International Connections and Foreign Influences
Department of Energy (DOE)
Below is a summary of specific DOE guidance related to foreign influence and reporting obligations.
DOE Financial Assistance (Grants and Cooperative Agreements)
According to the DOE FY 2021 Continuation of Solicitation for the Office of Science Financial Assistance Program, at proposal stage the PI and each senior/key person at the prime applicant and any proposed subaward must provide a list of all sponsored activities, awards, and appointments:
- Paid or unpaid;
- Provided as a gift with terms or conditions or provided as a gift without terms or conditions;
- Full-time, part-time, or voluntary; faculty, visiting, adjunct, or honorary;
- cash or in-kind;
- Foreign or domestic; governmental or private-sector;
- Directly supporting the individual’s research or indirectly supporting the individual by supporting students, research staff, space, equipment, or other research expenses.
All foreign government-sponsored talent recruitment programs also must be identified in current and pending support.
PIs are required to use of the format approved by the NSF, which may be generated by the Science Experts Network Curriculum Vita (SciENcv), a cooperative venture maintained by the NIH at SciENcv, and is also available at a fillable PDF from NSF.
The PI and each senior/key person at the prime applicant and any proposed subaward must list the following items:
- The sponsor of the activity or the source of funding
- The award or other identifying number
- The title of the award or activity. If the title of the award or activity is not descriptive, add a brief description of the research being performed that would identify any overlaps or synergies with the proposed research.
- The total cost or value of the award or activity, including direct and indirect costs. For pending proposals, provide the total amount of requested funding.
- The award period (start date – end date).
- The person-months of effort per year being dedicated to the award or activity.
DOE Contract-Funded Work
Campus researchers funded under DOE contracts for research and development (R&D) work performed or partially performed on or at a DOE or National Nuclear Security Administration (NNSA) site or facility are subject to Order 486.1A. This order was issued in June of 2019, revised on September of 2020, and prohibits DOE contractors and their subcontractors from participating in foreign government talent recruitment programs (FGTRP) and restricts other Foreign Government Sponsored or Affiliated Activities of a Foreign Country of Risk. The following are currently considered Foreign Countries of Risk (subject to change): Russia, Iran, China, and North Korea.
When Order 486.1A is referenced in LBNL or other DOE Lab agreements, SPO will send an email to the PI with a link to a Foreign Government Talent Recruitment Program (FGTRP) Certification form. The PI and each member of the PI’s project team must complete this form. It is the PI’s responsibility to submit all completed forms to UC Berkeley’s COI Team (firstname.lastname@example.org) The COI Team then will submit this information to the DOE Lab within the required time frame.
Campus researchers that hold joint appointments with a DOE Lab are required to disclose such relationships and other foreign government affiliated activities such as LBNL’s outside activities program.
Note: This Order currently does not apply to non-DOE contractor employees working under a User Facility Agreement.
DOE Foreign National Access Requirements (applies to contract-funded work and assistance awards)
DOE Order 142.3B, Unclassified Foreign National Access Program, requires DOE approval of foreign nationals who have access to DOE sites, information and technologies. Principal Investigators may have different requirements to follow on their various DOE awards because each DOE Office and DOE Lab may enforce DOE Order 142.3B in a different way.
There is always a risk that UCB may need to decline or terminate an award if DOE does not approve a foreign national’s participation on the project. SPO will therefore work to remove or modify the foreign national access clause whenever possible.
If the clause can’t be removed, SPO will consult with the Export Control Officer, as needed to determine if the clause is acceptable under UC policy or confirm the proposed work is fundamental research. (PIs are advised to include a statement in the Scope of Work indicating that the proposed project will be “fundamental research.”)
SPO will then draft an “informed consent” or “informed participation agreement” for the PI and Chair to sign depending on the foreign national access terms in the agreement.
Note: Any member of the research team that receives a request for citizenship or nationality information from DOE/DOE Lab at the proposal, award, or post award stages should notify SPO.
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