Department of Energy (DOE)
Disclosure Requirements
The U.S. Department of Energy (DOE) requires investigators and recipient institutions to disclose information regarding professional appointments and affiliations, research support, external commitments, foreign collaborations, and other activities necessary to promote transparency, protect research integrity, and safeguard federally funded research.
DOE disclosure requirements support the Department's broader research security framework and apply throughout the lifecycle of a research award, including proposal preparation, award administration, project performance, and award closeout. Investigators are responsible for ensuring that information provided to DOE is complete, accurate, current, and consistent with both DOE requirements and their University Disclosure Profile.
DOE places particular emphasis on transparency regarding research support, external commitments, research security, and participation in foreign talent recruitment programs.
University Disclosure Requirements
Before preparing a DOE proposal or completing sponsor disclosure documents, investigators should ensure that their University Disclosure Profile is current.
Maintaining an accurate institutional disclosure helps ensure consistency across sponsor submissions and supports the University's Conflict of Interest, Conflict of Commitment, Research Security, and Foreign Talent Recruitment Program compliance processes.
Related University Guidance
- Disclosure of External Interests & Commitments
- Conflict of Interest
- Conflict of Commitment
- Foreign Talent Recruitment Programs
DOE Proposal & Award Disclosures
DOE requires disclosures at various stages of the proposal and award lifecycle. Required information varies depending on the Notice of Funding Opportunity (NOFO), program office, award terms and conditions, and applicable federal requirements.
| Disclosure Requirement | Purpose | When Required |
|---|---|---|
| Biographical Sketch Common Form | Describes an individual's professional preparation, appointments, qualifications, and other federally required information. | Proposal submission |
| Current and Pending (Other) Support Common Form | Discloses research support, external commitments, in-kind contributions, and other resources available in support of an individual's research activities. | Proposal submission and updates, as required |
| Facilities, Equipment and Other Resources | Describes institutional facilities, equipment, laboratory space, and other resources available to support the proposed research. | Proposal submission |
| Persistent Digital Identifier (ORCID), when required | Provides a unique researcher identifier supporting federal disclosure and Common Forms requirements. | Proposal submission, when required by the NOFO |
| Research Security Certifications | Certifies compliance with applicable research security and Malign Foreign Talent Recruitment Program requirements. | Proposal submission, as required |
| Post-Award Disclosures | Reports changes to research support, appointments, external commitments, foreign activities, or other information requiring sponsor notification. | Throughout the award period, as required |
DOE Common Forms
DOE uses the government-wide Biographical Sketch Common Form and Current and Pending (Other) Support Common Form for many research and development funding opportunities.
These forms are generally prepared using SciENcv and may require investigators to provide additional DOE-specific information depending upon the applicable Notice of Funding Opportunity.
Investigators should carefully review each funding opportunity to determine:
- whether Common Forms are required;
- whether a Persistent Digital Identifier (ORCID) is required;
- whether additional disclosure forms or certifications apply; and
- whether program-specific instructions supplement the Common Forms.
Examples of Information Commonly Reported
Depending on the applicable DOE funding opportunity and disclosure document, investigators may be required to report information such as:
- Academic, professional, and institutional appointments
- Domestic and foreign affiliations
- Current and pending research support
- In-kind contributions and research resources
- Gifts or other support, when required by the NOFO
- Consulting activities related to research
- Research personnel supported by outside organizations
- Laboratory space, equipment, materials, and other research resources
- International collaborations
- Foreign organizational relationships
- Participation in foreign talent recruitment programs, when applicable
Each DOE disclosure document serves a different purpose. Investigators should review the applicable NOFO and disclosure instructions before determining whether information is reportable.
Current and Pending (Other) Support
Current and Pending (Other) Support enables DOE to evaluate the resources available to investigators, identify potential scientific overlap, assess research commitments, and support research security.
Depending on the applicable funding opportunity, investigators may be required to disclose:
- Current and pending grants, contracts, and cooperative agreements
- Research resources and in-kind contributions
- Gifts or other support, when required
- Research personnel supported by outside organizations
- Laboratory space, equipment, or specialized facilities
- Foreign support or collaborations
- Other resources available in support of the investigator's research activities
Investigators should review the applicable NOFO for specific disclosure requirements, as individual DOE program offices may require additional information beyond the Common Forms.
Conflict of Commitment
DOE places significant emphasis on identifying and managing conflicts of commitment that could interfere with an investigator's ability to fulfill University responsibilities or create conflicting obligations to outside organizations.
Activities that may require disclosure or institutional review include:
- Outside employment
- Consulting arrangements
- Domestic or foreign appointments
- Visiting scientist positions
- Leadership roles with external organizations
- Significant outside professional commitments
- Participation in foreign talent recruitment programs
Investigators should disclose these activities through the University's Disclosure of External Interests & Commitments process so they can be evaluated under applicable University policy.
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Research Security Requirements
Research security is a core component of DOE-sponsored research.
DOE's research security framework promotes transparency while protecting federally funded research, critical technologies, intellectual property, and the U.S. research enterprise.
Research security-related disclosure requirements may include:
- Professional appointments and affiliations
- Current and pending (other) support
- External research commitments
- International collaborations
- Foreign organizational relationships
- Malign Foreign Talent Recruitment Program participation
- Research security certifications
- Consistency across institutional and sponsor disclosures
Depending upon the project, additional requirements related to export controls, cybersecurity, controlled information, or technology protection may also apply.
Investigators should consult the Office of Research Security early whenever questions arise regarding research security or disclosure obligations.
Research Security Training
DOE requires Covered Individuals named on applicable research and development proposals to complete research security training prior to proposal submission.
Covered Individuals must certify that they have completed qualifying research security training within the previous twelve months, and the applicant institution must certify compliance as part of the proposal process.
Stony Brook University provides institution-specific Research Security Training that satisfies applicable federal requirements while addressing University policies, disclosure obligations, international collaborations, conflict of commitment, conflict of interest, cybersecurity, and research security best practices.
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Malign Foreign Talent Recruitment Programs
DOE prohibits participation in a Malign Foreign Talent Recruitment Program (MFTRP) for Covered Individuals on applicable research awards.
Investigators may be required to certify that they are not participating in a MFTRP during proposal submission and must promptly notify the University if their participation status changes during the award period.
Questions regarding foreign talent recruitment programs should be discussed with the Office of Research Security before proposal submission or prior to accepting any external appointment or participation agreement.
Learn More
Foreign Talent Recruitment Programs
Important Post-Award Requirements
Investigators have an ongoing responsibility to ensure that required DOE disclosures remain complete, accurate, and current throughout the life of an award.
Current and Pending (Other) Support
Notify OSP and ORS whenever new research support, appointments, research commitments, or other reportable resources arise that may affect DOE disclosures.
Changes to External Appointments or Affiliations
Promptly disclose new outside appointments, affiliations, leadership positions, or consulting activities that may require institutional review or sponsor notification.
Conflict of Commitment
Update your Disclosure Profile whenever outside activities or commitments materially change so that potential conflicts of commitment can be evaluated and managed appropriately.
International Collaborations
Consult OSP and ORS before initiating new international collaborations, foreign subawards, or other foreign activities that may require sponsor notification or institutional review.
Foreign Talent Recruitment Programs
Report any changes involving participation in foreign talent recruitment programs or related agreements.
Prior Approval Requirements
Certain changes involving key personnel, project scope, foreign activities, or other award conditions may require prior approval from DOE. Investigators should consult OSP before implementing these changes.
Current DOE Guidance
Proposal & Award Administration
Proposal Disclosure Requirements
Need Assistance?
Questions regarding DOE disclosure requirements should be raised as early as possible during proposal development or whenever circumstances change during an active award.
Office of Sponsored Programs (OSP)
Provides assistance with proposal preparation, sponsor requirements, award administration, interpretation of DOE Notices of Funding Opportunity (NOFOs), and sponsor prior approvals.
Office of Research Security (ORS)
Provides assistance with research security, disclosure requirements, Common Forms, current and pending support disclosures, conflict of commitment, international collaborations, foreign affiliations, foreign talent recruitment programs, export controls, and other DOE research security compliance matters.