# Presentation: 048367

## NOAA Cooperative Institutes

- <date/time>

- John Cortinas, Ph.D.
*OAR Cooperative Institute Program, Program Manager*
*NOAA Cooperative Institute Committee, Chairperson*

## Outline

- Goal:  Provide information about NOAA Cooperative Institutes (CIs) and the new CI policy.
- Introduction
- General Information about CIs
- New Policy
- New CI Handbook
- Transition

## Introduction

- CIs represent one type of NOAA research partnerships: multiple long-term, and collaborative research projects with NOAA scientists.
- New NOAA-wide CI policy help ensure that NOAA meets its obligation to support a research portfolio that is excellent and aligned with its mission goals.
- NOAA Science Advisory Board recommended (2004) that NOAA develop a NOAA-wide policy and associated processes to manage CIs.
- NOAA adopted new policy on September 2005.

## NOAA Cooperative Institutes

- <date/time>

- Long-term collaborative research partnerships that conduct research in support of NOAA’s mission.
- Located at universities and non-profit research institutions in 17 states.
- Most CIs are located near NOAA facilities to encourage collaboration.
- Provide NOAA-related graduate degrees.
- Long and successful history: First CI began in 1967.
- NOAA administers CI awards in NOAA Line Offices (LOs).

- (cont.)

- (cont.)

## NOAA Cooperative Institutes

- NOAA Cooperative Institutes

- (cont.)

## NOAA Cooperative Institutes

- Mutual Benefits:
- Access to outstanding research scientists and facilities.
- Funding and research activities support education goals of the CI’s parent research institution(s).
- Long-term commitment of research support.
- Training and Outreach Activities.
- Quick funding mechanism.
- Provides future NOAA scientists.

- (cont.)

## NOAA Cooperative Institutes

- (cont.)

*Typical CI Organization*

## NOAA Cooperative Institutes

- 	CIs foster collaboration among multiple programs and research institutions.

- (cont.)

## Typical Cooperative Institute Activities

- Task I – Support CI administration and other activities that provide overall benefit to the CI (e.g., education, outreach, postdocs, visiting scientists)
- Task II – Research that involves NOAA scientists.
- Task III – Research with minimal NOAA scientist involvement.

## New NOAA Policy on Cooperative Institutes

- NOAA Administrative Order 216-107:  NOAA Policy on Cooperative Institutes (effective 9/2/05).
- NOAA’s CI policy sets forth basic principles to be applied in making decisions regarding NOAA CIs.
- Describes why and how NOAA would establish a CI.
- For NOAA, the purpose of this 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.

- (cont.)

## New NOAA Policy on Cooperative Institutes

- Establishes a CI Committee under the NOAA Research Council (RC) to assist with oversight responsibilities.
- Establishes a CI Handbook (describes all procedures for implementing the CI policy).
- http://www.nrc.noaa.gov/ci

- (cont.)

## NOAA Cooperative Institute Committee

**Mission:** Ensure compliance with the NOAA CI policy described in NAO 216-107.
- Established to provide the RC with support to fulfill its oversight responsibility of the NOAA CI program.
**Membership:** Includes a representative from each LO and the NOAA Acquisition and Grants Office.
- Members and the Committee Chairperson are appointed by the Research Council chairperson.

- (cont.)

## NOAA Cooperative Institute Committee

**Responsibilities**
- Develop and maintain policies and procedures for the NOAA CI Program.
- Serve as the primary NOAA source for information on the NOAA CI program.
- Take action on topics and issues related to the CI program as directed by the RC.

- (cont.)

## Cooperative Institute Handbook

- Documents all procedures associated with NOAA CIs
- Establishment
- Maintenance
- Renewals and Reviews
- Sunsetting
- Early Termination
- Public comment period: 12/2/05 – 1/18/06.

## Establishment

- Request for new CIs is made to the RC by NOAA LOs and Goal Teams after internal evaluation to determine need.
- NOAA Administrator approves establishment of all new CIs prior to competitive announcement.
- NOAA publishes a Federal Funding Opportunity in Grants.gov and the *Federal Register* describing competition for the new CI.
- Proposals are submitted through Grants.gov and are reviewed according to NOAA standard grant procedures.
- Initial cooperative agreement awarded for 5 years.

- (cont.)

## Establishment

- Standard Evaluation Criteria or Selection Factors (see Handbook for complete list):
- Internationally recognized experts with a demonstrated record of outstanding performance to conduct collaborative/interdisciplinary research.
- Demonstrated commitment (resources and facilities) to enhance existing NOAA and university resources.
- Strong education program with established graduate degrees in NOAA-related sciences.
- Well-developed business plan.
- Clearly stated goals to be achieved during award period.
- Cost-sharing (required).

- (cont.)

## Maintenance:  Beyond Establishment

- Handbook describes processes associated with CI award activities, including:
- Submission and review of proposals through Grants.gov
- Use and access to federal and CI facilities and computer systems
- Intellectual property rights
- Annual CI meetings
- Annual performance reporting

## Renewals and Reviews

- Annual review of performance reports.
- One non-competitive renewal up to five additional years is allowed pending the outcome of a peer review in the fourth year of the cooperative agreement.
- Review is conducted under the auspices of the NOAA Science Advisory Board and organized by the CI and the responsible NOAA LO.

- (cont.)

## Renewals and Reviews

- Review outcomes:
- Outstanding - consistently demonstrated superior achievement.  *NOAA will renew up to 5 additional years, pending available funding.*
- Satisfactory - achieved some or all of its goals and demonstrated acceptable performance.  *NOAA may renew less than 5 years at reduced funding.*
- Unsatisfactory - demonstrated failure to achieve some or all of its agreed-upon goals.  *NOAA will not renew award.*

- (cont.)

## Sunsetting

- Sunset - The process by which a CI closes gracefully at the end of an award period.
- Occurs after one renewal if NOAA does not recompete the CI or the CI unsuccessfully competes in the recompetition.
- Occurs if the CI award is terminated early.
- Sunset period is typically one year.
- NOAA will work closely with a CI to minimize the impact on people and research.

## Transition: Implementing the New Policy

- NOAA Transition Plan available at CI website:
**http://www.nrc.noaa.gov/ci**
- Current CIs will be sunsetted according to a staggered schedule through 2010.
- NOAA will determine whether new CIs should be established prior to the end of each current CI award.
- All new CIs will be established according to the procedures in the CI Handbook.

## Final Thoughts

- CIs are valuable resources to NOAA and represent one mechanism to collaborate with the external community.
- NOAA’s CI policy sets forth basic principles to be applied in making decisions regarding NOAA CIs.
- Supports “One NOAA”
- Ensures consistent use of CIs across all NOAA LOs
- Emphasizes competition

## Questions?