DE-FOA-0003464 DRE-1-PLT.pdf

DETERMINATION OF RESTRICTED ELIGIBILITY

A. General Information

Title of Project for Which Applicants Will be Solicited

Climate Resilience Centers, DE-FOA-0003464

Summary of the Project

The U.S. Department of Energy (DOE), Office of Science (SC), program in Biological and Environmental Research (BER) announces its interest in applications from the scientific community for Climate Resilience Centers (CRCs) that will improve the availability and utility of BER research, data, models, and capabilities to address climate resiliency, 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.

Sponsoring Program Office U.S. Department of Energy, Office of Science, Biological and Environmental Research

Soliciting/Awarding Office U.S. Department of Energy, Office of Science, Consolidated Service Center, Office of Grants and Cooperative Agreements

Type of Award, Length of Project Period, and Total Estimated Cost The SC anticipates awarding several grants under this Notice of Funding Opportunity (NOFO) for project periods of three years at a total estimated cost of $1,000,000 per award. The total estimated cost of all awards under this NOFO is $10,000,000.

Eligible Recipients 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.

Amount and Availability of Funds Required

The total estimated cost of the solicitation to DOE is $10 million.

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.

B. Background

Understanding fine-scale, local and community impacts of climate change across this nation is a critical gap in climate research and analysis. Further, climate change is known to disproportionately impact people in disadvantaged communities due to increased exposure and vulnerability. BER seeks to establish CRCs 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 equitable climate solutions. The CRCs will facilitate two-way engagement between BER sponsored research and regional communities, enhancing accessibility and translation of DOE research to inform and build climate 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

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 FOA, 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.

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 community and local perspectives more centrally within DOE’s climate research planning. CRCs will build upon and enhance the talent and capabilities at local institutions, providing a valuable resource to advance climate research, identify local resilience challenges, and develop equitable solutions. These Climate Resilience Centers will be expected to have the potential to catalyze additional research activities in climate and energy sciences, the development of future technology innovations, and new jobs in communities across the country.

C. Justification For Determination

As a Justice40 initiative, a goal of the CRC NOFO is to increase participation of underrepresented groups in BER’s research portfolio. SC-BER is fully committed to advancing a diverse, equitable, and inclusive research community which is key to providing the scientific and technical expertise for U.S. scientific leadership. This program is intended to build research capacity in climate resilience, leverage ongoing DOE climate science and capabilities at national laboratories and universities, and build two-way engagement between DOE funded research and community stakeholders. Issuing an unrestricted NOFO would invite competition from applicants which already have a high research profile, which would defeat the solicitation’s goal of broadening institutional participation.

D. Determination It is hereby determined that eligibility for the Notice of Funding Opportunity entitled “Climate Resilience Centers”, under Notice of Funding Opportunity No. DE-FOA-0003464, will be restricted to applicants, that are classified as either 1) a Minority Serving Institution and NOT listed as a R1 Research Institution, or 2) an emerging research institution as defined by the CHIPS and Science Act and NOT listed as a R1 Research Institution. This determination is made pursuant to 2 CFR 910.126(b) and is supported by the narrative above.

This determination also requires an exception to the Program Rule of 10 CFR 605.6 which establishes unrestricted eligibility for FOAs subject to the Program Rule. Exceptions to the Program Rule may be approved by the Director, a Deputy Director, or the Head of Contracting Activity for SC.

DETERMINATION OF RESTRICTED ELIGIBILITY

Climate Resilience Centers DE-FOA-0003464

RECOMMENDATION:

Daniel Winkler or Brian Benscoter Program Official

CONCUR:

Warren Riley Contracting Officer

Steven Thiede Legal Counsel

APPROVAL OF DETERMINATION:

Paul Thigpen Director, Financial Assistance Division

APPROVAL OF EXCEPTION:

Harriet Kung Deputy Director of Science approval conveyed by attached email

Zarkin, Michael

From: Kung, Harriet Sent: Thursday, October 24, 2024 7:39 AM To: Zarkin, Michael Cc: Laing, Kim; Winkler, Daniel; Benscoter, Brian; Battle, Jerry; Riley, Warren Subject: RE: Request for regulatory exception

Mike – I concur and authorize autopen approval.

Harriet

From: Zarkin, Michael <Michael.Zarkin@science.doe.gov> Sent: Thursday, October 24, 2024 7:37 AM To: Kung, Harriet <Harriet.Kung@science.doe.gov> Cc: Laing, Kim <Kim.Laing@science.doe.gov>; Winkler, Daniel <Daniel.Winkler@science.doe.gov>; Benscoter, Brian <Brian.Benscoter@science.doe.gov>; Battle, Jerry <Jerry.Battle@science.doe.gov>; Riley, Warren <Warren.Riley@science.doe.gov> Subject: Request for regulatory exception

Dear Harriet, I write to request your approval, in accordance with 10 CFR 605.4, of an exception to the Office of Science's Financial Assistance Program Rule of 10 CFR 605.

Our regulation, at 10 CFR 605.6, creates unrestricted eligibility for funding opportunities subject to the Program Rule. The SC FOA for “Climate Resilience Centers” (DE-FOA-0003446) restricts eligibility to institutions that are either non-R1 Minority Serving Institutions or non-R1 Emerging Research Institutions.

The restriction has been reviewed and endorsed by procurement and legal staff.

Your approval may be provided either by a digital signature on the attached file or by replying to this email.

With many thanks, Mike

Michael S. Zarkin Director, Office of Sponsored Activities (OSA) Department of Energy, Office of Science 19901 Germantown Road, G-250 Germantown, MD 20874-1290 michael.zarkin@science.doe.gov