DE-FOA-0003464.000002.pdf

Department of Energy (DOE) Office of Science (SC)

Biological and Environmental Research (BER)

Resilience Centers

Notice of Funding Opportunity (NOFO) Number:

DE-FOA-0003464

NOFO Type: Amendment 000002 CFDA Number: 81.049

Amendment 000002 is issued to change the application deadling, the name of this Opportunity, and refocus the scope of work to be proposed.

Amendment 000001 is issued to remove references to diversity, equity, and inclusion; to remove references to PIER plans; to update regulatory requirements from Title 2 CFR; and to update research, technology, and economic security provisions.

NOFO Issue Date: October 29, 2024 Submission Deadline for Pre-Applications:

December 12, 2024 at 5:00 pm ET A Pre-Application is required.

Pre-Applications must be submitted by an authorized institutional representative.

Pre-Application Response Date: January 3, 2025 at 5:00 pm ET Submission Deadline for Applications: February 27, 2025 at 11:59 pm ET

Table of Contents

I. BASIC INFORMATION

EXECUTIVE SUMMARY

FUNDING DETAILS

KEY FACTS

KEY DATES

AGENCY CONTACT INFORMATION

INFORMATIONAL WEBINAR / OFFICE HOURS ............... ERROR! BOOKMARK NOT

DEFINED.

RECOMMENDATION

II. ELIGIBILITY

A. ELIGIBLE APPLICANTS

B. COST SHARING

C. ELIGIBLE INDIVIDUALS

D. LIMITATIONS ON SUBMISSIONS

III. PROGRAM DESCRIPTION

A. PURPOSE

B. PROGRAM GOALS, OBJECTIVES, AND PRIORITIES

C. AWARD CONTRIBUTION TO GOALS AND OBJECTIVES

D. PERFORMANCE GOALS

E. SUBSTANTIAL INVOLVEMENT

F. PROGRAM UNALLOWABLE COSTS

G. CITATIONS TO STATUTE AND REGULATIONS

H. PROGRAM HISTORY

I. OTHER INFORMATION

IV. APPLICATION CONTENTS AND FORMAT

A. PRELIMINARY SUBMISSIONS

B. APPLICATION

C. COMPONENT PIECES OF THE APPLICATION

D. INFORMATION THAT MUST BE SUBMITTED AFTER APPLICATION BUT

BEFORE AWARD

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. ADDRESS TO REQUEST APPLICATION PACKAGE

B. UNIQUE ENTITY IDENTIFIER (UEI) AND SYSTEM FOR AWARD MANAGEMENT

(SAM.GOV)

C. SUBMISSION INSTRUCTIONS

D. SUBMISSION DATES AND TIMES

VI. APPLICATION REVIEW INFORMATION

A. RESPONSIVENESS REVIEW

B. REVIEW CRITERIA

C. REVIEW AND SELECTION PROCESS

VII. AWARD NOTICES

A. TYPE OF AWARD INSTRUMENT

B. ANTICIPATED TIMELINE FOR NOTICE OF SELECTION FOR AWARD

NEGOTIATION

VIII. POST-AWARD REQUIREMENTS AND ADMINISTRATION

A. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

B. REPORTING

C. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND

PERFORMANCE (DECEMBER 2015)

D. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE

IX. OTHER INFORMATION

A. CHECKLIST FOR AVOIDING COMMON ERRORS

B. HOW-TO GUIDES

C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

D. REFERENCE MATERIAL

I. Basic Information

U.S. Department of Energy (DOE) Office of Science (SC)

Executive Summary

The DOE SC program in Biological and Environmental Research (BER) hereby announces its interest in applications from the scientific community for Resilience Centers (RCs) that will improve the availability and utility of BER research, data, models, and capabilities to address the resiliency of natural and human systems to meteorological and/or environmental pressures, including extreme events, particularly by underrepresented or vulnerable communities. BER’s mission is to support transformative science and scientific user facilities to achieve a predictive understanding of complex biological, Earth, and environmental systems for energy and infrastructure security, independence, and prosperity. BER research further advances the fundamental understanding of dynamic, physical, and biogeochemical processes required to systematically develop Earth system models that integrate across the atmosphere, land masses, oceans, sea ice, subsurface, and human systems. These science-based predictive tools and methods are critically needed to inform policies and plans for strengthening the security and resilience of critical infrastructure and natural resources.

First launched as a program in FY 2023 and continuing into FY 2024, Resilience Centers continue DOE earth and environmental system sciences and research capacity by supporting non-R1 Minority Serving Institutions (MSIs) and non-R1 Emerging Research Institutions (ERIs) to address the needs for regional resilience; including new science to describe how longer term trends of meteorological or hydrological extremes affect impacts and recovery of natural, socioeconomic, and/or built systems. The Resilience Centers also aim to foster capacity at regional and local scales by connecting with affected communities and stakeholders to translate basic research into actionable science to enhance and strengthen resilience, as well as to identify research priorities for future DOE investments. Resilience Centers formed a nucleus for building and empowering a future pool of local talent and expertise, including young scientists, engineers, and technicians, to address local resilience challenges and inform solutions. They also leverage ongoing DOE earth and environmental system sciences and capabilities that exist at currently supported DOE national laboratories and universities and build two-way engagement between DOE funded research and community stakeholders for improved resilience responses.

The resilience centers to be supported under this NOFO will focus on the science of resilience in response to meteorological and/or environmental pressures, including extreme events, that impact natural and/or human systems. In this context, pressures and extremes may occur on time scales of days to multiple years. Discrete, compounding, and/or recurring extremes are considered important to the scope of Resilience Center research as part of this NOFO.

Funding Details Expected total available funding $10,000,000 Expected number of awards 10 to 15 Expected dollar amount of individual awards $100,000 to $1,000,000 (total award)

Expected award project period up to 3 years

Key Facts NOFO Title Resilience Centers NOFO Number DE-FOA-0003464 Announcement Type Amendment 000002 Assistance Listing 81.049 Statutory Authority The programmatic authorizing statute is:

Section 646 of Public Law 95-91, U.S. Department of Energy Organization Act Section 901, et seq. of Public Law 109-58, Energy Policy Act of

Governing Regulations

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, codified at 2 CFR 200 U.S. Department of Energy Financial Assistance Rules, codified at 2

CFR 910

U.S. Department of Energy, Office of Science Financial Assistance Program Rule, codified at 10 CFR 605

Key Dates

Key dates are printed on the cover of this NOFO.

Agency Contact Information

Grants.gov Customer Support

800-518-4726 (toll-free) support@Grants.gov

PAMS

Customer Support

855-818-1846 (toll-free) 301-903-9610 sc.pams-helpdesk@science.doe.gov

Technical/Scientific Program Contact

Daniel Winkler Daniel.Winkler@science.doe.gov

Brian Benscoter Brian.Benscoter@science.doe.gov

Recommendation

SC encourages you to register in all systems as soon as possible. You are also encouraged to submit pre-applications and applications well before the deadline.

mailto:support@grants.gov mailto:sc.pams-helpdesk@science.doe.gov mailto:Daniel.Winkler@science.doe.gov mailto:Brian.Benscoter@science.doe.gov

II. Eligibility

A. Eligible Applicants

To advance programmatic objectives, in accordance with 2 CFR 910.126, Competition, eligibility for award is restricted to domestic applicants except nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, that must be either:

1. Classified as an MSI1 and NOT listed as an R1 Research Institution,2 or

2. An emerging research institution, defined as an institution of higher education with an established undergraduate or graduate program that has less than $50,000,000 in annual Federal research expenditures3 and NOT listed as an R1 Research Institution.2

Using the current data available, a list of eligible institutions is provided at https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations. An institution that meets these criteria either on the date this NOFO is published, or the date pre-applications are due will be eligible.

This program is intended to build research capacity in the science of resilience, leverage ongoing DOE earth and environmental system sciences and capabilities at national laboratories and universities, and build two-way engagement between DOE funded research and community stakeholders.

Federally affiliated4 entities must adhere to the eligibility standards below:

1. DOE/NNSA National Laboratories

DOE/NNSA National Laboratories are not eligible to submit applications under this NOFO but may be proposed as subrecipients under another organization’s application. If recommended for

1 MSI designations are based on the Department of Education 2022 eligibility matrix (https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html).https://www2.ed.gov/about/offices/list/ope/idues/ eligibility.html). Eligible MSIs are listed as Asian American and Native American Pacific Islander Serving Institutions (AANAPISIs), Alaska Native and Native Hawaiian Serving Institutions (AANHs), Hispanic Serving Institutions (HSIs), Native American Serving Non-Tribal Institutions (NASNTI), Predominantly Black Institutions (PBIs), Historically Black Colleges and Universities (HBCUs), and Tribally Controlled Colleges and Universities (TCCUs). For the purposes of this NOFO, institutions marked in the eligibility matrix as either being eligible to receive funding or as receiving funding will be considered an MSI.

2 The Carnegie Classification of Institutions of Higher Education can be found at https://carnegieclassifications.acenet.edu.https://carnegieclassifications.acenet.edu. A list of institutions with very high research activity (R1 institutions) is available at https://carnegieclassifications.acenet.edu/lookup/srp.php?clq=%7B%22basic2005_ids%22%3A%2215%22%7D&st art_page=standard.php&backurl=standard.php&limit=0,50.

3 Emerging research institution was defined in the CHIPS and Science Act of 2022. Federal research expenditures are based on the National Science Foundation’s Higher Education Research and Development Survey: Fiscal Year 2020 (https://ncses.nsf.gov/pubs/nsf22311, Table 21 https://ncses.nsf.gov/pubs/nsf22311/assets/data-tables/tables/nsf22311-tab021.xlsx. The forthcoming Fiscal Year 2021 data will be available at https://www.nsf.gov/statistics/srvyherd/#tabs-2.

4 Institutions that are not DOE/NNSA National Laboratories, a non-DOE/NNSA FFRDC, or another Federal agency are not Federally affiliated, even if they receive Federal funds or perform work under a Federal award or contract.

https://science.osti.gov/grants/Applicant-and-Awardee-Resources/Institution-Designations https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html https://www2.ed.gov/about/offices/list/ope/idues/eligibility.html https://carnegieclassifications.acenet.edu/ https://carnegieclassifications.acenet.edu/ https://carnegieclassifications.acenet.edu/lookup/srp.php?clq=%7B%22basic2005_ids%22%3A%2215%22%7D&start_page=standard.php&backurl=standard.php&limit=0,50 https://carnegieclassifications.acenet.edu/lookup/srp.php?clq=%7B%22basic2005_ids%22%3A%2215%22%7D&start_page=standard.php&backurl=standard.php&limit=0,50 https://ncses.nsf.gov/pubs/nsf22311 https://ncses.nsf.gov/pubs/nsf22311/assets/data-tables/tables/nsf22311-tab021.xlsx https://ncses.nsf.gov/pubs/nsf22311/assets/data-tables/tables/nsf22311-tab021.xlsx https://www.nsf.gov/statistics/srvyherd/#tabs-2 funding as a proposed subrecipient, the value of the proposed subaward will be removed from the prime applicant’s award and will be provided to the laboratory through the DOE Field-Work Proposal System and work will be conducted under the laboratory’s contract with DOE. No administrative provisions of this NOFO will apply to the laboratory or any laboratory subcontractor. Additional instructions for securing authorization from the cognizant Contracting Officer are found in Section IX of this NOFO.

2. Non-DOE/NNSA FFRDCs

Non-DOE/NNSA FFRDCs are not eligible to submit applications under this NOFO but may be proposed as subrecipients under another organization’s application. If recommended for funding as a proposed subrecipient, the value of the proposed subaward may be removed from the prime applicant’s award and may be provided through an interagency agreement to the FFRDC’s sponsoring Federal Agency. Additional instructions for securing authorization from the cognizant Contracting Officer are found in Section IX of this NOFO.

3. Other Federal Agencies

Other Federal Agencies are not eligible to submit applications under this NOFO but may be proposed as subrecipients under another organization’s application. If recommended for funding as a proposed subrecipient, the value of the proposed subaward may be removed from the prime applicant’s award and may be provided through an interagency agreement. Additional instructions for providing statutory authorization are found in Section IX of this NOFO.

Notes for applicants of all types:

• Individual applicants are unlikely to possess the skills, abilities, and resources to successfully accomplish the objectives of this NOFO. Individual applicants are encouraged to address this concern in their applications and to demonstrate how they will accomplish the objectives of this NOFO.

• Non-domestic applicants are advised that successful applications from non-domestic applicants include a detailed demonstration of how the applicant possesses skills, resources, and abilities that do not exist among potential domestic applicants.

This NOFO seeks to support basic research to advance understanding rather than to address commercial opportunities. Applications that propose research related to current commercial activity or current customer needs may be declined without merit review.

Applications that are submitted by applicants that have not submitted a required pre-application or those did and did not receive a decision of ‘Encourage’ will be declined without further review.

B. Cost Sharing

Cost sharing for basic and fundamental research is not required pursuant to an exclusion from the requirements of Section 988 of the Energy Policy Act of 2005.

Cost sharing is not required of DOE/NNSA National Laboratories, other Federal agencies, another Federal agency’s FFRDC, or their subcontractors at any tier. DOE/NNSA National Laboratories, other Federal agencies, and another Federal agency’s FFRDC may impose cost-sharing requirements on their contractors subject to their policies and procedures.

Cost sharing will not be considered as a factor during merit review or award selection.

C. Eligible Individuals

Individuals with the skills, knowledge, and resources necessary to carry out the proposed research as a Principal Investigator (PI) are invited to work with their organizations to develop an application. Individuals from underrepresented groups as well as individuals with disabilities are always encouraged to apply.

SC does not require that individuals be U.S. citizens or permanent residents to be proposed as a PI or in any other role under an award, but all personnel working or proposed to work under an award must have the legal right to perform such work in the jurisdiction where the work will be performed. Individuals at any stage of their career may be proposed as a PI if they have the skills, knowledge, and resources necessary to carry out the proposed research.

D. Limitations on Submissions

Applicant institutions are limited to no more than one pre-application or application for each PI at the applicant institution. Should DOE receive submissions in excess of the applicable limits, DOE reserves the right, in its sole discretion, to request additional or clarifying information to ascertain the institution’s intended submissions. Otherwise, DOE will consider the latest received submissions to be the institution’s intended submissions.

• Pre-applications in excess of the limited number of submissions may be discouraged.

• Applications in excess of the limited number of submissions may be declined without review.

Funds requested by a DOE/NNSA National Laboratory are limited to no more than 10% of the total budget of the multi-institutional team.

LIMITATIONS ON PI

The PI on a pre-application or application may also be listed as a senior or key personnel on an unlimited number of separate submissions.

Individuals in a joint appointment are eligible to be proposed as a PI if work will be performed at the applicant institution and if the PI is a paid employee of the applicant institution. Individuals paid by another institution may not be named as the PI but may be named in other senior/key roles. A paid employee is one that is on the applicant institution’s payroll, receiving wages and benefits in accordance with the applicant institution’s normal wage and benefit practices, and whose position is not governed by any arrangement, agreement, or contract between the applicant institution and another institution.

Individuals receiving any portion of their salary and benefits from a DOE/NNSA National Laboratory may not be named as the PI in an application submitted by an applicant other than a DOE/NNSA National Laboratory, regardless of any arrangement between the employing Laboratory and the applicant institution.

Awards made under this NOFO are intended to support activities at eligible applicant institutions. If the PI of an award made under this NOFO were to accept a position at an institution that is not eligible to receive an award under this NOFO, SC does not intend to deobligate funds from the resulting award to support a new award to the PI’s new institution. SC would be interested in the recipient institution proposing a new PI.

III. Program Description

A. Purpose

The DOE SC program in Biological and Environmental Research (BER) hereby announces its interest in applications from the scientific community for Resilience Centers (RCs) that will improve the availability and utility of BER research, data, models, and capabilities to address the science of resilience of natural and human systems to meteorological and/or environmental pressures, including extreme events, particularly by underrepresented or vulnerable communities.

BER’s mission is to support transformative science and scientific user facilities to achieve a predictive understanding of complex biological, Earth, and environmental systems for energy and infrastructure security, independence, and prosperity. BER research furthermore advances the fundamental understanding of dynamic, physical, and biogeochemical processes required to systematically develop Earth system models that integrate across the atmosphere, land masses, oceans, sea ice, subsurface, and human systems. These science-based predictive tools and methods are critically needed to inform policies and plans for strengthening the security and resilience of critical infrastructure and natural resources.

First launched as a program in FY 2023 and continuing into FY 2024, Resilience Centers focused on longer term trends of meteorological and/or hydrological systems as a driver, to continue DOE earth and environmental system sciences and research capacity by supporting non-R1 Minority Serving Institutions (MSIs) and non-R1 Emerging Research Institutions (ERIs) to address the needs for regional resilience; including new science to describe impacts and recovery in natural, socioeconomic, and/or built systems and their intersections. The Resilience Centers also aimed to foster capacity at regional and local scales by connecting with affected communities and stakeholders to translate basic research into actionable science to enhance regional and community resilience, as well as to identify research priorities for future DOE investments. Resilience Centers formed a nucleus for building and empowering a future pool of local talent and expertise, including young scientists, engineers, and technicians, to address local resilience challenges and inform solutions. They also leveraged ongoing DOE earth and environmental system sciences and capabilities that existed at currently supported DOE national laboratories and universities and built two-way engagement between DOE funded research and community stakeholders for improve resilience responses.

The resilience centers to be supported under this NOFO will focus on the science of resilience in response to meteorological and/or environmental pressures, including extreme events, that impact natural and/or human systems. In this context, pressures and extremes may occur on time scales of days to multiple years. Discrete, compounding, and/or recurring extremes are considered important to the scope of Resilience Center research as part of this NOFO.

SUPPLEMENTARY INFORMATION

Program Objective

Understanding fine-scale, local and community impacts caused by meteorological and environmental pressures, including extreme events, across this nation is a critical gap in Earth system research and analysis. Further, changes within the Earth system on subseasonal to multi-annual scales are known to disproportionately impact people in disadvantaged communities due to increased exposure and vulnerability. BER seeks to establish RCs at non-R1 MSIs and non-R1 emerging research institutions to address critical research questions in support of the needs of stakeholders and communities in the pursuit of resilience solutions. The RCs will facilitate two-way engagement between BER sponsored research and regional communities, enhancing accessibility and translation of DOE research to inform and build resilience. Efforts focused at local levels are expected to identify data sets, technical and process information, tailored models, and community contexts that will aid in the new investigations as well as bring critically needed community and local perspectives more centrally within DOE’s Earth system research planning.

RCs will build upon and enhance the talent and capabilities at local institutions, providing valuable resources to advance Earth system research, identify local resilience challenges, and develop solutions. These Resilience Centers will be expected to have the potential to catalyze additional research activities in Earth system, environmental, and energy sciences, the development of future technological innovations, and new jobs in communities across the country.

Background

In the context of this NOFO, resilience is the ability of a community or region to reach full recovery after being exposed to meteorological and/or environmental stresses and damages, using strategies that adjust a region’s adaptive capacity with minimal impact to natural, socioeconomic, infrastructure, and financial systems. A key component of resilience involves prediction of varying or changing patterns of meteorological and/or environmental extreme events that can serve to induce stress and damages to systems with the use of high-fidelity models. To offset potential stresses and damages in advance of their occurrence, scientists and stakeholders need to choose from a wide range of potential strategies that offer the best possible outcomes. Thus, the challenge of resilience will be to inform the process of choosing appropriate solution pathways that can prepare for such meteorological- and/or environmentally-induced risks. Making effective, science-informed decisions will rely on the accuracy of predictions, evaluation of strategies, and assessing the pace at which resources will be available to communities. Furthermore, improving resilience over the next few years to decades needs to include investigations and predictions that can inform the choice of future technologies, interventions, and/or other approaches that can achieve resilience with minimal cost or disruption. These predictions, for example, may include projecting when, where, and how the increasing pressures caused by storm surge will affect coastal systems, how elevated heat stress will increasingly influence the reliability and security of energy systems, or the frequency and impact of wildfires or hurricanes on ecosystems and communities. Together, these all combine to measure the time-dependent stressors, influences, and adaptive capacities that are exposed to changing patterns of environmental stressors and extremes as well as to assure resilience against such risks.

RCs will provide an embedded, community focused foundation to serve as both a resource and mechanism for advancing Earth and environmental system sciences and promoting local and regional resilience. The RCs will develop a research agenda that aligns with the BER mission, priorities, and foundational capabilities, advancing new fine-scale research while engaging communities and stakeholders in ways that will improve the research and increase its accessibility and utility for subsequent use in community decision-making and action. Such engagements will also provide use-inspired feedback that can help inform future BER research opportunities and directions. The centers will conduct place-based analyses of trends and variabilities of environmental stressors to evaluate the potential societal and/or environmental impacts of current and future risks and the implications of potential future responses. In addition, each center will emphasize a set of local challenges to be addressed through a multidisciplinary effort that leverages DOE resources in modeling, data, observations, and/or analysis. Examples of science challenges that the RCs may address include:

• Developing contextualized, community-based definitions and models of resilience, illuminating the dynamic processes, quantifiable dimensions, and metrics that can be incorporated to measure progress.

• Developing new and insightful prediction tools and exploring their use through stress testing to evaluate adaptation, mitigation, and/or other intervention strategies that can achieve desired levels of resilience over time horizons of interest.

• Building or extending observational capabilities to provide the necessary data for new predictions or improve prediction accuracy in support of resilience strategies.

Importantly, the centers will emphasize science translation, linking resilience science with the local resilience needs to inform decisions dedicated to the design and deployment of solutions through participatory engagement. To ensure that RCs can take advantage of the most up-to-date scientific information to achieve their goals, each center will be required to leverage the scientific products and/or capabilities at the DOE national laboratories, potentially through direct collaborations with BER-supported research at the laboratories, leveraging of research products, or utilizing available instrumentation and resources at the national laboratories and user facilities.

To achieve these goals, RCs may develop investments in research infrastructure needed to advance institutional research capacity. For example, a high-performance computing capability in support of modeling efforts, or new or expanded observation or analytical capabilities for collection of environmental information, are appropriate and within scope of this NOFO.

Other important aspects of the centers are to foster the scientific capabilities and career growth opportunities of next-generation, multidisciplinary scientists and to advance awareness and proficiencies in stakeholder engagement. Education, training, outreach, and public engagement will accelerate the innovations, translations, and subsequent applications of BER-sponsored science, as well as empower the science and stakeholder communities to identify future research and resilience challenges.

BER will prioritize applications from regions, institutions, and investigators not represented in prior awards. RCs may be eligible for future competitive renewal for a new scope of work, building upon the achievements of a RC award (contingent on future available funding and successful competition of the previous award). However, applications in response to this NOFO will only be evaluated based on the three-year performance period of an award detailed in the NOFO (see Section I).

https://science.osti.gov/Funding-Opportunities/Award?query=Climate+Resilience+Centers

Applicants are encouraged to review the merit review criteria, and the program policy factors listed in Section IV of this NOFO before developing their application narrative.

Program Expectations

Applications are expected to identify the community and stakeholders of interest and demonstrate why the applicant institutions are appropriately positioned to achieve the proposed objectives. Applications must identify the risks they will be addressing, provide a research and engagement plan that sufficiently describes how the proposed RCs will engage local and regional communities and stakeholders, and describe how they will collect and act upon input from that engagement in the implementation of their research plan. All RCs must incorporate the use of DOE-supported science and/or capabilities in the RC activities.

Annual Meetings

Successful applicants are required to attend at least one Earth and Environmental Systems Sciences Division (EESSD) programmatic meeting over the course of a RC award. Potential meetings include the annual Urban Integrated Field Laboratory (UIFL) Principal Investigators Meeting; the annual Environmental System Science (ESS) Principal Investigator Meeting; the annual Joint Atmospheric Radiation Measurement (ARM) User Facility/Atmospheric System Research (ASR) Principal Investigators Meeting; or one of various topical Earth and Environmental Systems Modeling (EESM) Principal Investigator Meetings, that include the Earth System Model Development (ESMD) program area, Energy Exascale Earth System Model (E3SM) Principal Investigator (PI) meeting, or the Multisector Dynamics PI meeting. Estimated costs should be based on one four-day meeting in Washington, D.C.

Other Informational Resources—BER and EESSD programmatic webpages

Biological and Environmental Research (BER) https://science.osti.gov/ber

Earth and Environmental Systems Sciences Division (EESSD) https://science.osti.gov/ber/Research/eessd

Atmospheric System Research (ASR) https://science.osti.gov/ber/Research/eessd/Atmos pheric-System-Research-Program

Environmental System Science (ESS) https://science.osti.gov/ber/Research/eessd/ess

Earth and Environmental System Modeling (EESM) https://science.osti.gov/ber/Research/eessd/Earth-and-Environmental-System-Modeling

Multisector Dynamics Community-of- Practice Working Groups https://multisectordynamics.org/working-groups/

Data Management https://science.osti.gov/ber/Research/eessd/Data- Management

Atmospheric Radiation Measurement (ARM) user facility https://science.osti.gov/ber/Research/eessd/ARM- Research-Facility https://www.arm.gov/ https://science.osti.gov/ber https://science.osti.gov/ber/Research/eessd https://science.osti.gov/ber/Research/eessd/Atmospheric-System-Research-Program https://science.osti.gov/ber/Research/eessd/Atmospheric-System-Research-Program https://science.osti.gov/ber/Research/eessd/ess https://science.osti.gov/ber/Research/eessd/Earth-and-Environmental-System-Modeling https://science.osti.gov/ber/Research/eessd/Earth-and-Environmental-System-Modeling https://multisectordynamics.org/working-groups/ https://science.osti.gov/ber/Research/eessd/Data-Management https://science.osti.gov/ber/Research/eessd/Data-Management https://science.osti.gov/ber/Research/eessd/ARM-Research-Facility https://science.osti.gov/ber/Research/eessd/ARM-Research-Facility https://www.arm.gov/

Environmental Molecular Sciences Laboratory (EMSL) https://science.osti.gov/ber/Research/eessd/Envir onmental-Molecular-Sciences-Laboratory https://www.emsl.pnnl.gov/

BER Funding Opportunities https://science.osti.gov/ber/Funding- Opportunities

Environmental System Science Data and Cyberinfrastructure Resource Page https://ess.science.energy.gov/data/

AmeriFlux Network https://ameriflux.lbl.gov/

Multi-Institutional Teams

SUBAWARDS5

Multi-institutional teams must submit one application from a designated lead institution with all other team members proposed as subrecipients.

DOE/National Nuclear Security Administration (NNSA) National Laboratories6, other Federal agencies, and another Federal agency’s FFRDCs7, if participating in a team led by another institution, must be proposed as subrecipients. Note that the value of any such proposed subaward may be removed from any such prime award: DOE may make separate awards to Federally affiliated institutions.

Open Science

SC is dedicated to promoting the values of openness in Federally supported scientific research, including, but not limited to, ensuring that research may be reproduced and that the results of Federally supported research are made available to other researchers. These objectives may be met through any number of mechanisms including, but not limited to, data access plans, data sharing agreements, the use of archives and repositories, and the use of various licensing schemes.

The use of the phrase “open science” does not refer to any particular licensing arrangement but is to be understood as encompassing any arrangement that furthers the objective of openness.

B. Program Goals, Objectives, and Priorities

The Office of Science’s (SC) mission is to deliver scientific discoveries and major scientific tools to transform our understanding of nature and advance the energy, economic, and national security of the United States (U.S.). SC is the Nation’s largest Federal sponsor of basic research in the physical sciences and the lead Federal agency supporting fundamental scientific research

5 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov) 6 The phrase “National Laboratories” is used broadly to encompass DOE/NNSA laboratories and sites capable of performing the work described in this NOFO and capable of receiving funds through the DOE Field Work System.

7 An authoritative list of all Federally Funded Research and Development Centers (FFRDCs) may be found at https://www.nsf.gov/statistics/ffrdclist/ https://science.osti.gov/ber/Research/eessd/Environmental-Molecular-Sciences-Laboratory https://science.osti.gov/ber/Research/eessd/Environmental-Molecular-Sciences-Laboratory https://www.emsl.pnnl.gov/ https://science.osti.gov/ber/Funding-Opportunities https://science.osti.gov/ber/Funding-Opportunities https://ess.science.energy.gov/data/ https://ameriflux.lbl.gov/ https://www.ecfr.gov/ https://www.nsf.gov/statistics/ffrdclist/ for our Nation’s energy future.

SC accomplishes its mission and advances national goals by supporting:

• The frontiers of science—exploring nature’s mysteries from the study of fundamental subatomic particles, atoms, and molecules that are the building blocks of the materials of our universe and everything in it to the DNA, proteins, and cells that are the building blocks of life. Each of the programs in SC supports research probing the most fundamental disciplinary questions.

• The 21st Century tools of science—providing the nation’s researchers with 28 state-of-the-art national scientific user facilities, the most advanced tools of modern science, propelling the U.S. to the forefront of science, technology development, and deployment through innovation.

• Science for energy and the environment―paving the knowledge foundation to spur discoveries and innovations for advancing the Department’s mission in energy and environment. SC supports a wide range of funding modalities from single principal investigators to large team-based activities to engage in fundamental research on energy production, conversion, storage, transmission, and use, and on our understanding of the earth systems.

SC is an established leader of the U.S. scientific discovery and innovation enterprise. Over the decades, SC investments and accomplishments in basic research and enabling research capabilities to have provided the foundations for new technologies, businesses, and industries, making significant contributions to our nation’s economy, national security, and quality of life

C. Award Contribution to Goals and Objectives

Awards resulting from this NOFO are intended to increase our understanding of scientific phenomena.

D. Performance Goals

You will be expected to demonstrate progress toward increasing knowledge in periodic progress reports.

E. Substantial Involvement

Not applicable.

F. Program Unallowable Costs

You must apply the cost principles of 2 CFR 200, as modified by 2 CFR 910 and 10 CFR 605, to your application and any resulting award.

G. Citations to Statute and Regulations

The programmatic authorizing statutes are:

Section 646 of Public Law 95-91, U.S. Department of Energy Organization Act Section 901, et seq. of Public Law 109-58, Energy Policy Act of 2005

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, codified at 2 CFR 200 U.S. Department of Energy Financial Assistance Rules, codified at 2 CFR 910 U.S. Department of Energy, Office of Science Financial Assistance Program Rule, codified at 10

CFR 605

H. Program History

You can learn about SC’s history at https://science.osti.gov/About/History. You can read about our achievements at https://science.osti.gov/Science-Features/Science-Highlights. You can find information about all of our awards at https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExtern al.aspx.

I. Other Information

ANTICIPATED AWARD SIZE

The number of awards and total award size will depend on the availability of appropriated funds.

A multi-institutional team is limited to a request of no less than $100,000 and no more than $1,000,000 total award, distributed over a three-year project period.

PERIOD OF PERFORMANCE

DOE anticipates making awards with a project period of up to three (3) years.

Continuation funding (funding for the second and subsequent budget periods) is contingent on:

(1) availability of funds appropriated by Congress and future year budget authority; (2) progress towards meeting the objectives of the approved application; (3) submission of required reports;

and (4) compliance with the terms and conditions of the award.

AWARD BUDGET PERIODS

SC is committed to distributing workloads (internally and externally) across as much of the calendar as is practical. Accordingly, awards made under this NOFO will generally be made with budget periods that end between December 1 and June 30. New awards may be made with a first budget period of more than 12 months. Renewal awards may be made with first budget periods that may be longer or shorter than 12 months.

Applicants should prepare budgets with 12-month budget periods. Actual start dates and cycle dates will be negotiated if an application is recommended for award. Budget periods will generally not be made for less than 9 months or more than 18 months.

https://science.osti.gov/About/History https://science.osti.gov/Science-Features/Science-Highlights https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExternal.aspx https://pamspublic.science.energy.gov/WebPAMSExternal/interface/awards/AwardSearchExternal.aspx

IV. Application Contents and Format

A. Preliminary Submissions

1. Letter of Intent (LOI)

Not applicable.

2. Pre-application

The pre-application due date is printed on the cover of the NOFO.

ENCOURAGE/DISCOURAGE DATE

The pre-application response date is printed on the cover of the NOFO.

A pre-application is required and must be submitted by the date indicated on the cover of the

NOFO.

Pre-applications will be reviewed for responsiveness of the proposed work to the research topics identified in this NOFO. DOE will send a response by email to each applicant encouraging or discouraging the submission of an application by the date indicated on the cover of the NOFO.

Applicants who have not received a response regarding the status of their pre-application by this date are responsible for contacting the program to confirm this status.

Applications that have not been encouraged by DOE will be declined without merit review.

The pre-application must include, at the top of the first page, the following information:

Title of Pre-application Principal Investigator Name, Job Title

Lead Institution PI Phone Number, PI Email Address

NOFO Number: Include the NOFO Number indicated on the cover of this NOFO Keywords: (up to 5 keywords/phrases regarding the focus of the activity)

The material listed here defines the minimum acceptable information on a title page. Additional information may be provided at the applicant’s discretion.

This information must be followed by a clear and concise description of the objectives and technical approach of the proposed research. The pre-application may not exceed two pages, when printed using standard letter-size (8.5-inch x 11-inch) paper with 1-inch margins (top, bottom, left, and right). The body text font must not be smaller than 11 points. Figures and references, if included, must fit within the two-page limit.

The pre-application must be machine-readable. Do not submit a scanned image of a printed document.

PRE-APPLICATION REVIEW

Program Managers may evaluate all or some portion of pre-applications to determine their competitiveness within a scientific topic.

Any review will be based on the following criteria:

1. Responsiveness to the objectives of the NOFO as stated in Section I.

2. Scientific and technical merits.

3. Appropriateness of the proposed research approaches.

4. Likelihood of scientific impact.

The decision to encourage or discourage the submission of an application may also be influenced by the following factors:

• Relevance of the proposed activity to SC priorities

• Ensuring an appropriate balance of activities within SC programs

• Performance under current awards

• Ensuring a distribution of supported researchers at various career stages

• Increasing participation of institutions historically underrepresented in the SC research portfolio

Any such review will be conducted by no less than three federal program managers chosen for their topical knowledge and diversity of perspective.

Reviews within a topical field will be a comparative review with priority given to scientifically innovative and forward-looking basic research with the highest likelihood of success as an application. The results of the review will be documented.

Applicants with the highest rated pre-applications will be encouraged to submit applications;

others will be discouraged from submitting applications.

Feedback about pre-applications will be provided upon request after award selections have been announced.

SC is committed to ensuring that a sufficient number of applicants will be encouraged to submit applications to foster a competitive merit review of the applications. SC’s intent in discouraging submission of certain applications is to save the time and effort of applicants in preparing and submitting applications with a low likelihood of success.

The PI will be automatically notified when the pre-application is encouraged or discouraged. The DOE SC Portfolio Analysis and Management System (PAMS) will send an email to the PI from PAMS.Autoreply@science.doe.gov, and the status of the pre-application will be updated at the PAMS website https://pamspublic.science.energy.gov/. Notifications are sent as soon as the decisions to encourage or discourage are finalized.

mailto:PAMS.Autoreply@science.doe.gov https://pamspublic.science.energy.gov/

PRE-APPLICATION SUBMISSION

Pre-applications are created in the software system of your choice and must be submitted electronically through the DOE SC Portfolio Analysis and Management System (PAMS) website https://pamspublic.science.energy.gov/. You cannot draft or edit a pre-application in PAMS. Do not submit a pre-application through FedConnect or Grants.gov.

Pre-applications may only be submitted by a user at the PI’s institution with the “Submit to DOE” privilege in PAMS. A PI may draft a pre-application but will only be able to submit the pre-application for institutional countersignature.

Applicants are strongly encouraged to inform their DOE Program Manager if teaming arrangements, proposed personnel, topics, or the anticipated title change between submitting the pre-application and when an application is submitted, to ensure that their application is properly linked to their pre-application and that reviewers are properly assigned to the application.

Detailed instructions about how to submit a pre-application are in Section IX of this NOFO.

B. Application

Applications in response to this NOFO must be submitted through Grants.gov. Detailed instructions for registering in and using Grants.gov are in Section IX of this NOFO.

C. Component Pieces of the Application

LETTERS OF COLLABORATION OR ACCESS

Letters from collaborators or from institutions providing access to data, models, software, equipment and/or facilities may be appended to your Project Narrative and are not considered part of the Project Narrative’s page limit. Please ensure that letters from collaborators or from institutions providing access to data, models, software, equipment and/or facilities only describe the nature of the collaboration or the access to data, models, software, equipment and/or facilities. Letters of recommendation are not allowed in applications under this NOFO.

All letters may be addressed “To Whom It May Concern:”.

Letters of collaboration or access should be placed in Appendix 7 (Other Attachments). Letters of collaboration or access must not be written as recommendation or endorsement letters, which are not allowed. Each letter of collaboration or access may contain two and only two sentences and must use the following format:

Dear <Principal Investigator Name>:

If your application entitled, “<Application Name>,” is selected for funding under the NOFO Name, it is my intent to collaborate in this research by <Complete Sentence With a Very Short Description of What the Collaborator Offers to Do or Provide>.

https://pamspublic.science.energy.gov/ https://www.fedconnect.net/ https://www.grants.gov/

Thank you for the opportunity to participate.

Sincerely, <Collaborator’s Name and Signature Block>

SCIENTIFIC USER FACILITIES

Documentation from any SC scientific user facility (https://science.osti.gov/User-Facilities) may be provided with other letters of collaboration or access in Appendix 7.

1. SF-424 (R&R)

Complete this form first to populate data in other forms. Complete all the required fields in accordance with the pop-up instructions on the form. The list of certifications and assurances referenced in Field 17 is available on the DOE Financial Assistance Forms Page at https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms under Certifications and Assurances8. Applicants are bound by their representations and certifications in SAM.gov.

TYPE OF SUBMISSION (FIELD 1)

Select the checkbox for “Application” for an initial submission. Select the checkbox for “Changed/Corrected Application” if submitting an updated version of an application. Do not submit pre-applications via Grants.gov: Do not select the checkbox for “Pre-application.”

IDENTIFYING NUMBERS (FIELD 4)

For renewals and supplemental funding, enter the DOE award number in Field 4a. Do not enter any other number in Field 4a. Do not enter anything in Field 4b. If submitting an updated version of an application, you may enter the previous Grants.gov Tracking ID in Field 4c, though this is not required.

UEI AND EIN NUMBERS (FIELDS 5 AND 6)

The Uniform Entity Identifier (UEI) and Employer Identification Number (EIN) fields on the SF-424 (R&R) form are used in PAMS to confirm the identity of the individual or organization submitting an application.

• Enter the UEI as a 12-digit alpha-numerical sequence.

• Enter the EIN as a nine-digit number.

• Do not use hyphens or dashes.

• SC does not use the 12-digit EIN format required by some other agencies.

8 No separate form or submission is required for the Certifications and Assurances.

https://science.osti.gov/User-Facilities https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms https://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms

• Applications will not be rejected if an applicant’s system-to-system service uses a 12-digit EIN format or inserts hyphens or dashes in an EIN.

TYPE OF APPLICATION (FIELD 8)

DOE will accept new applications under this NOFO. A new application is one in which DOE support for the proposed research is being requested for the first time.

SC does not make use of the Resubmission or Continuation options.

Please answer “yes” to the question “Is this application being submitted to other agencies?” if substantially similar, identical, or closely related research objectives are being submitted to another Federal agency. Indicate the agency or agencies to which the similar objectives have been submitted.

Do not attach pre-applications to Field 20 of the SF-424(R&R) form or letters of intent to Field 21 of the SF-424(R&R) form.

2. Research and Related Other Project Information

Complete questions in Fields 1 through 6 of the SF-424 Research and Related Other Project Information form.

Note regarding question 4.a. and 4.b.:

If any environmental impact, positive or negative, is anticipated, indicate “yes” in response to question 4.a., “potential impact – positive or negative - on the environment.” Disclosure of the impact should be provided in response to question 4.b. First indicate whether the impact is positive or negative and then identify the area of concern (e.g., air, water, exposure to radiation, impacts to endangered species or historic properties, etc.). Should the applicant have any uncertainty, they should check “yes.”

DOE understands the phrase in Field 4.a., “potential…