Reference Library

Issued on November 26, 2024. DOE's RTES office issued a 'framework to minimize, mitigate, and manage risks while maintaining an open, collaborative, and world-leading scientific enterprise.' The process includes three phases during which RTES will coordinate with program offices. This includes ensuring solicitations include appropriate language on RTES requirements, including assessment of technology risk level; and RTES 'due diligence' reviews before selection for award; and changes that occur during the life of a project that may trigger RTES review. Risk reviews use information disclosed to the agency as well as public and classified sources. Risk factors include ties to malign foreign talent recruitment programs, 'certain foreign funding sources', 'certain concerning behaviors associated with patenting', and ties to foreign entities or foreign collaborators on specified [certain U.S. restricted] lists 'or with specified characteristics.'

Issued on October 7, 2024, this document outlines DOE's implementation of research security training requirements for covered individuals on financial assistance applications and for organizations applying for an award. The requirement was effective immediately but not mandatory until May 1, 2025. The training requirement is satisfied either by completion of the four training modules created by NSF, completion of the SECURE Center CTM (as indicated per DOE post FAL), or by a custom training program that is aligned with the CHIPS and Science Act Section 10634(b). Per DOE the training must be completed within the 12 months immediately preceding the application submission, consistent with the CHIPS Act requirements, and any covered individuals added to the project must certify that they have completed the training within 30 calendar days of joining the project.

Issued on August 8, 2024. Effective May 1, 2025, applicants are required to have a Digital Persistent Identifier or Persistent Identifier (PID) if: 1. Individuals are listed within financial assistance applications that will fund R&D activities, or technical assistance to support R&D activities; and 2. Individuals are required to submit Biographical Sketch and/or Current and Pending (Other) Support disclosure. A PID is defined as globally unique, persistent, machine resolvable and processable, and has an associated metadata schema (example: ORCID iD). PIDs must be provided in the Biographical Sketch and/or Current and Pending (Other) Support disclosures as part of the application. This requirement is optional until May 1, 2025, and mandatory thereafter.

RTES presented on research security risk reviews during a COGR meeting in October 2023, noting that much of the agency's portfolio includes critical and emerging technologies. Among the areas noted as potential targets were Advanced batteries, Advanced computing, Advanced engineering materials, Advanced manufacturing, Artificial intelligence/machine learning, Autonomous systems and robotics, Biotechnologies, Quantum information technologies, Next generation renewable energy generation and storage and Semiconductors and microelectronics.

DOE Office of Science to develop and maintain tools and processes to manage and mitigate research security risks such as an S&T risk matrix, informed by threats identified by the Office of Defense National Intelligence (ODNI).

DOE's Research, Technology & Economic Security (RTES) portal providing access to policies, frameworks, and resources for managing research security risks in DOE-funded research.

For applicants, recipients, and subrecipients that are required to submit transparency of foreign connections disclosures, DOE provides this format for the convenience of the entity providing the disclosure and certification; however, the entity is not required to use this specific format. If another format is used, the signatory must include the same substantive information, a signature, date, and the certification statement provided in Section 3 of the document.