Q&A's SC Staff Regarding the 2020 SC D&I WG Recommendations

General Questions

Q: How is the Office of Science (SC) defining diversity?

A: Diversity describes an environment where unique talents and differences of all individuals are recognized, respected, and valued for professional and mission success. Diversity includes a broad spectrum of characteristics including, but not limited to, race, color, ethnicity, national origin, age, religion, culture, language, disability, sexual orientation, gender identity, socioeconomic status, family structure, geographic differences, diversity of thought (cognitive diversity), technical expertise, and life experiences.

Tapping into this broad spectrum of diversity enables SC to deliver on its mission. The SC D&I Working Group’s recommended actions serve to ensure that SC’s business practices are supporting and inclusive of underrepresented groups in the sciences, and ensure that all of SC-sponsored activities encourage and foster inclusive and professional work environments.

Because of the current standards for demographic information that Federal agencies are permitted to collect (gender, race, ethnicity, disability, and veteran status), the implementation of many of the SC D&I Working Group recommended actions regarding applicants, awardees and reviewers will be limited to focusing on tracking these demographics, with the intent of updating guidance when there are updates to Federal data collection standards.

Q: Why did SC form the D&I Working Group and what was their charge?

A: The SC D&I Working Group was formed and charged by SC’s senior management – its Associate Directors and Deputy Directors – to assess what SC was currently doing to improve DEI in its awards management and related business processes, and to identify opportunities for SC to improve its efforts to advance DEI and demonstrate that DEI is foundational to its business practices.

DEI is central to advancing research and innovation effectively. Decades of research by organizational scientists, psychologists, sociologists, economists, and demographers show that socially diverse groups are more creative and better at solving complex, non-routine problems than homogeneous groups. Research institutions and funding agencies such as SC also have a responsibility to ensure that they’re supporting practices and procedures that mitigate or eliminate bias in decision-making and foster diversity, equity, and inclusion. To meet this responsibility, SC has initiated a number of efforts in recent years, many of which are now organized and carried out under the SC Office of Scientific Workforce Diversity, Equity, and Inclusion (SW-DEI) that was established in 2020.

Q: How was the Working Group report developed and who contributed to it?

A: The SC D&I Working Group comprised of representatives from each SC Program Office, individuals who served on the group were nominated by their Associate Director, and the group was led by staff of the now Office of the Principal Deputy Director (SC-2). The Working Group’s process included two phases. First, an initial assessment of the current practices across the SC program offices for advancing DEI in solicitation and awards management practices and review of the recommendations from SC-sponsored and external reports on DEI. And second, the Working Group conducted a systematic review of the full spectrum of SC’s business practices through a series of “deep dive” discussions where SC’s practices were analyzed against identified best practices, practices of other Federal science agencies, and assessed relative to recommendations from past SC Committee of Visitors (COVs) and other reviews. Each “deep dive” discussion resulted in several recommended actions for SC. The recommended actions were rolled up into an internal 2020 report that was reviewed and concurred on by SC’s senior management, including the Director of the Office of Science.

Q: Who is responsible for implementing the report’s recommended actions?

A: Taking steps to advance DEI in how SC does business is a shared responsibility across SC, the institutions it supports, and the broader research community. A new SC DEI Working Group has been established to develop the detailed plans for the implementation and the recommended actions. The SC DEI Working Group’s processes will include engagement with SC program offices in focus groups and pilot testing of new protocols and guidance; seeking regular input and feedback from SC leadership, and working across SC to implement DEI efforts into SC’s regular business practices.

Q: What are recommended actions by the 2020 Office of Science D&I Working Group?

A: The 2020 SC D&I Working Group report organized the recommended SC actions into 15 recommendation statements, each with multiple elements. For the purpose of implementation and communications, these elements have been organized into the seven categories of action:

  • DEI Supporting Policies and Practices,
  • Standard Review and Selection Criteria and Protocols,
  • Peer Reviewers,
  • Demographic Tracking,
  • SC-Sponsored Meetings,
  • Program Manager Guidance and Supporting Tools, and
  • Community Engagement.

Details on the specific actions within each of these categories can be found here.

Q: What is SC’s plan for implementing the recommended actions?

A: The new SC DEI Working Group, comprised of representatives from each SC program office and led by the SC Office of Diversity, Inclusion & Research Integrity (DIRI), is focusing on developing the requirements and actionable steps to implement the recommended actions. The new Working Group has adopted a phased approach to implementing the recommended actions over the next 2-3 years, realizing some actions will require longer development times than others. The set of recommended actions grouped within each phase will be implemented through a process that includes: development of associated policies, procedures, tools, and/or guidance; leadership feedback on the proposed implementation plans; and pilot and focus groups for feedback prior to finalizing the implementation details. Finally, formal implementation will include a detailed rollout plan, including informational meetings, official training (as appropriate), and broader community engagement and communications.

Q: How will I know when recommended actions are implemented? How will I be kept informed?

A: The SC DEI Working Group will be engaging the SC Program Offices for input and feedback throughout the process within each phase of implementation. The implementation of all recommended actions will include a communications strategy for relevant internal and external SC communities. Once a set of recommended actions is ready for rollout and implementation, the new processes will be communicated via internal “FYI Science” announcements, through SC senior management communications, as well as engagement by the SW-DEI Office and members of the SC DEI Working Group through activities such as SC “Brown Bag” discussions. The SW-DEI Office website in collaboration with the SC Grants and Contracts Office website will also host detailed information on a dedicated internal site for SC Program Staff.

Q: How will the report’s recommended and implementation activities be communicated to the broader SC community?

A: SC is committed to developing and adopting new practices that advance DEI its business practices and operations. The scientific community has been critically important to this process already through, for example, advice from the Committees of Visitors. Ongoing community outreach will be important for conveying new policies and practices that affect SC programs internally and as well as the scientific community (e.g., applicants, reviewers, and advisory committees). New policies, procedures, and protocols implemented in response to the 2020 SC D&I Working Group report recommendations and high-level outcomes will be publicly posted and updated on the SW-DEI Office website with relevant information for applicants, awardees, and reviews cross-referenced on the SC Grants and Contracts Office website. The SW-DEI Office and members of the SC DEI Working Group focused on implementation will provide regular briefings to SC staff. Additionally, the SC program staff and leadership will provide periodic updates to the community through public events, including Federal Advisory Committee Meetings, professional scientific meetings, and other relevant public engagements.

Q: How will this change the business processes for SC program managers and program support staff?

A: Building DEI promoting practices into SC’s existing research management processes will require some changes to current business and operational activities. Implementation of the recommended actions from the 2020 D&I Working Group will require that some new process changes be integrated into existing practices, and will also result in the development and implementation of some new processes. Representation by all of SC’s research program offices on the new implementation SC DEI Working Group will help ensure that the practices unique to each SC office are considered in the development of the new processes and guidance, with the goal of adopting the changes necessary to advance DEI while preserving needed flexibilities in business processes to meet programs unique needs. The SC DEI Working Group will also be identifying opportunities to update functionalities in existing business systems to streamline the execution of new processes. Examples include new functionalities in PAMS and additional protocols and templates for documenting processes and decisional outcomes. All changes to SC business and operational practices will be reviewed and approved by SC leadership (e.g., Associate Directors, Office Directors, and Deputy Directors) before implementation.

Q: How will this impact applicants and awardees from universities and from DOE National Laboratories?

A: Building DEI efforts and opportunities into SC’s business practices is expected to encourage and enable a more diverse and inclusive research community attracted and retained to address DOE’s mission. From an administrative burden perspective, SC does not anticipate any adverse impacts applicants or awardees from academic institutions or DOE National Laboratories. Changes will include, for example, encouraging the scientific community (applicants and reviewers) to provide their demographic information (which will remain protected under the Privacy Act requirements) to help SC track progress in its efforts over time. New practices adopted by SC and program staff will build greater public confidence in the equity of SC's processes and in SC’s DEI goals through transparency, communication, setting clear expectations.

Q: How is SC operationalizing its Statement of Commitment on DEI?

A: SC’s Statement of Commitment on DEI provides clear expectations for professional and inclusive behaviors all individuals participating in SC-sponsored activities. SC will be building the Statement of Commitment on DEI into programmatic documents and guidance. The statement will be updated to include underlying principals tied to existing Federal requirements for diversity, equity, and inclusion. SC also plans to develop practical guide for SC Program Managers and Staff for upholding the principles in all SC-sponsored activities and address challenges and opportunities in this evolving landscape.

Q: Does the report include any recommended actions on how we improve the diversity of the Federal workforce within SC?

A: No, the SC Federal workforce was not within the scope of the charge of the SC D&I Working Group. Promoting diversity, equity, and inclusion within the Federal workforce remains a priority and is currently an active topic of discussions within DOE leadership, including discussions on identifying opportunities for improvement being led by the DOE Office of Human Capital and the DOE Office of Economic Impact and Diversity.

Q: What is the role of the SC Office of Scientific Workforce Diversity, Equity, and Inclusion (SW-DEI) in the implementation of the recommended actions?

A: The DIRI office provides a critically important coordination role for the implementation of the recommended DEI actions. SW-DEI staff serve as the co-chairs of the implementation SC DEI Working Group, define and prioritize the actions that will be addressed in each phase of implementation, lead discussions with the Working Group and subgroups to move forward detailed actions, works to overcome barriers to progress, coordinates with other parts of SC (e.g., Grants and Contracts, General Counsel) to review proposed protocols, and engages the SC leadership to keep them informed on progress and seek their guidance and input. Additionally, the SW-DEI office provides periodic updates SC Federal Advisory Committees and external scientific advisory group on activities and progress on major DEI related actions.

Additional Questions

Q: Does my program office have representation on the new SC DEI Working Group that is focusing on implementation?

A: Yes. Each SC Program Office have a designated representative on the implementation SC DEI Working Group, including the Offices of Advanced Scientific Computing (ASCR), Basic Energy Sciences (BES), Biological and Environmental Research (BER), Fusion Energy Sciences (FES), High Energy Physics (HEP), Nuclear Physics (NP), Workforce Development for Teachers and Scientists (WDTS), Small Business Innovation Research and Small Business Technology Transfer (SBIR/STTR) Programs, Accelerator R&D and Production (ARDAP), and Isotope R&D and Production (IP).

Q: Can I provide feedback or participate?

A: Yes! The SC DEI Working Group regularly needs volunteers to assist with piloting processes and guidance materials, or to serve on ad hoc focus groups. Please reach out to your office’s representative to the SC DEI Implementation Working Group to volunteer as well as to provide related feedback on DEI activities within SC’s business practices.

Q: Where can I learn more about the supporting guidance materials and documents as they are developed?

A: Information for SC Program Managers and Staff on DEI supporting resources, such guidance materials, documents, and other resources that are developed as recommended actions of the 2020 SC D&I Working Group are implemented, will be hosted on an internal SW-DEI website and cross-referenced on the SC Office of Grants and Contracts website. Updated information for the scientific community and public audiences will be posted on public SW-DEI website.

Q: What other actions is SC taking to advance DEI?

A: SC’s senior management has had a long-standing commitment to advancing DEI within the research communities it supports. From the equity workshops SC co-sponsored over a decade ago, to championing the development of PAMS to better support and document SC awards management processes, to requiring that the DOE SC National Laboratories post their workforce demographics on their public websites and requiring actionable DEI strategies of its laboratories, to the creation of the original SC D&I Working Group to identify opportunities for SC to advance DEI in its business processes.

In 2020, SC established the Office of Scientific Workforce Diversity, Equity, and Inclusion to host efforts the initiated with the SC DOE laboratories, the SC DEI Working Group efforts, as well as new initiatives such as the new SC working group on Minority Serving Institutions (MSI) and Underrepresented Groups Engagement that that seeks to identify actionable opportunities to increase participation by faculty and students from MSIs and individuals traditionally underrepresented in STEM in SC research, user facility, and STEM training opportunities.