0648-CMNA Supporting Statement Part B 2021-0412

SUPPORTING STATEMENT

U.S. Department of Commerce

National Oceanic & Atmospheric Administration

A Coastal Management Needs Assessment and Market Analysis for Financing Resilience

OMB Control No. 0648-XXXX

B. Collections of Information Employing Statistical Methods

1. Describe (including a numerical estimate) the potential respondent universe and any sampling or other respondent selection method to be used. Data on the number of entities (e.g., establishments, State and local government units, households, or persons) in the universe covered by the collection and in the corresponding sample are to be provided in tabular form for the universe as a whole and for each of the strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the collection had been conducted previously, include the actual response rate achieved during the last collection.

NOAA provided ERG with a list of potential interviewees and outcomes of prior conversations relevant to this effort. The ERG team reviewed the list provided by NOAA, and categorized interviewees according to sector (federal, state, local, non-profit, financial, consulting, and academic) and region (western, northeast/mid-Atlantic, Gulf/southeast/Caribbean, Great Lakes, Alaska, Hawaii/Pacific Islands, national, and international). ERG identified regions and sectors with limited or no recommended interviewees, with a particular focus on state and local coastal manager representation across all regions. Based on the identified gaps, and additional knowledge of interviewees who could provide valuable contributions to the research, ERG provided additional recommendations.

The interviewee list was compiled with the primary goal of reaching at least four state or local representatives (with an equal balance between the two) from each of seven NOAA regions, or a minimum of 28 interviewees. The list of potential interviewees includes 91 individuals. The following criteria were used to select 51 individuals designated as “high priority” interviewees:

• Regional representation (e.g., desire to interview at least four state or local coastal managers from each of the seven regions)

• Affiliation (municipality, state, or other)

• Expertise and experience (i.e., known successes or challenges funding resilience projects, and/or known expertise in the fields of coastal resilience and/or resilience finance)

• Relationship with NOAA or ERG team that would facilitate scheduling and conducting an interview.

The potential respondent universe is based on the potential interviewees designated as high priority. The full universe of high priority interviewees will be invited to participate in an interview. Table 2 below shows the universe of high priority interviewees (all individuals) broken out according to sector and anticipated participation/response rates. The NOAA and ERG project team have existing professional relationships with the majority of interviewees (high priority or otherwise), through previous related work. Additionally, this research is addressing a knowledge and resource gap that NOAA’s state and local partners have specifically identified. As noted in Supporting Statement Part A, Question 4, NOAA reviewed over 200 resources, including individual reports, papers, and factsheets and resource clearinghouses and identified 120 that were directly relevant to this effort. This research identified numerous challenges that the current body of resources presents to coastal managers, including narrowness of focus and lack of practical frameworks for cross-sector engagement and evaluation of funding and financing options, among other limitations. The research also identified gaps in existing funding and financing programs and mechanisms. NOAA also compiled a list of 70 relevant federal, private, and non-profit funding programs relevant to coastal resilience.

Interview participants will also have an opportunity to identify specific needs and opportunities that this research, or future NOAA work, could directly address. Therefore, NOAA anticipates that interviewees are highly likely to respond to the interview request and participate in an interview.

If adequate representation across sectors cannot be obtained through the high priority interviewee list alone, ERG and NOAA will coordinate to contact additional interviewees from the remaining individuals on the list.

Table 1. Populations and Sample Information

Sector	Number of Interviewees	Anticipated Participation	Anticipated Response Rate
State coastal managers	19	14	74%
Local coastal managers (municipal, county, etc.)	12	9	75%
Non-profit organization	9	6	67%
Academic institution	3	2	67%
Finance industry organization	4	3	75%
Consultant	2	1	50%
Federal government	2	1	50%
Total	51	36	71%

2. Describe the procedures for the collection of information including:

Statistical Method for Stratification and Sample Selection

For the interviews, NOAA is not using statistical methods for collecting this data.

Estimation Procedure and Accuracy

For the interviews, NOAA does not need to extrapolate the results to the population and will therefore not need to estimate population parameters from the collected data.

Unusual Problems Requiring Specialized Sampling Procedures

None are required.

Periodic Data Collection Cycles

This request is for a one-time data collection.

3. Describe methods to maximize response rates and to deal with issues of non-response. The accuracy and reliability of information collected must be shown to be adequate for intended uses. For collections based on sampling, a special justification must be provided for any collection that will not yield "reliable" data that can be generalized to the universe studied.

The ERG team will send out email invitations to participate in an interview. The sender of the email will be determined based on whether ERG or NOAA has an existing relationship with the individual. The ERG team will also send out follow up emails and conduct a follow-up phone call as needed if the interviewee does not respond.

4. Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an effective means of refining collections of information to minimize burden and improve utility. Tests must be approved if they call for answers to identical questions from 10 or more respondents. A proposed test or set of tests may be submitted for approval separately or in combination with the main collection of information.

NOAA consulted with Eastern Research Group, Inc. (ERG) on identification of interviewees and development of the interview guide. ERG has significant experience assessing technical assistance provided by federal agencies through detailed interviews, focus groups, stakeholder engagement, and surveys that focus on customer satisfaction with services. The interviewee identification and interview guide development process was informed through discussions with NOAA staff.

5. Provide the name and telephone number of individuals consulted on statistical aspects of the design and the name of the agency unit, contractor(s), grantee(s), or other person(s) who will actually collect and/or analyze the information for the agency.

NOAA has contracted with Eastern Research Group, Inc (ERG) of Lexington, Massachusetts, to identify interviewees, develop the interview guide and implement the data collection process. ERG’s project manager for this work is Carolyn Gillette (781-674-7304; Carolyn.Gillette@erg.com)