Application for certification as a regional information

OMB Control Number:
Expiration Date:

APPLICATION FOR CERTIFICATION AS A REGIONAL INFORMATION COORDINATION ENTITY
1. Type of Application:
New

Renewal

Revision

2. Applicant Information:
Legal Name:
Address:
Street 1:
Street 2:
City:
State:
Zip Code:
3. Name and contact information of person to be contacted on matters involving this
application:
Prefix:
First Name:
Last Name:
Title:
Organizational Affiliation:
Telephone Number:
Fax Number:
Email:

1

OMB Control Number:
Expiration Date:

Directions:
For the purposes of these certification guidelines, when the verb “describe” is used it indicates
that the RICE shall give an account in text that responds to the requirement. This text shall
contain sufficient information to demonstrate how the RICE satisfies the certification
requirement. The RICE may include a link(s) to additional information. When the verb
“document” is used, it indicates that the RICE shall furnish a document(s) that responds to the
requirement. A text statement accompanying the document(s) will normally be necessary to
provide context for the document(s) and to demonstrate how the RICE satisfies the certification
requirement. The RICE may include a link to a document in the accompanying text statement.
Documentation that addresses the certification requirements may include references to existing
RICE documents. All documents and materials may be submitted directly to the U.S. IOOS
Program Office or made accessible for public viewing on the RICE’s website.
§997.21 Organizational Structure
(b) A RICE’s application shall:
1) Describe the RICE’s organizational structure (e.g., 501(c)(3) tax-exempt
organization, establishment via MOU or MOA).
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) Document the RICE’s ability to satisfy applicable legal criteria for accepting and
disbursing funds, and entering into agreements. Sufficient documentation may be
provided in the form of: 1) evidence of a current grant, cooperative agreement, or

2

OMB Control Number:
Expiration Date:

contract in good standing with the Federal government; or 2) evidence of fiscal
agreements, standard operating procedures for financial activities, and proof of an
audit process.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

3) Document the RICE’s measures for addressing issues of accountability and
liability. For this criterion, accountability and liability refer to the RICE’s
governance and management activities. Sufficient documentation may be
provided in the form of 1) ) a conflict of interest policy for the Governing Board
or governing body, which clearly states that a member of the governing board will
declare any conflict of interest he or she may have and will recuse him or herself
from associated funding decisions that may result in the Board member or a direct
family member benefiting financially, and 2) a policy statement in the RICE’s bylaws that addresses liability issues.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

4) Describe the process the RICE uses to set priorities for distributing funds (e.g.,
requirement for Governing Board or governing body approval when responding to
funding opportunities or adjusting to funding level changes in existing
agreements).
Description (approx. 200 words)

3

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

5) Document the by-laws, signed articles of agreement, or any binding agreements
that demonstrate how the RICE establishes and maintains a Governing Board or
governing body. The documentation shall demonstrate:
i. How the composition of the Governing Board or governing body is
selected and how it is representative of regional ocean observing interests.
NOAA defines “representative” in this specific context to include
geographic, sector, expertise, and stakeholder considerations.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

ii. How and with what frequency the RICE solicits and receives advice on
RICE participant diversity, stakeholder coordination, and engagement
strategies, to ensure the provision of data and information that satisfy the
needs of user groups.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

iii. How the RICE collects and assesses user feedback to gauge the
effectiveness of the regional system and subsystems in satisfying user
needs, and how the RICE responds to this user feedback in setting its
priorities. Sufficient documentation may be provided in the form of a
description of the method the RICE uses in its annual planning process to
assess priorities among the identified user needs in the region and to
respond to those user needs.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

4

OMB Control Number:
Expiration Date:

iv. Steps the RICE takes to ensure decisions on priorities and overall regional
system design are transparent and available. At a minimum, RICE
priorities and regional system design decisions shall be made accessible
for public viewing on the RICE’s website.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

§997.22 Membership Policy
The RICE application shall describe:
(a) The process by which individuals or organizations may formally participate in the
governance activities of the RICE;
(b) The rights and responsibilities of this participation;
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(c) The process by which the RICE strives for organizational diversity through intra-regional
geographic representation, and diversity of activities and interests from both public and
private sectors; and
(d) How the RICE allows for participation from adjacent regions or nations.

5

OMB Control Number:
Expiration Date:

Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

§997.23 Strategic Operational Plan
(b) Background and Context
The RICE shall describe:
1) The role of the RICE in furthering the development of the regional component of
the System;
Description (approx. 200 words)

6

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) The process by which the RICE updates the Strategic Operational Plan at least
once every five years and how the RICE seeks inputs from the broader user
community; and
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

3) The RICE’s primary partners and any contributing observing systems. For the
purposes of § 997.23, NOAA defines a primary partner as any organization or
individual that contributes significant staff time, funding or other resources to
project activities. This is not an exhaustive list of all RICE partners but the
primary partners the RICE is working with on a given project.

7

OMB Control Number:
Expiration Date:

Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(c) Goals and Objectives
The RICE shall describe:
1) How the RICE addresses marine operations; coastal hazards; ecosystems,
fisheries and water quality; and climate variability and change; and
Description (approx. 200 words)

8

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) The major objectives that guide the RICE’s priorities for data collection and
management, development of products and services, research and development,
and education and outreach.
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(d) Operational Plan for the Observing System
The RICE’s Strategic Operational Plan shall include or reference an Operational Plan for
the Observing System that:
1) Describes the desired outcomes of the observing system;

9

OMB Control Number:
Expiration Date:

Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) Describes the elements of the operational integrated observing system that will
deliver those outcomes;
Description (approx. 200 words)

10

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

3) Documents to NOAA’s satisfaction that the individual(s) responsible for RICE
operations has the necessary qualifications and possesses relevant professional
education and work experience to deliver observations successfully. At a
minimum the RICE shall:
i. Identify the individual(s) responsible for overall RICE management;
ii. Identify, as applicable, the individual(s) responsible for observations
system management across the region;
iii. Provide the curriculum vitae for each identified individual;
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

iv. Identify the procedures used to evaluate the capability of the individual(s)
identified in subsection 997.23(d)(3) to conduct the assigned duties
responsibly.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

4) Describes how the RICE manages ongoing regional system operations and
maintenance. At a minimum the RICE shall:
i. Describe the RICE’s standard operating procedures for calibrating,
validating, operating, and maintaining equipment owned and/or operated
by the RICE regularly and in accordance with manufacturer guidance or
industry best practice. Equipment is defined in §997.1.

11

OMB Control Number:
Expiration Date:

Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

ii. Describe the RICE’s standard operating procedures for maintaining
equipment inventories, shipping logs and instrument history logs for
equipment owned and/or operated by the RICE.
Description (approx. 200 words)

12

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(e) Development of a Strategy to Sustain and Enhance the System
The RICE shall describe its strategy for balancing changes in regional priorities with the
need to maintain established data sets, the primary value of which may be in their longterm records. At a minimum the description shall:
1) Identify the guiding principles that inform the strategy;
2) Reference and show connections to a long-term (five-to-ten-year) regional Buildout Plan for the full implementation of the regional observing system based on the
RICE’s priorities and identified user needs; and
3) Relate the annual planning process the RICE uses to review its priorities in light
of funding levels and its plans for system enhancement as outlined in the regional
Build-out Plan.
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(f) Data Management and Communications (DMAC) Plan
The RICE’s Strategic Operational Plan shall include or reference a DMAC plan that:

13

OMB Control Number:
Expiration Date:

1) Documents to NOAA’s satisfaction that the individual(s) responsible for
management of data operations for the RICE has the necessary technical skills,
and possesses relevant professional education and work experience to support
DMAC capabilities and functionality for the System. At a minimum the DMAC
Plan shall:
i. Identify the individual(s) responsible for the coordination and
management of observation data across the region; and
ii. Provide the curriculum vitae for the identified individual(s).
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

iii. Identify the procedures used to evaluate the capability of the individual(s)
identified in subsection 997.23(f)(1) to conduct the assigned duties
responsibly
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) Describes how data are ingested, managed and distributed, including a description
of the flow of data through the RICE data assembly center from the source to the
public dissemination/access mechanism. The description shall include any
transformations or modifications of data along the data flow pathway including,
but not limited to, format translations or aggregations of component data streams
into an integrated product.
Description (approx. 200 words)

14

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

3) Describes the data quality control procedures that have been applied to data, not
obtained through a federal data source, that are distributed by the RICE. All data
shall be quality controlled and QARTOD procedures shall be employed for data
with QARTOD manuals. For each data stream, describe the quality control
procedure applied to the data, by the RICE or other named entity, between the
data’s collection and publication by the RICE. The description will also include a
reference to the procedure used.
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

4) Adheres to the NOAA Data Sharing Procedural Directive. 1 The System is an
operational system, therefore the RICE should strive to provide as much data as
possible, in real-time or near real-time, to support the operation of the System.
When data are collected in part or in whole with funds distributed to a RICE
through the U.S. IOOS Program Office, the RICE should strive to make the data
1

NOAA Data Sharing Policy for Grants and Cooperative Agreements Procedural Directive, Version 2.0
https://www.nosc.noaa.gov/EDMC/documents/EDMC_PD-DSPNG_final_v2.pdf

15

OMB Control Number:
Expiration Date:

available as soon as logistically feasible for each data stream. When data are not
collected with funds distributed to a RICE through the U.S. IOOS Program
Office, the data may be made available in accordance with any agreement made
with the data provider.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

5) Describes how the RICE will implement data management protocols promulgated
by the IOOC and the U.S. IOOS Program Office in a reasonable and timely
manner as defined for each protocol.
Description (approx. 200 words)

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

6) Documents the RICE’s data archiving process or describes how the RICE intends
to archive data at a national archive center (e.g., NODC, NGDC, NCDC) in a
manner that follows guidelines outlined by that center. Documentation shall be in
the form of a Submission Agreement, Submission Information Form (SIF) or
other, similar data producer-archive agreement.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

16

OMB Control Number:
Expiration Date:

(g) Budget Plan
The RICE’s Strategic Operational Plan shall include or reference a Budget Plan that:
1) Identifies who supports the RICE financially;
2) Identifies how RICE priorities guide funding decisions; and
3) Assesses funding constraints and the associated risks to the observing System that
the RICE must address for the future.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

§997.24 Gaps Identification
(b) The RICE application shall
1) Document that the RICE’s asset inventory contains up-to-date information. This
could be demonstrated by a database or portal accessible for public viewing and
capable of producing a regional summary of observing capacity;
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

2) Provide a regional Build-out Plan that identifies the regional priorities for
products and services, based on its understanding of regional needs, and a
description of the integrated system (observations, modeling, data management,
product development, outreach, and R&D). The RICE shall review and update
the Build-out Plan at least once every five years; and
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

3) Document the priority regional gaps in observation coverage needs, as determined
by an analysis of the RICE asset inventory and Build-out Plan. The RICE shall
review and update the analysis of priority regional gaps in observation coverage
needs at least once every five years.

17

OMB Control Number:
Expiration Date:

Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

§997.25 Financial Oversight
(b) The RICE’s application shall document compliance with the terms and conditions set
forth in 2 CFR Part 215 – Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit
Organizations, Subpart C – Post Award Requirements. This Subpart prescribes standards
for financial management systems, among others. (Compliance with this criterion can be
demonstrated by referencing any existing grant, cooperative agreement, or contract the
RICE has with NOAA.)
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

(c) The RICE shall document annually the RICE’s operating and maintenance costs for all
observing platforms and sensors, etc., owned and/or operated by the RICE.
Documentation – Please provide a brief contextual statement, with relevant URL, and any details
on how the information can be accessed (document section and/or page number)

______________________________________________________________________________
Signature
Date
*By signing this application, I certify that the statements herein are true, complete and accurate
to the best of my knowledge. I also provide the required assurances and agree to comply with
any resulting terms if I accept certification. I am aware that any false, fictitious, or fraudulent
statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. Code,
Title 218, Section 1001)
Public reporting burden for this collection of information is estimated to average 290 hours per
response, including the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the collection of

18

OMB Control Number:
Expiration Date:

information. Send comments regarding this burden estimate or any other suggestions for
reducing this burden to Dave Easter, NOAA National Ocean Service, 1100 Wayne Avenue,
Suite 1225, Silver Spring, MD 20910.
Notwithstanding any other provisions of the law, no person is required to respond to, nor shall
any person be subjected to a penalty for failure to comply with, a collection of information
subject to the requirements of the Paperwork Reduction Act, unless that collection of
information displays a currently valid OMB Control Number.

19