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, and current, and is consistent with both DOE requirements and their University Disclosure Profile.
DOE places particular emphasis on transparency regarding research support, external commitments, international collaborations, and participation in Foreign Talent Recruitment Programs.
University Disclosure Requirements
Before preparing a DOE proposal, investigators should ensure that their University Disclosure Profile is complete, accurate, and current.
Maintaining an accurate University Disclosure Profile promotes consistency across sponsor submissions and supports the University's administration of disclosure, conflict of interest, conflict of commitment, research security, export control, and Foreign Talent Recruitment Program compliance requirements.
Related University Guidance
| Reference Guide | Description |
|---|---|
| Disclosure of External Interests & Commitments | University requirements for reporting outside professional activities, appointments, and external interests. |
| Conflict of Interest | Guidance regarding financial conflicts of interest in research. |
| Conflict of Commitment | Guidance regarding outside professional activities and commitments. |
| Foreign Talent Recruitment Programs | Guidance regarding federal restrictions and sponsor requirements applicable to Foreign Talent Recruitment Programs. |
DOE Proposal & Award Disclosures
DOE requires disclosure of certain information during proposal preparation and, when applicable, throughout the award period. Disclosure requirements vary depending on the funding opportunity, program office, and proposal instructions.
| Disclosure Topic | Purpose | Typical Timing |
|---|---|---|
| Biographical Sketch (Common Form) | Documents an individual's professional appointments, affiliations, education, and qualifications. | Proposal submission |
| Current and Pending (Other) Support (Common Form) | Identifies research support, in-kind contributions, and other resources available to support research activities, as defined by DOE. | Proposal submission and updates, when required |
| Research Security Certifications | Certain funding opportunities require certifications regarding research security or participation in Malign Foreign Talent Recruitment Programs. | As specified in the NOFO |
| Post-Award Notifications | Certain changes involving key personnel, research support, external appointments, foreign activities, or other reportable matters may require sponsor notification or prior approval. | Throughout the award period, as required |
DOE disclosure requirements vary by funding opportunity and program office. Investigators should carefully review the applicable Notice of Funding Opportunity (NOFO) and proposal instructions for sponsor-specific disclosure requirements.
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. Depending on the applicable Notice of Funding Opportunity (NOFO), investigators may also be required to provide additional DOE-specific information or certifications.
Investigators should carefully review each funding opportunity to determine:
- Whether Common Forms are required.
- Whether an ORCID iD is required.
- Whether additional disclosure forms or certifications apply.
- Whether program-specific instructions supplement the Common Forms.
Information Commonly Reported
| Information Category | May Include |
|---|---|
| Professional Activities | Academic, professional, and institutional appointments; domestic and foreign affiliations; consulting activities; leadership positions. |
| Research Support | Current and pending grants, contracts, cooperative agreements, gifts (when required), in-kind contributions, and other research resources. |
| Research Resources | Laboratory space, equipment, materials, specialized facilities, research personnel, and other resources available to support research. |
| International Activities | International collaborations, foreign organizational relationships, and other foreign activities, when applicable. |
| Research Security | Participation in Foreign Talent Recruitment Programs and other information required by the applicable funding opportunity. |
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 Training
The Department of Energy (DOE) requires Covered Individuals named on applicable research and development proposals to complete research security training before 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, when required.
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, research information protection, export controls, cybersecurity, and other research security best practices.
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Foreign Talent Recruitment Programs
The Department of Energy prohibits participation in a Malign Foreign Talent Recruitment Program (MFTRP) by Covered Individuals participating in applicable research and development projects.
Covered Individuals may be required to certify that they are not participating in a Malign Foreign Talent Recruitment Program during proposal submission and must promptly notify the University if their participation status changes during the award period.
Investigators with questions regarding foreign appointments, affiliations, talent recruitment programs, or other international activities should consult the Office of Research Security before proposal submission or prior to accepting an external appointment or participation agreement.
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Foreign Talent Recruitment Programs
Important Post-Award Considerations
DOE disclosure obligations continue throughout the life of an award. Investigators are responsible for ensuring that required disclosures remain complete, accurate, and current and for notifying the University when circumstances change that may affect sponsor disclosures or award requirements.
Examples of reportable changes may include:
- New or modified Current and Pending (Other) Support
- New professional appointments or affiliations
- Changes in outside professional activities or consulting relationships
- New international collaborations or foreign organizational relationships
- Participation in or changes involving Foreign Talent Recruitment Programs
- Changes involving Senior/Key Personnel or other matters requiring sponsor notification or prior approval
Certain changes involving project scope, key personnel, foreign activities, or other award conditions may require prior approval from DOE. Investigators should consult the Office of Sponsored Programs (OSP) before implementing these changes and contact the Office of Research Security (ORS) whenever questions arise regarding disclosure obligations or research security requirements.
Official DOE Resources
| Resource | Description |
|---|---|
| DOE Office of Science Financial Assistance | Guidance on proposal preparation, financial assistance requirements, award administration, and agency policies. |
| Biographical Sketch Common Form | DOE implementation guidance for the Common Form Biographical Sketch. |
| Current and Pending (Other) Support Common Form | DOE implementation guidance for the Common Form for Current and Pending (Other) Support disclosures. |
| SciENcv | Federal system used to prepare Common Forms required by DOE and other participating federal agencies. |
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.
The Office of Sponsored Programs (OSP) provides assistance with proposal preparation, interpretation of Notices of Funding Opportunity (NOFOs), sponsor requirements, award administration, Common Forms, and sponsor prior approvals.
The Office of Research Security (ORS) provides assistance with research security requirements, disclosure obligations, Common Forms, Current and Pending (Other) Support, conflict of commitment, international collaborations, foreign affiliations, Foreign Talent Recruitment Programs, export controls, and other DOE research security compliance matters.