/Office for Research and Innovation
Research Security

Department of Energy (DOE) Research Security Guidance

The U.S. Department of Energy (DOE) supports open scientific collaboration while protecting the Nation's research, technology, and economic security. Through its Research, Technology, and Economic Security (RTES) framework, DOE conducts risk-based due diligence to evaluate and manage research security risks throughout the lifecycle of DOE financial assistance awards while maintaining a collaborative and world-leading scientific enterprise.

DOE proposal and award requirements are implemented through Notices of Funding Opportunity (NOFOs), DOE policy memoranda, award terms and conditions, and applicable DOE Orders. Investigators should ensure they understand the research security requirements applicable to their specific funding opportunity.

The Office of Research Security (ORS) assists investigators throughout the DOE award lifecycle by providing guidance on disclosure requirements, international collaborations, foreign affiliations, research security training, export controls, and other DOE research security requirements.

DOE's Research, Technology, and Economic Security (RTES) Framework

DOE's Research, Technology, and Economic Security (RTES) framework is intended to minimize, mitigate, and manage research security risks while supporting scientific openness and collaboration.

DOE evaluates research security through a risk-based due diligence process that considers the proposed research, project participants, collaborating organizations, technology, and other factors that may affect research, technology, and economic security. DOE's objective is to identify risks that can be appropriately mitigated while maintaining the principles of openness, transparency, and responsible international collaboration.

The RTES framework is built upon two guiding principles.

Risk-Based Investment Decisions

DOE evaluates research activities to identify and manage risks that may affect:

  • Intellectual property protection
  • Technology transfer
  • Supply chain security
  • National and economic security
  • Critical and emerging technologies
  • Foreign influence risks

The level of review and any risk mitigation measures depend on the nature of the research, technology, participating organizations, and other project-specific factors.

Transparency

DOE expects applicants and recipients to provide complete and accurate information regarding foreign relationships associated with individuals and organizations participating in DOE-supported research.

Transparency includes appropriate disclosure of:

  • Professional appointments and affiliations
  • Current and Pending (Other) Support, when required
  • Foreign research support and in-kind resources
  • International collaborations
  • Foreign organizations participating in the project
  • Foreign government-sponsored talent recruitment programs
  • Other foreign relationships required by the applicable funding opportunity

Complete disclosures enable DOE to evaluate potential risks and determine whether those risks can be appropriately managed.

Proposal Development

Before submitting a DOE proposal, investigators should ensure:

  • Required disclosures are complete and accurate.
  • Biographical Sketch and Current and Pending (Other) Support information is current, when required.
  • Foreign appointments and affiliations are disclosed.
  • International collaborations are appropriately described.
  • Required DOE research security training has been completed, when applicable to the funding opportunity.
  • Required certifications, including those related to Malign Foreign Talent Recruitment Programs (MFTRPs), are complete and accurate.
  • Outside research support and research-related consulting activities have been reviewed for consistency with DOE disclosure requirements.

Contact ORS Before Proposal Submission If Your Project Involves

  • International collaborators or foreign organizations.
  • Foreign appointments or affiliations.
  • Foreign research support or in-kind resources.
  • Research-related consulting involving foreign organizations.
  • Critical or emerging technologies.
  • Export-controlled technology, software, equipment, or technical information.
  • Research activities involving a DOE National Laboratory.
  • Questions regarding DOE disclosure requirements.

Award Management

During an active DOE award, investigators should consult ORS before:

  • Establishing a new international collaboration.
  • Accepting a new foreign appointment or affiliation.
  • Receiving new foreign research support or in-kind resources.
  • Entering into a new research-related consulting arrangement.
  • Adding new foreign collaborators or participating organizations.
  • Providing foreign collaborators access to research data, software, equipment, or other research assets.
  • Making significant changes affecting project disclosures or scope of work.

Depending on the activity, DOE may require updated disclosures, additional institutional review, sponsor notification, or implementation of appropriate risk mitigation measures.

Post-Award Responsibilities

DOE's RTES framework includes ongoing monitoring throughout the life of an award. Investigators should promptly notify ORS regarding:

  • Changes in Current and Pending (Other) Support.
  • New foreign appointments or affiliations.
  • New foreign research support or in-kind resources.
  • New international collaborations.
  • Participation in a foreign talent recruitment program.
  • Changes involving foreign organizations participating in the project.
  • Requests from DOE for additional research security documentation or clarification.
  • Material changes affecting DOE disclosures or award conditions.

Early consultation allows the University to determine whether updated disclosures, sponsor notification, or additional institutional review is required.

Research Activities at DOE National Laboratories

The Department of Energy (DOE) maintains several research security programs that apply to work conducted at DOE National Laboratories and other DOE facilities. These programs are intended to protect DOE facilities, technologies, information, and research while supporting international scientific collaboration.

The programs most likely to affect Stony Brook researchers include:

DOE Order 486.1 – Foreign Government-Sponsored or Affiliated Activities

This Order establishes DOE's review process for certain foreign government-sponsored or affiliated activities involving DOE National Laboratories. Depending on the nature of the collaboration, researchers may be required to disclose certain affiliations or activities before participating in laboratory research.

DOE Order 142.3C – Unclassified Foreign National Access Program

This Order establishes DOE's process for reviewing and approving foreign national access to DOE sites, facilities, information, technologies, equipment, and certain DOE systems. These requirements are generally administered by the DOE laboratory and may apply when researchers visit a DOE facility, require physical or electronic access to laboratory resources, or participate in collaborative activities involving DOE-controlled resources.

For most university-based fundamental research conducted solely at Stony Brook, these Orders do not create additional institutional requirements. However, researchers collaborating with DOE National Laboratories or using DOE user facilities may be asked to provide information to support DOE's review process. ORS is available to assist researchers in understanding sponsor requirements, coordinating institutional reviews where appropriate, and facilitating DOE collaborations.

Activities That May Require Additional Institutional Review

Examples include:

  • New foreign appointments or affiliations.
  • New foreign research support or in-kind resources.
  • International collaborations, particularly those involving foreign countries of concern.
  • Research-related consulting arrangements involving foreign organizations.
  • Research involving critical or emerging technologies.
  • Activities involving DOE National Laboratories.
  • Export control or sanctions concerns.
  • Questions regarding DOE disclosure requirements.

Activities That May Affect Funding Eligibility

Examples include:

  • Participation in a prohibited Malign Foreign Talent Recruitment Program.
  • Materially incomplete or inaccurate DOE disclosures.
  • Failure to comply with applicable DOE award terms and conditions.
  • Failure to complete required research security training or certifications, when applicable.
  • Failure to comply with applicable DOE National Laboratory security or access requirements.
  • Failure to disclose foreign relationships or activities required by the applicable DOE funding opportunity.

How ORS Can Help

ORS provides assistance with:

  • DOE disclosure requirements
  • Foreign appointments and affiliations
  • International collaborations
  • Research security training
  • Malign Foreign Talent Recruitment Program reviews
  • Research-related consulting
  • DOE National Laboratory activities
  • Export controls
  • Research security consultations

ORS works closely with investigators, Sponsored Programs,  Information Security, and other University offices to identify research security requirements early, support appropriate risk mitigation, and facilitate successful management of DOE-funded research throughout the award lifecycle.