document that the proposal was provided to the guaranteed delivery service by the specified closing date and time and if the proposal is received by OAR no later than 5 p.m., two business days following the closing date.) No email or facsimile proposal submissions will be accepted.

E. Intergovernmental Review

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

F. Funding Restrictions

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

Notice of Federal Funding Page 18 of 29 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 writing letters of support for an application or proposal. All applicants are strongly encouraged to submit proposals through the Grants.gov portal. For applicants without Internet access, hard copy proposals will be accepted. The hard copies must be submitted by postal mail, commercial delivery service, or hand-delivery.

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

N/A

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 2005 20-year Research Vision, NOAA’s NextGeneration Strategic

Plan, and the NOAA Research and Development Vision Areas: 2020-2026 and the priorities described in the program priorities (see Section I.B.)?

Is there a demonstrated commitment (in terms of resources and facilities) to enhance existing

NOAA and CI resources to foster a long-term collaborative research environment?

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

Notice of Federal Funding Page 19 of 29 clear project goals and objectives.

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

Does the CI involve partnerships with other universities or research institutions, including

Minority Serving Institutions, and universities, such as NOAA CSCs, that can contribute to the proposed activities of the CI?

Does the proposal include a Data Management 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 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 and to foster a long term collaboration with

NOAA?

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?

Notice of Federal Funding Page 20 of 29

B. Review and Selection Process

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

C. Selection Factors

The merit review ratings shall provide a rank order to the Selecting Official for final funding recommendations. A program officer may first make recommendations to the

Selecting Official applying the selection factors below. The Selecting Official shall award in the rank order unless the proposal is justified to be selected out of rank order based upon one or more of the following factors:

1. Availability of funding.

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

Notice of Federal Funding Page 21 of 29 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

September 1, 2022, should be used as the proposed start date on proposals. The announcement of the award is expected by May 1, 2022.

VI. Award Administration Information

A. Award Notices

1. Successful applicants will receive notification that the application has been recommended for funding to the NOAA Grants Management Division. This notification is not an authorization to begin performance of the project. Official notification of funding, signed by the NOAA Grants Officer, is the authorizing document that allows the project to begin.

Notification will be issued to the Authorizing Official and the Principal…