NOAA-OAR-OER-2018-2005296 Full Announcement.pdf

Ocean Exploration FY 2018 Funding Opportunity

TABLE OF CONTENTS

I. Funding Opportunity Description 5

A. Program Objective 5 B. Program Priorities 5 C. Program Authority 8

II. Award Information 8 A. Funding Availability 8 B. Project/Award Period 9 C. Type of Funding Instrument 9

III. Eligibility Information 9 A. Eligible Applicants 9 B. Cost Sharing or Matching Requirement 10 C. Other Criteria that Affect Eligibility 10

IV. Application and Submission Information 11 A. Address to Request Application Package 11 B. Content and Form of Application 11 C. Unique Entity Identifier and System for Award Management (SAM) 17 D. Submission Dates and Times 17 E. Intergovernmental Review 18 F. Funding Restrictions 18 G. Other Submission Requirements 18

V. Application Review Information 19 A. Evaluation Criteria 19 B. Review and Selection Process 21 C. Selection Factors 21 D. Anticipated Announcement and Award Dates 22

VI. Award Administration Information 22 A. Award Notices 22 B. Administrative and National Policy Requirements 23 C. Reporting 26

VII. Agency Contacts 28 VIII. Other Information 28

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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: Ocean Exploration FY 2018 Funding Opportunity

Announcement Type: Initial

Funding Opportunity Number: NOAA-OAR-OER-2018-2005296

Catalog of Federal Domestic Assistance (CFDA) Number: 11.011, Ocean Exploration

Dates: A complete, maximum two-page, pre-proposal is a requirement in order to be allowed to submit a full proposal. Pre-proposals must be received by 5:00 pm (EDT) on August 28, 2017.

Full proposal submissions must be received by 5:00 pm (EDT) on December 8, 2017.

Applications received after the above deadlines will not be considered.

Funding Opportunity Description: NOAA’s Office of Ocean Exploration & Research (OER) seeks to enhance ocean exploration and scientific knowledge of the unknown or poorly known areas of the ocean. This entails identifying, describing and creating baseline characterizations of new ocean habitats, marine resources and/or processes.

In this Announcement, OER is seeking proposals focused on three topics including:

1. Exploration of the deep marine environments in the US EEZ and US Outer Continental Shelf (OCS) of the Gulf of Mexico;

2. Discovery and exploration of prehistorically and historically significant submerged marine heritage sites in the Gulf of Mexico within the US EEZ and the US Outer Continental Shelf (OCS); and

3. Novel or innovative technologies and methodologies that could increase the pace and scope of ocean exploration, especially exploration of deep environments including the water column and archaeological sites.

For themes 1 and 2, OER will not entertain proposals outside the US EEZ and the US Outer Continental Shelf (OCS) in the Gulf of Mexico.

Proposals that combine more than one of these exploration topics are encouraged.

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All correspondence regarding this FFO must be sent to the email: oer.ffo2018@noaa.gov

Applicants are required to submit pre-proposals and, ultimately, full proposals that support OER’s exploration mission.

OER’s overarching objective is to investigate and document poorly known and unknown ocean areas through interdisciplinary exploration, and to advance and disseminate knowledge of the ocean’s physical, geological, chemical, biological, and archaeological environments.

OER’s mission is compliant with NOAA’s Next Generation Strategic Plan (http://www.performance.noaa.gov/ngsp/) which outlines NOAA goals of Science, Service and Stewardship.

Findings from projects and expeditions are anticipated to result in new baseline characterizations; provide better scientific understanding of the processes on US continental margins; offer new insights into climate variability and marine ecosystems; reveal new or unconventional energy, mineral, biological, and/or archaeological resources; help identify hazards resulting from extreme events such as submarine volcanic eruptions, earthquakes and tsunamis; and deliver technology advancements (platforms, sensors, methodologies, etc.) that will increase observational capabilities of the ocean.

In FY18, OER anticipates availability of approximately $3,000,000 for this Funding Opportunity (this amount includes of costs for any required ship and/or submersible assets).

Note: Ship time on the NOAA Ship Okeanos Explorer will not be funded through this announcement.

Background information on how to apply and other informational documents are accessible through the OER Office Website:

http://oceanexplorer.noaa.gov/about/what-we-do/funding-opportunities.html.

Eligible applicants are institutions of higher education; non-profit institutions; for-profit organizations; state, local, and tribal governments, as well as U.S. territories that possess the statutory authority to accept funding for this type of work. Federal agencies that possess the statutory authority to accept funding for this type of work may also apply and must agree to take FY2018 funding for proposed projects. Federal and state agencies are strongly encouraged to collaborate with partners from a non-federal/non-state eligible entity.

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For the purpose of this opportunity, the buying of ship time and/or other ocean data collection platform support (remotely operated vehicles, autonomous underwater vehicles, etc.) is considered a rental cost and therefore not included in Modified Total Direct Cost (MTDC).

OER funding will not be provided to hire and/or fund the salaries and associated overhead costs of any permanent federal or state government employee. OER will not pay Facilities and Administrative (F&A or "overhead") fees to federal and state agencies for subawards such as ship time or other ocean data collection platform support. Federal and state award recipients may use funding to cover travel, equipment, supplies, and contractual personnel costs associated with the proposed work.

Foreign researchers may participate by submitting a subaward through collaboration with an eligible U.S. entity.

The DOC and NOAA support cultural and gender diversity and encourage women and minority individuals and groups to submit applications to this Announcement of Federal Funding Opportunity. In addition, DOC/NOAA is strongly committed to broadening the participation of historically black colleges and universities, Hispanic serving institutions, tribal colleges and universities, and institutions that work in underserved areas. DOC/NOAA encourages applications involving any of the above institutions to apply.

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FULL ANNOUNCEMENT TEXT

I. Funding Opportunity Description

A. Program Objective

The world’s deep ocean remains largely unexplored, leaving significant gaps in the basic environmental intelligence needed to manage and protect ocean resources and forecast future environmental changes. OER is dedicated to exploring these unknown and poorly known areas of the ocean, filling those knowledge gaps, and delivering information essential to addressing current and emerging science and management issues by:

1. Sponsoring interdisciplinary baseline characterizations of unknown or poorly known ocean areas, processes, and resources;

2. Advancing undersea technical capabilities through support for design/development, testing and implementation of new or improved deep-sea technologies (e.g., platforms, Sensors etc.) and innovative applications of existing technologies;

3. Fostering partnerships to accomplish NOAA ocean exploration goals;

4. Engaging and educating audiences by sharing information about ocean exploration through innovative means;

5. Adhering to an open-data policy which ensures that all data acquired by the program, once quality controlled, are promptly made available to requestors; and

6. Ensuring that funded projects are compliant with the National Environmental Policy Act (NEPA) and other federal laws for environmental protection (e.g., the Endangered Species Act, Marine Mammal Protection Act, National Marine Sanctuaries Act).

To gain familiarity with past and present OER-funded activities, applicants are encouraged to visit the program’s website http://oceanexplorer.noaa.gov. Background on how to apply and information on how to obtain informational documents are available the OER Office Website:

http://oceanexplorer.noaa.gov/about/what-we-do/funding-opportunities.html.

B. Program Priorities

OER is especially interested in characterization of the deep areas (greater than 200m

Federal Funding Opportunity Page 5 of 33 depth) of poorly known or unknown regions of the US EEZ and US Outer Continental Shelf (OCS) in the Gulf of Mexico.

OER themes for this funding Announcement are:

1. Exploration of the deep marine environments in the US EEZ and US Outer Continental Shelf (OCS) of the Gulf of Mexico

About 175 million years ago, the Gulf of Mexico basin was formed by the initial rifting between Europe and North America and its present features result mostly from sedimentary and intra-basin tectonic processes. This geologic history resulted in the creation of different types of oceanic slope morphologies (e.g., tall cliffs and escarpments, salt diapirs intruding thick sediments, more gently sloping seafloor, etc.)

The Gulf of Mexico (“the Gulf”) is the ninth largest body of water in the world and is essential to the US economy - providing valuable seafood, recreational opportunities, transportation routes and ports, energy resources, and a rich cultural heritage. The five U.S.

states that border the Gulf of Mexico have a gross domestic product of over $2 trillion and much of that economic activity is dependent on, or related to, the Gulf.

While a vast number of research expeditions and industry surveys have focused on the Gulf for more than a century, there remain unexplored or poorly known regions of the seafloor.

In addition, the physical, chemical, and biological (both macro- and microbiological) environments of the water column of the Gulf are virtually unknown. Given the intensive utilization of the Gulf of Mexico’s natural resources, as well as impacts on the Gulf associated with human activities such as shipping and agricultural runoff, interdisciplinary baseline characterizations of the Gulf’s environments and processes are necessary to provide context for both natural and human-induced change.

OER encourages the submission of proposals to explore novel areas or aspects of the deep marine environment from seafloor to sea surface in the US EEZ and within the boundaries of the US Outer Continental Shelf of the Gulf of Mexico. Proposals should target unexplored or poorly known areas that have a high potential for discovery. Areas or features that encompass combinations or a confluence of features, processes and factors (e.g., Florida and Yucatan straits, deep-sea canyons, escarpments, salt domes, etc.) are of particular interest.

Presently, there are many existing and developing scientific efforts focused on the Gulf of Mexico. Proposed projects in response to this FFO must be complementary to these efforts.

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2. Archaeological Exploration of the US EEZ and OCS of the Gulf of Mexico.

Proposed archaeological projects have no depth restriction.

The Gulf of Mexico has a complex cultural past spanning thousands of years of prehistory and over 500 years of western history since the arrival of Europeans. Drawn by the region’s abundant resources, diverse prehistoric cultures occupied the Gulf’s shorelines. Later, European countries added to the cultural diversity vying to extract the region’s rich resources, to establish trade routes, and in the process, fought for hegemony. Today, the archaeological imprint of many diverse cultures, spanning the region through time, extends from the shore to the deep ocean.

Marine archaeology proposals must address discovery and initial characterization of an aspect of the archaeological heritage in the Gulf of Mexico. Proposals must demonstrate strong interdisciplinary exploration incorporating archaeological, environmental, and geomorphological characterization. Activities may include surveying to discover new sites;

identifying submerged, previously sub-aerial paleo-landscapes; and providing initial archaeological and environmental characterization of shipwrecks, aircraft or other types of submerged archaeological sites. Archaeological sites that meet the criteria of eligibility for nomination to the National Register of Historic Places are of particular interest.

Applicants must describe how they will use specific analytical tools such as the maritime cultural landscape approach or other relevant theoretical constructs to provide a framework to interpret past human activities. Applicants are strongly encouraged to use new technologies (e.g., autonomous underwater vehicles, synthetic aperture sonar, etc.) or innovative methods (e.g., for site recording or analysis) that advance the field of underwater archaeology and demonstrate broader applications in ocean exploration.

3. Technology for Ocean Exploration

Proposals that are focused on the application and testing of technologies are not constrained to take place in the US EEZ and US OCS of the Gulf of Mexico.

OER is interested in the application of new or novel use of existing technologies that increase the pace, scope and efficiency of ocean exploration data collection as well as technologies and methods that increase access and use of collected data. The overarching goal of investing in new technology is to improve understanding of the ocean environment by increasing the value of ocean exploration observations and to engage and educate larger audiences through the sharing of ocean exploration information.

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Of particular interest are new and innovative sensors, integrated systems of sensors and other tools and methods to collect data on the ocean's physical, chemical, biological, geological and archaeological domains where existing observations are lacking. Technology-based proposals that reduce or eliminate the need for physical samples and that can integrate into ship-based or other exploration survey platforms (e.g., ROVs, UMS, landers, etc.) are encouraged. OER is interested in sensor and system technologies that collect in situ and time-series data that may lead to discovery of important new attributes of ocean environments including those associated with microbial communities. OER is interested in cost-saving technologies and methods that advance the coverage and resolution of deep-ocean bathymetric mapping and imaging. OER is also interested in technologies and methods that improve data processing, visualization, and data dissemination including video and image processing, and broad-band communications for data and information telemetry.

Ideally, technology proposals that address the OER ocean exploration mission could also be applied to other NOAA high priority mission needs.

Applicants are encouraged to propose multidisciplinary projects that would incorporate more than one of these themes.

C. Program Authority

33 USC 3403(a)

II. Award Information

A. Funding Availability

OER anticipates a total of approximately $3,000,000 will be available through this announcement. Through this solicitation, OER anticipates being able to support approximately 4-10 awards ranging from $10,000 to $750,000 for the entire project. Any proposal that exceeds the latter amount will not be considered. The amount of funding available through this announcement will be subject to the final FY18 appropriation/allocation for the NOAA Office of Ocean Exploration and Research.

Publication of this announcement does not obligate NOAA to fund any specific project or obligate all or any part of available funds. There is no guarantee that sufficient funds will be available to initiate or continue exploration activities where funding has been recommended by OER. The amount of funding that OER may recommend for a grant will be determined in pre-award negotiations between the applicant and OER. The OER Director may defer selected 2018 proposals for consideration for funding in the subsequent, or later, fiscal year(s).

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B. Project/Award Period

OER will accept proposals for projects that are one or two years in length.

The earliest date for receipt of awards will be approximately 120 days after selection of a proposal. Applicants should factor in this time when proposing research activities. Activities contingent upon this funding should not be planned to start before October 1, 2018. Because funds will not be available until late in the fiscal year, FY 2018 funds would likely need to be used for FY 2019 field work.

C. Type of Funding Instrument

Proposals selected for funding will be funded through a grant or cooperative agreement under the terms of this notice. Proposals selected for funding from NOAA scientists will be funded through an intra-agency transfer. Proposals from a non-NOAA federal agency will be funded through an interagency agreement transfer.

For applications funded through cooperative agreements, substantial involvement of the federal government may include, but is not limited to, activities such as specifying direction or redirection of the scope of work due to interrelationships with other projects or stipulating that the recipient must meet or adhere to specific procedural requirements before subsequent stages of a project may continue.

By receiving funding from OER, all applicants agree to certain requirements for sample collection, education and outreach, data management, and website development. To help meet these requirements, one or more NOAA staff or NOAA designee(s) may become members of an at-sea science team serving roles as Expedition Coordinators, Data Managers, or Web Coordinators. For more details please refer to section VIII of this document.

III. Eligibility Information

A. Eligible Applicants

Eligible applicants are institutions of higher education; non-profit institutions; state, local, and tribal governments; for-profit organizations; and U.S. territories that possess the statutory authority to accept funding for this type of work.

Federal agencies that possess the statutory authority to accept funding for this type of work may also apply and must agree to take FY2018 funding for proposed projects.

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Federal and state agencies are strongly encouraged to collaborate with partners from a non-federal eligible entity.

OER funding will not be used to hire and/or fund the salaries and associated overhead of any permanent federal or state employees. Federal and state award recipients may use their funding to cover travel, equipment, supplies, and contractual personnel costs associated with the proposed work.

Foreign researchers may participate by submitting a sub-award through collaboration with an eligible U.S. entity.

The DOC and NOAA support cultural and gender diversity and encourage women and minority individuals and groups to submit applications to this Announcement of Federal Funding Opportunity. In addition, DOC/NOAA is strongly committed to broadening the participation of historically black colleges and universities, Hispanic serving institutions, tribal colleges and universities, and institutions that work in underserved areas. DOC/NOAA encourages applications involving any of the above institutions to apply.

PLEASE NOTE: Before non-NOAA federal applicants may be funded, they must demonstrate that they have legal authority to receive funds from another federal agency in excess of their appropriation.

B. Cost Sharing or Matching Requirement

Cost-sharing, matching funds, in-kind contributions or contribution of no-cost ship time, etc. is not required. However, cost effectiveness may be a Selection Factor as proposals are considered for final selection.

C. Other Criteria that Affect Eligibility

1. Potential Partners

OER encourages partnerships between academia, government agencies, foundations, and private-sector companies. Foreign entities can participate only through collaboration with an eligible US-based entity through a subaward. OER also encourages investigators to seek additional funding for their proposed projects through complementary or linked proposals to other sponsors, both internal and external to NOAA. Partnering is the preferred mode of collaboration between federal agencies and OER.

2. Permits and Approvals

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It is the applicant's responsibility to obtain all necessary international, federal, state, and local government permits and approvals where necessary for the proposed work to be conducted. Applicants are expected to design their proposals so that they minimize potential adverse environmental impacts. If applicable, documentation of requests for or approvals of cultural resource or environmental permits must be included in the proposal package.

Applications will also be reviewed to ensure the National Environmental Policy Act (NEPA) questionnaire (http://www.nepa.noaa.gov/questionnaire.pdf;

http://seagrant.noaa.gov/Portals/0/Documents/funding_fellowship/forms_templates/NEPA/N EPA_questionnaire.pdf) has been completed, i.e., to ensure there is sufficient information about the project to allow OER to analyze the project’s potential environmental impacts, pursuant to NEPA.

Archaeological work requires consultation with the appropriate State Historic Preservation Office and adhering to any regulations or guidelines that may apply. The applicant must have the appropriate permits. Sample collection must not only adhere to Federal and State law, the applicant must make accommodation for conservation and curating as described in the Annex Rules of the UNESCO Convention for the Protection of the Underwater Cultural Heritage.

IV. Application and Submission Information

A. Address to Request Application Package

Information on this federal funding opportunity and a link to the application information form required for pre- and full proposals can be found at:

http://oceanexplorer.noaa.gov/about/what-we-do/funding-opportunities.html

For full proposals, grant application information and forms are available through Grants.gov.

Grants.gov requires applicants to register prior to submitting an application. Applicants must also register with System for Awards Management (SAM) found at https://www.sam.gov.

These registration processes can take several weeks and involve multiple steps. In order to allow sufficient time for these processes, applicants should register as soon as they decide to apply, even if they are not ready to submit their proposal.

B. Content and Form of Application

1. Pre-proposal Contents

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A pre-proposal should be compelling, concise, and clear. It should identify the project’s priorities and objectives and describe how these relate to NOAA’s mission goals and OER's mission, objectives, and priorities (as described in Sections I.A and B above).

Complete, two-page pre-proposals are required for all applications. No more than two pages will be evaluated. Incomplete pre-proposals will not be considered. All information must be included in the designated two pages or on the OER Project Solicitation Cover Sheet. Such information may include: vessels, platforms, or other critical assets required to technically achieve the goals and their costs; auxiliary funding sources for the proposed project; and dates of anticipated field operations and any operational constraints, especially with regard to field operations; anticipated outputs (e.g., potential discoveries, knowledge and impact, published papers, reports, meetings, and/or education and outreach material).

All pre-proposal submissions must:

a. Complete the OER Project Solicitation Cover Sheet that is available through a link at:

http://oceanexplorer.noaa.gov/about/what-we-do/funding-opportunities.html

b. Include a complete pre-proposal itself which is not to exceed two additional single-sided typewritten pages;

c. The pre-proposal must be written on 8.5” x 11”paper, in at least 12-point font, with 1-inch margins;

d. Include the Principal Investigator's last name typed in the bottom right-hand corner of each page. See Section IV.C for submission due dates, IV.F for submission procedures and addresses and V.A.1 for pre-proposal evaluation criteria; and

e. Include all digital files named with the applicant’s name and a descriptor of the file, e.g.

“Jones Cover Sheet 2018”.

Submissions not adhering to these requirements will be rejected upon receipt.

f. Be sure to address the following questions in your pre-proposal (Sections IV. B. 1 and V.

A. 1 describe pre-proposal content and review criteria).

i. How is the proposal relevant to NOAA and OER missions and goals? Describe the project's intrinsic value, how it is exploratory rather than research based, and what is its expected scientific impact?

ii. What is the scientific and technical merit of the proposal? Include plans for

Federal Funding Opportunity Page 12 of 33 information and data sharing. Describe how the project is innovative and interdisciplinary, its exploration value, and the logistical feasible of the project.

iii. What are the qualifications and competence of the applicant(s)? Include past performance on any prior OER award.

iv. Describe and justify project costs and budget. Include the value of non-OER funding and in-kind contributions. Provide a simple budget summarizing the major categories of effort (including costs associated with analysis, publication of the results, and archiving of data).

v. If a ship (or other seagoing asset) is required, the applicant must state that he/she has assured that the ship (or other asset) is available when needed and that the host institution would, if provided with the funding, have the administrative means to arrange and pay for it.

Pre-proposals submitted after the due date will not be evaluated.

2. Full Proposal Content

Successful full proposals will demonstrate relevance to NOAA’s and OER’s mission goals and priorities (as described in Sections I.A & I.B). Successful proposals are typically undertaken by a multi-partner group and are characterized by an interdisciplinary and innovative exploration approach; they frequently are leveraging other programs/organizations with compatible objectives and investment strategies (e.g., Schmidt Ocean Institute, National Science Foundation, etc.); they employ advanced technology platform and sensor technologies to further explore and characterize the three priority themes; they produce information that will be valuable to state and federal marine resource managers; they give consideration to environmental impacts in the project planning and represent the applicants’ ability to acquire all necessary permits; and they explain the applicants’ plan for making data and results publicly available to advance scientific knowledge, outreach, education, and inform environmental management decisions.

Proposers must number each page and label it with the Principal Investigator's last name in the bottom right-hand corner. All digital files should be named with the applicant’s last name and a descriptor indicating the file content, e.g. “Jones executive summary 2018”.

All full proposal text should be written on 8.5” x 11” paper, in at least 12-point font, with 1-inch margins. See Section IV.C for submission due date and IV.F for submission procedures and addresses.

Failure to comply with these requirements will result in the application not being reviewed.

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Proposals submitted after the due date will not be considered.

No appendices are permitted.

Full proposals must include the content described below in the order listed, unless otherwise indicated.

All full proposals must include:

a. Complete the OER Project Solicitation Cover Sheet that is available in an appendix to this announcement and through a link at:

http://oceanexplorer.noaa.gov/about/what-we-do/funding-opportunities.html

b. Maximum One-Page Executive Summary: Describe the essential elements of the project being proposed. Include: 1) Title, 2) List of names, contact details, and affiliations of each investigator who will significantly contribute to the project, 3) A concise statement of the compelling objectives and benefits of the project and the rationale for the work proposed, and 4) Funding request for each year of the project and the total funding requested.

c. Project Description: The project description is not to exceed 15 pages, including all text and any tables and visual materials (e.g., charts, graphs, maps, photographs). This is a firm requirement. Any project description pages beyond the 15-page limit will be deleted and not reviewed.

The 15-page limit does not include: the Executive Summary, Budget Justification and Tables, Data Information and Sharing Plan (see VIII.C.), Literature Citation, Current and Pending Support, Curriculum Vitae, Letters of Commitment, and Required Forms (e.g., NEPA).

Contents of the Project Description:

i. Description of the project’s scientific, technical, historical, cultural, or socioeconomic importance and merit. Might it potentially challenge existing paradigms or lead to the formulation of new paradigms?

ii. Description of the project’s goals and objectives and the proposed methodology.

iii. Provision of brief descriptions of the contributions of participating personnel.

iv. Description of any complementary funding.

v. Clarification of date of field operations and any operational constraints.

vi. If a ship (or other seagoing asset) is required, the applicant must state that he/she has assured that the ship (or other asset), is available when needed and that the host institution would, if provided with the funding, have the administrative means to arrange and pay for it.

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vii. Anticipated outputs (e.g., potential discoveries, knowledge and impact, published papers, reports, meetings, and/or education and outreach material).

viii. The value to NOAA and the nation and how this project’s anticipated outcomes will benefit our understanding of the ocean, the science community, and society.

ix. State a willingness to participate in OER outreach/education activities.

d. Data/Information Sharing 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.

e. A concise summary of significant results and achievements: This summary should include publications and outputs, and data/information sharing experience from any prior, or ongoing, Ocean Exploration and Research funding.

f. A summary of current funding support: Applicants must provide information on all their current and pending federal support for ongoing projects and proposals, including potential subsequent funding in the case of continuing grants. The proposed project and all other projects or activities using federal assistance or that requires a portion of time of the Principal Investigator or other senior personnel should be included.

The relationship between the proposed project and these other projects should be described, and the number of person-months per year to be devoted to the projects must be clearly stated.

g. Brief résumés for each investigator: A maximum of two pages for each Principal and Co- Principal Investigator(s), including a representative reference list of relevant recent publications.

h. Budget justification and table: These must reflect the guidance provided in the NOAA Grants Management Division’s Budget Narrative Guidance which can be found at:

http://www.ago.noaa.gov/grants/docs/gmd_budget_narrative_guidance_-_05-24- 2017_final.pdf

(Note the examples provided. This document provides a comprehensive description of what is required for the Budget Justification and how to prepare a document that will facilitate a clear understanding of the funds being requested in support of the project.)

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The budget must include, and justify, sufficient resources to analyze, interpret, publish, and archive data (in accordance with the Data Information and Sharing Plan) and results of the project. Applicants must describe the scope of work and budget for each year of support being sought (not to exceed two years), and a summary budget table for the entire award period.

The summary budget table must reflect the object classes contained in the SF424A form included with the submission. A copy of the institution’s Indirect Cost Rate Agreement used to develop indirect costs in the request is to be included as a separate exhibit. The document must reflect the computations and basis used in the development of costs and justifications for: salary and travel; contracts for analyses or cataloging; publications; rentals; supplies;

equipment; sub-awards to other parties for services; and non-standard items, including ship time and submersible assets being requested from OER for support. The summary budget table must also show how costs for ship time and submersible costs were developed and whether agreement has been reached for their use. Cost sharing or in-kind contributions must be clearly identified.

i. Indirect Cost Rate Memo: A copy of the institution's Indirect Cost Rate Agreement used to develop indirect costs in the request is to be included as a separate exhibit.

j. NEPA statement: Applicants are required to submit answers to [either list the question numbers from the NOAA NEPA questionnaire or state the specific questions.] See Section VI.B., Administrative and National Policy Requirements, below for additional NEPA information.

k. Forms: Applicants must submit a complete NOAA grant application package provided from Grants.gov.

OMB Standard forms:

a. Standard Form 424 - Application for Federal Assistance

b. Standard Form 424A - Budget Information - Non-Construction Programs - When applying for a Multi-Year award (2 to 5 years), the non-federal entity must submit a line item budget (SF-424A) and corresponding budget narrative for each of the funding periods anticipated.

c. Standard Form 424B - Assurances - Non-Construction Programs

d. Standard Form 424C - Budget Information - Construction Programs

e. Standard Form 424D - Assurances - Construction Programs

f. Standard Form LLL - Disclosure of Lobbying Activities

g. Form CD-511 - Certification Regarding Lobbying

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l. A list of suggested reviewers: If the applicant chooses to do so, the application may include a list of suggested reviewers (submit names, e-mail addresses, and phone numbers) of five unconflicted potential peer reviewers. Applicants may also identify individuals recommended for exclusion from the review process (including justification for any such recommendation).

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

1. Unique Entity Identifier

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 of 2006, to the extent applicable, any proposal awarded in response to this announcement will be required to use the Central Contractor Registration and Dun and Bradstreet Universal Numbering System and be subject to reporting requirements, as identified in OMB guidance published at eCFR Title 2, Sub-title A, Chapter 1, Part 25 (2016), http://www.ecfr.gov/cgi-bin/text-idx?SID=0f269ab1512e176127c4c911ccbb8b71&mc=true&node=pt2.1.25&rgn=div5

2. System for Award Management (SAM)

Applicants may have to register or renew their central contractor registration prior to submitting to Grants.gov. Grants.gov will not accept submissions if the applicant has not been authorized or if credentials are incorrect. Authorizations and credential corrections can take several days to establish. Please plan your time accordingly to avoid being disqualified for a late submission. For further information please visit the System for Award Management website: https://www.sam.gov. For questions please visit the Federal Service Desk website: https://www.fsd.gov.

D. Submission Dates and Times

Completed pre-proposals are required and must be received by 5:00 pm (EDT) on August 28, 2017. After 5:00 pm (EDT), an auto-reply message will notify the applicant that their email with pre-proposal material submission is late and will not be considered. A complete pre-proposal is a prerequisite for submission of a full proposal. Applicants will receive an email encouraging or discouraging a full proposal submission by October 18, 2017. If you have not received a reply by October 20, 2017 contact OER at:

oer.ffo2018@noaa.gov or (301) 734-1014 as soon as possible.

Full proposals must be received by 5:00 pm (EST) December 8, 2017. Applications

Federal Funding Opportunity Page 17 of 33 submitted through Grants.gov, will have an associated official date and time of receipt.

Federal applications are submitted by email. The recorded time of federal application submissions will be the time-stamp indicated on the email header.

Pre-proposals and full Proposals received after their respective cutoff dates and times will not be considered.

Please note:

Applicants may have to register or renew their central contractor registration prior to submitting to Grants.gov. Grants.gov will not accept submissions if the applicant has not been authorized or if credentials are incorrect. Authorizations and credential corrections can take several days to establish. Please plan your time accordingly to avoid being disqualified for a late submission. For further information please visit the System for Award Management website: https://www.sam.gov. For questions please visit the Federal Service Desk website: https://www.fsd.gov.

E. Intergovernmental Review

Applications under this office’s announcement are subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” Applicants must contact their State’s Single Point of Contact (SPOC) to find out about and comply with the State’s process under EO 12372. The names and addresses of the SPOCs are listed on the Office of Management and Budget’s website:

http://www.whitehouse.gov/omb/grants/spoc.html.

F. Funding Restrictions

For the purpose of this opportunity, the buying of ship time and/or other ocean data collection platform support (remotely operated vehicles, autonomous underwater vehicles, etc.) is considered a rental cost and therefore not included in Modified Total Direct Cost

(MTDC).

OER funding will not be provided to hire and/or fund the salaries and associated overhead costs of any permanent federal or state government employee. OER will not pay Facilities and Administrative (F&A or "overhead") fees to federal and state agencies for subawards such as ship time or other ocean data collection platform support. Federal and state award recipients may use funding to cover travel, equipment, supplies, and contractual personnel costs associated with the proposed work.

G. Other Submission Requirements

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N/A Address for Submitting Proposals:

Pre-proposal submissions must be submitted by e-mail to: oer.ffo2018@noaa.gov. Please put your last name in the subject heading, along with the words “ocean exploration pre-proposal,” e.g., "Jones ocean exploration pre-proposal." Adobe PDF format is preferred.

Full proposals from non-federal applicants must be submitted through Grants.gov. Federal applicants are ineligible to submit via Grants.gov and must submit their application by email to oer.ffo2018@noaa.gov.

V. Application Review Information

A. Evaluation Criteria

The same criteria will be used to evaluate both the pre- and the full proposals.

1. Pre-Proposal Evaluation Criteria

Pre-proposals will be evaluated by the OER program using the following criteria to either encourage or discourage submission of full proposals:

a. Relevance to NOAA and OER missions and goals

b. Scientific and technical merit

c. Qualifications and competence of the applicants

d. (including past performance on prior OER awards);and

e. Costs for specific items as well as the overall project cost (including value of cost-sharing and/or in-kind contributions).

Given a discourage assessment, the decision of whether or not to submit a full proposal is left to the applicant(s).

2. Full Proposal Evaluation Criteria

Full proposals will be evaluated and rated individually by no fewer than three independent peer reviewers (mail reviews) and/or a peer-review panel with collective expertise in the relevant disciplines. The review will consist of a determination and analysis of strengths, Federal Funding Opportunity Page 19 of 33 weaknesses, deficiencies and risks associated with each proposal. (All peer reviewers are required to sign confidentiality and non-disclosure agreements.)

The following are the criteria and corresponding weight values to be used to evaluate the full proposals:

a. Importance/Relevance and applicability of proposal to NOAA and OER ’s mission and goals (30%): This criterion ascertains whether there is intrinsic value in the proposed work and/or relevance to NOAA, federal, regional, state, or local activities. For the OER program, this includes: 1) Is the proposed germane to NOAA’s mission goals, 2) Is the proposal exploration focused (expanding the breadth of knowledge) versus being research-focused (expanding the depth of knowledge on any particular topic), 3) Could the anticipated results have high downstream impact, and 4) Are the plans for documentation, archival, and sharing of data, multimedia and specimen collections adequately outlined;

b. Scientific and technical merit (35%): 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. For the OER program this includes: 1) Is the proposed approach scientifically and technically sound and/or innovative, including feasibility of high risk advanced technology, 2) Are there clear project goals and objectives, 3) Is the project interdisciplinary, and 4) Are the methods commensurate with the goals and objectives;

c. Overall qualifications of applicants (15%): This criterion asks the reviewers to ascertain whether the applicant(s) possesses the necessary education, experience, training, facilities and administrative resources to accomplish the project. For the OER review process this includes judging: 1) the qualifications of the applicant(s) and 2) the strength, diversity, and depth of any partnership to accomplish the work proposed. If the applicant has previously received OER funding, this criterion also asks the reviewers to assess the applicant’s prior OER award performance (e.g., timely publication of results and sharing of data);

d. Project costs (15%): This criterion ask the reviewers to evaluate the proposal budget to determine if it is realistic and commensurate with the proposed project needs and time-frame. They will also assess the value of additional funding and in-kind contribution.

e. Outreach and Education (5%): 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. For the OER program, this includes the evaluation of the proposal budget to determine if the proposal includes an outreach and education plan that will target future generation of explorers.

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B. Review and Selection Process

Once a full proposal has been received by NOAA, an initial administrative review is conducted to determine compliance with requirements and completeness of the application.

When a proposal is determined to be in compliance and complete, the proposal will be subjected to peer review.

Peer reviewers will rate the individual proposals using the evaluation criteria and percentage weights provided above and will provide summary comments. Both federal and non-federal experts in the field may be used in the peer-review process, which will include external mail reviews and/or a peer-review panel. Peer-review panelists will not be asked to reach consensus on individual proposals.

Based on external mail reviewer scores, summary comments, and, as appropriate, summaries and scores from review panelists, the OER Director, in consultation with OER scientific and technical staff, will make the final decision.

C. Selection Factors

In making final selections, the OER Director will award in rank order unless the proposal is justified to be selected/deselected 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 priorities

e. By project types

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

4. Office priorities and policy factor as described in section I, A, 3., including but not limited to substantial contributions that improve cost efficiency of the proposal, logistical feasibility and scientific discipline areas.

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5. Applicants’ prior award performance, including data/information sharing;

6. Partnerships with/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 Grants Officer.

D. Anticipated Announcement and Award Dates

OER’s intent is to notify all applicants of the results of the peer review of their proposal, as well as OER’s final recommendation to award or decline funding, by email, approximately 180 days after receipt of the full proposal. Progress of the peer-review process as well timing of budget attribution to OER may affect this timeline.

VI. Award Administration Information

A. Award Notices

1. Notification of Acceptance Successful non-federal applicants will receive notification that their proposals have been funded from the NOAA Grants Management Division. This notification is not an authorization to begin performance of the project. The NOAA Grants Officer will provide notice to the applicant that they have received the award.

This official notification of funding, signed by a NOAA Grants Officer, is the authorizing document that allows the project to begin. Notifications will be issued to the Authorizing Official and the Principal Investigator of the project. Unsuccessful applicants will be notified that their application was not selected for recommendation.

Project activities should not be initiated in the expectation of grant funding until a notice of award document is received from the NOAA Grants Management Division. Any spending prior to an official notice of award will be at the risk of the PI.

2. Modification to 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 collaboration duration, and specific NOAA cooperative involvement in the activities of each partnership will be determined in pre-award negotiations between the

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B. Administrative and National Policy Requirements

1. 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.

2. 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.

3. 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.

4. Limitation of Liability.

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

5. Unpaid or Delinquent Tax Liability.

In accordance with Section 523 of Division B and Sections 744 and 745 of Division E of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235) or a future

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