Department of Energy (DOE) Research Security Guidance
Overview
The U.S. Department of Energy (DOE) supports open scientific collaboration while protecting U.S. research, technology, and economic security. DOE uses research security policies and risk-based review processes to identify and manage risks associated with DOE-supported research and development.
DOE research security requirements are implemented through funding opportunities, DOE policies, award terms and conditions, and other sponsor requirements. Requirements may vary depending on the DOE program, funding opportunity, research activity, participating individuals and organizations, and technologies involved.
The Office of Research Security (ORS) assists investigators throughout the DOE award lifecycle by providing guidance on international collaborations, foreign appointments and affiliations, foreign research support, foreign talent recruitment programs, export controls, DOE National Laboratory activities, and other DOE research security requirements.
DOE Research Security Framework
DOE's research security framework is intended to identify and manage risks to federally supported research while supporting scientific openness and responsible collaboration.
Depending on the funding opportunity or research activity, DOE may evaluate the proposed research, participating individuals and organizations, foreign relationships, technology involved, and other factors relevant to research, technology, and economic security.
Research security considerations may arise during proposal review, award negotiation, or throughout the life of a DOE award.
Foreign Talent Recruitment Programs
DOE restricts participation in certain foreign talent recruitment programs.
Participation in a Malign Foreign Talent Recruitment Program (MFTRP) is prohibited for individuals participating in federally funded research when applicable federal requirements apply.
Investigators should contact ORS before accepting or participating in a foreign talent recruitment program or similar arrangement.
Foreign Appointments, Affiliations & Research Support
DOE may consider foreign appointments, affiliations, research support, in-kind resources, consulting relationships, and other foreign relationships associated with individuals participating in DOE-supported research.
Investigators should ensure that applicable foreign relationships are appropriately reported to the University and disclosed to DOE when required.
For detailed information regarding sponsor disclosure documents and requirements, see Federal Sponsor Disclosure Requirements.
International Collaborations
International collaboration is an important component of DOE-supported research. However, certain collaborations may require additional review depending on the organizations involved, research activities, technology, funding, or applicable DOE requirements.
ORS can assist investigators in evaluating proposed international collaborations and identifying applicable sponsor, research security, export control, or institutional requirements.
Countries and Entities of Concern
DOE research security reviews may consider relationships involving countries, organizations, or individuals that present heightened research security concerns under applicable federal or DOE requirements.
Activities involving restricted entities, foreign governments, foreign military organizations, or other organizations of concern may require additional review or may affect participation in DOE-supported research.
ORS conducts Restricted Entity Screening and assists investigators in determining whether additional requirements apply.
Research, Technology & Export Controls
Research involving certain technologies, equipment, software, technical information, or international transfers may be subject to U.S. export control regulations or other DOE requirements.
Investigators should contact ORS when DOE-supported research involves:
- Export-controlled equipment, software, technology, or technical information.
- Restrictions on foreign person participation or access.
- International transfers of research equipment, materials, software, or technology.
- Publication, dissemination, or access restrictions.
- Other sponsor requirements that may affect the conduct of fundamental research.
Before Proposal Submission
Investigators should review the applicable DOE funding opportunity and identify research security requirements that may affect the proposed project.
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.
- Foreign talent recruitment programs.
- Research-related consulting or professional activities involving foreign organizations.
- Organizations or individuals that may be subject to U.S. Government restrictions.
- Research involving critical or emerging technologies.
- Export-controlled equipment, software, technology, or technical information.
- International transfers of research equipment, materials, software, or technology.
- Research activities involving a DOE National Laboratory or DOE user facility.
- Publication, participation, access, or dissemination restrictions.
- Questions regarding DOE research security requirements.
ORS can assist investigators in identifying applicable requirements before proposal submission and coordinating additional institutional review when necessary.
During a DOE Award
Research security responsibilities continue throughout the life of a DOE award.
Investigators should contact ORS before:
- Establishing a new international collaboration.
- Accepting a new foreign appointment or affiliation.
- Receiving new foreign research support or in-kind resources.
- Participating in a foreign talent recruitment program.
- Entering into a new research-related consulting arrangement involving a foreign organization.
- Adding a foreign organization or international collaborator to the project.
- Providing foreign collaborators access to export-controlled technology or other restricted research assets.
- Beginning activities involving an organization or individual that may be subject to U.S. Government restrictions.
- Making changes that may affect previously reviewed research security considerations.
Depending on the activity and applicable award requirements, additional institutional review, updated sponsor information, DOE notification or approval, or other measures may be required.
Investigators should also contact ORS if DOE requests additional research security information, documentation, or institutional review during an active award.
DOE National Laboratories & User Facilities
Additional DOE requirements may apply when University researchers conduct research at DOE National Laboratories, use DOE user facilities, or require access to DOE facilities, systems, equipment, information, or other resources.
DOE maintains requirements governing certain foreign national access and foreign government-sponsored or affiliated activities at DOE facilities. These requirements are generally administered by the applicable DOE laboratory or facility.
Researchers collaborating with DOE National Laboratories or using DOE facilities may be asked to provide information concerning citizenship, affiliations, appointments, research activities, or other relationships as part of the DOE facility's review process.
Investigators should contact ORS when they need assistance interpreting DOE research security requirements associated with a laboratory collaboration or user facility.
Activities That May Require Additional Review
DOE-supported research may require additional review when it involves:
- Foreign appointments or affiliations.
- Foreign research support or in-kind resources.
- Foreign talent recruitment programs.
- International collaborations.
- Countries or entities of concern.
- Restricted organizations or individuals.
- Research-related consulting involving foreign organizations.
- Critical or emerging technologies.
- Export-controlled equipment, software, technology, or technical information.
- International transfers of research assets.
- DOE National Laboratories or user facilities.
- Sponsor-imposed participation, access, publication, or dissemination restrictions.
- Other circumstances identified by DOE as presenting research security concerns.
The existence of one of these factors does not necessarily prevent a research activity from proceeding. ORS will assist investigators in identifying applicable requirements and determining whether additional review or mitigation is appropriate.
Activities That May Affect Funding Eligibility
Certain activities or circumstances may affect an individual's or institution's eligibility to participate in DOE-supported research.
Examples may include:
- Participation in a prohibited Malign Foreign Talent Recruitment Program.
- Relationships or activities prohibited under applicable DOE or federal requirements.
- Materially incomplete or inaccurate information provided to DOE.
- Failure to comply with applicable research security certifications or award requirements.
- Failure to implement required research security measures.
- Other circumstances identified by DOE as affecting eligibility for federal research funding.
Investigators who are uncertain whether an activity could affect participation in DOE-supported research should contact ORS before proceeding.
How ORS Can Help
ORS assists investigators with:
- DOE research security requirements.
- International collaboration reviews.
- Foreign appointment and affiliation reviews.
- Foreign research support considerations.
- Foreign talent recruitment program reviews.
- Restricted Entity Screening.
- Export control determinations.
- International research activities and transfers.
- DOE National Laboratory and user facility requirements.
- Research security consultations.
- Coordination with other University offices, as appropriate.
ORS assists investigators in identifying and addressing research security considerations before proposal submission and throughout the life of an award, helping to support compliant, collaborative, and internationally engaged research.
Related ORS Guidance
| Resource | Description |
|---|---|
| Federal Sponsor Risk Matrices | Overview of sponsor-specific research security risk considerations and guidance for federally sponsored research. |
| Federal Sponsor Disclosure Requirements | Guidance regarding Biographical Sketches, Current and Pending (Other) Support, Common Forms, certifications, and other sponsor disclosure requirements. |
| Foreign Talent Recruitment Programs | Guidance regarding foreign talent recruitment programs, Malign Foreign Talent Recruitment Programs, applicable federal prohibitions, and institutional review. |
| Countries of Concern | Information about countries subject to federal research security requirements or heightened institutional review. |
| Restricted Entity Screening | Guidance regarding screening individuals and organizations against U.S. Government restricted party and restricted entity lists. |
| Research Activities & Guidance | Activity-based guidance for international collaborations, foreign-sponsored research, international travel, visitors, agreements, information sharing, and other research activities. |
| Export Controls | Information about U.S. export control requirements applicable to research equipment, software, technology, technical information, international transfers, and foreign person access. |
| Research Security Training | Information about University and federally required research security training. |
Federal Resources
For current DOE research security policies and requirements, investigators should consult applicable DOE funding opportunities, award terms and conditions, and official DOE research security resources.
Because requirements may vary by DOE program and funding opportunity and may change over time, investigators should review the requirements applicable to each proposal and award.
Need Assistance?
Questions regarding DOE research security requirements should be discussed with ORS as early as possible during proposal development, before initiating new international research activities, or whenever circumstances change during an active award.
ORS can assist investigators in identifying applicable DOE requirements, coordinating institutional review, and addressing research security considerations throughout the award lifecycle.