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DOE Guidance

DOE Guidance

June 7, 2022

Faculty Disclosure Guidance for DOE submissions

 

Sponsor-specific tools and resources for submissions to the Department of Energy (DOE)

DOE Fiscal Year Funding Opportunity Announcement

The Department of Energy (DOE) Office of Science (SC) issued the FY 2022 Continuation of Solicitation for the Office of Science Financial Assistance Program, DE-FOA-0002562 (DOE provided PDF), on September 30, 2021.  This broad open solicitation provides general proposal preparation guidelines covering all required sections of full research proposals submitted to DOE.  Please note, when applying to a specific program solicitation, the preparation instructions provided in the specific funding announcement may deviate and will supersede the guidance outlined in the broad open solicitation.  

DOE Financial Assistance Letter (FAL)

Effective June 1, 2022, SC issued the latest Financial Assistance Letter. 

FAL 2022-04 (DOE provided PDF) provides updated information and guidance regarding Current and Pending Support disclosures for all DOE financial assistance agreements and FOA announcements that encompass and support research, development and discovery (RD&D) activities and that are issued on or after the effective date June 1, 2022.

Please read the FY 2021 DE-FOA-0002414, the FAL 2022-04, and the specific FOA for the proposed project carefully to determine the requirements and organization of the application package.

 

NSF Uniform Guidance and Prior Approvals

Refer to Federal Research Terms and Conditions (NSF Website).

Harvard Submission Process

Submissions of proposals and progress reports are due to your School’s submitting office according to their deadline policy for review and authorization.  Submission deadlines vary by the submitting office; for Harvard Chan SPA submit 7 business days before the sponsor’s due date; for OSP and HMS ORA submit 5 business days before the sponsor’s due date.  Please use the links listed below for more information on each submitting office’s deadline policies:

 

Disclosure Guidelines for DOE submissions

On June 1, 2022, DOE issued a new FAL 2022-04 (DOE provided pdf) outlining DOE’s approach to standardize disclosure requirements and develop model application forms and instructions per the requirements of the January 2021 National Security Presidential Memorandum-33 (NSPM-33), the FY 2021 National Defense Authorization Act (NDAA), and the 2022 NSPM-33 Implementation Guidance.  DOE outlines their approach in two phases: 1) An initial step to mandate all DOE and NNSA offices incorporate consistent current and pending support disclosure requirements across all open FOAs.  2)  A second phase that will begin after building consistency throughout the DOE offices and making available model forms; and where DOE will take additional steps to update its current and pending support disclosure requirements to provide greater consistency across the Department and to better align with the model forms of other agencies.

During this transition and development phase of the DOE application format, Harvard Grants Officers will have discretion to determine where, in the application package, the applicants should include the current and pending support disclosures and how to incorporate the requirements into the financial assistance agreement.  Please read the FY 2021 DE-FOA-0002414, the FAL 2022-04, and the specific FOA for the proposed project carefully to determine the requirements and organization of the application package. 

Biosketch (at proposal stage)

 

DOE Biographical Sketch (Biosketch)

 

 General Information Resources

Background

A biosketch is a streamlined version of your CV (curriculum vitae) requested by most funding agencies and institutions. DOE requires the use of the format approved by the National Science Foundation (NSF).  Instructions and blank format pages can be found below.

Instructions

Each individual identified as senior personnel must submit a separate biosketch (NSF Website).  The NSF approved Biosketch format is limited to 3 pages and can be generated by the Science Experts Network Curriculum Vita (SciENcv) or is available as a pdf (rev 10/4/2021 (NSF provided PDF).  More detailed information about the DOE specific content is available in DE-FOA-0002562 (DOE provided PDF).  

    1. All positions, scientific appointments, and affiliations with both domestic and foreign entities or governments must be included.
    2. The use of SciENcv (NIH website) is strongly encouraged for preparation of a compliant Biosketch.  For assistance with SciENcv refer to the instructional videos available on HTP (SciENcv course bundle on HTP) that includes:
    1. Please note, the DOE section headers and specific criteria for each Biosketch section varies from the NSF format.

Templates

FAQs

SciENcv

Additional Information

 Section A: Education and Training (Professional Preparation)

 

    1. List of the individual’s undergraduate and graduate education and postdoctoral training.
    2. Information listed must include location, Major (Area), and Degree & Year or Years in role.
      • Undergraduate Institution(s), Location, Major, Degree & Year
      • Graduate Institution(s), Location, Major, Degree & Year
      • Postdoctoral Institution(s), Location, Major, Inclusive Dates (years)
 
Section B: Research and Professional Experience (Appointments)

 

DOE specifies that the list must include the following, whether or not remuneration is received and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).  List in reverse chronological order with a brief description:

  • All positions, both domestic and foreign
  • All scientific appointments, both domestic and foreign
  • All affiliations with foreign entities or governments
  • All titled academic, professional, or institutional appointments
  • Any relevant academic and professional achievements and honors.
 
Section C: Publications (Products)

 

Provide a list of up to 10 publications most closely related to the proposed project.  Patents, copyrights, and software system developed may be provided in addition to or substituted for publication.

For each publication:

    1. identify the names of all the authors (in the same sequence in which they appear in the publication),
    2. The article title,
    3. book or journal title,
    4. volume number,
    5. page numbers,
    6. year of publication,
    7. website address if available electronically  list up to 5 products most closely related to the proposed project.

*An abbreviated style such as the Physical Review Letters (PRL) convention for citation  may be used for publications with more than 10 authors (list only the first author and et al. for the remaining unlisted authors).

 
Section D:  Synergistic Activities

 

A list of up to 5 professional and scholarly activities related to the effort proposed

 
Current and Pending

 

DOE Current and Pending Support

 

 General Information Resources

Background

Current and Pending Support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at Harvard.  This includes resources and/or financial support from all foreign and domestic entities, including but not limited to, gifts provided with terms or conditions, financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g. biologics, chemical, model systems, technology, etc.).  Such as:

    1. All active and pending grants, whether or not they are based at Harvard
    2. Internal awards in direct support of a research project
    3. In-kind resources (e.g. office/lab space, equipment, personnel, materials not freely available, etc.).  In-kind resources may not necessarily have a readily ascertainable monetary value
    4. Foreign support made to a trainee or fellow working in the lab (e.g. “sponsored fellow” supporting your laboratory’s research efforts)
    5. Positions, affiliations, and appointments that are related to a foreign talent (or similar type) program
    6. Gifts, provided with terms or conditions
    7. All other resources (domestic or foreign) available in direct support of your research endeavors

In addition to Current and Pending Support, DOE/NNSA program offices may also require disclosure of past support.  This should be limited to a reasonable time period and will be determined by the DOE/NNSA program office.  The requirement to disclose past support will be stated in the program-specific FOA.  

Please read the program-specific FOA carefully to determine the appropriate disclosure requirements.

Instructions

Current and Pending Support is required for all DOE FOA applications, financial assistance agreements resulting from those FOAs, and financial assistance agreements resulting from unsolicited proposals that encompass and support research, development and discovery (RD&D) activities and that are issued on or after the effective date June 1, 2022 (see FAL 2022-04 (DOE provided PDF) for details).  

DOE requires a separate Current and Pending Support form in the format approved by the NSF (rev 10/4/2020) (NSF provided PDF) for each individual identified as senior personnel.  Information must be provided for:

    1. The project(s) to be submitted,
    2. ongoing projects, and
    3. for any proposals currently under consideration from whatever source irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.  

Each current and pending support activity or entry should include:

      • The sponsor of the activity or the source of funding
      • The award or other identifying number
      • The title of the award or activity
      • Brief statement of the overall objectives of the project/proposal being proposed or in-kind contribution must be provided
      • Summary of the potential overlap between this proposal and any active or pending proposal or in-kind contribution
      • Total award amount for the entire award period covered (including indirect costs)
      • Number of person-months per year to be devoted by the individual

If required to identify overlap, duplication of effort, or synergistic efforts, append a description of the other award or activity to the current and pending support.

    1. Additional details can be found on page 98 of the FY 2022 FOA-0002562 (DOE provided PDF), within the FAL 2022-04 (DOE provided PDF) and within the program-specific FOA. 
    2. Use of SciENcv (NIH Website) is strongly encouraged for Current and Pending Support preparation and updates.  For assistance with SciENcv refer to the instructional videos available on HTP (SciENcv course bundle on HTP).

Templates

SciENcv

FAQs

Job Aids

Additional Information

Prepare an Inventory of In-Kind Support and Other Resources

 

All Harvard individuals who are designated as Key Personnel on a DOE award/subaward are required to report all their research support to DOE via the Current and Pending Support form, which is required at JIT and with each RPPR if their support has changed since the last submission. To provide a complete list of resources and support, all Key Personnel must take inventory of all resources provided or otherwise supported externally and available in support of their research.  This may include: 

    • Supplies and Equipment, including high value material that is not broadly available.  
    • Facilities, including any office/lab space or other facilities that are not Harvard owned or leased, and not otherwise made broadly available. *Note that institutional resources, including core facilities or shared equipment, should not be included as Other Support, but instead listed under Facilities and Other Resources within the proposal application. 
    • Personnel, including postdoctoral researchers, students, and other lab personnel, paid from an external source or self-funded and working on the research of the reporting Key Person. 
    • Other In-Kind Resources, including Research Collaboration Agreements (RCAs) or other agreements or commitments that may involve the performance of research or exchange of resources in support of your research endeavors. This includes DUAs and MTAs if the exchange covers high value data/materials that are not broadly available.  
    • Outside Funding Support, including funding received directly or through another entity at which you have an affiliation (including the Harvard Affiliates). This includes external start-up packages. 
    • Gifts, that are provided with terms or conditions.
 
Collect information from Harvard Systems

 

Harvard systems may contain information pertaining to potential sources of in-kind and other resources. Please note, the first two options are only available to individual Key Personnel; no one else has access to the OAIR report or the GMAS Other Support* and Activities report: 

  1. Download the GMAS report (which includes data from OAIR and Agreements Modules) through a direct link to your
  1. Export your current activities separately
  1. Gifts may be listed on PI dashboard
  • *Note: “Other Support” is sometimes referred to as “Current and Pending Support”.  The Other Support download and GMAS resources were originally developed to assist with NIH “Other Support” disclosures and may be used as a resource for NSF “Current and Pending Support”.
 
Certify with Electronic Signature

 

Each Current and Pending Support disclosure must be signed and dated and include the following certification statement:

I, [Full Name and Title], certify to the best of my knowledge and belief that the information contained in this Current and Pending Support Disclosure Statement is true, complete, and accurate. I understand that any false, fictitious, or fraudulent information, misrepresentations, half-truths, or omissions of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise.  (18 U.S.C. §§ 1001 and 287, and 31 U.S.C. 3729-3733 and 3801-3812). I further understand and agree that (1) the statements and representations made herein are material to DOE’s funding decision, and (2) I have a responsibility to update the disclosures during the period of performance of the award should circumstances change which impact the responses provided above.

If the fillable PDF NSF format is used, the individual must include a signed, dated and certified statement using the language included above.  If the SciENcv is used a signed, dated, and certifed statement must be attached until SciENcv automatically attaches the certification statement.

 

Supporting Documentation upon Request

 

Notify your Research Administrator (Harvard website) of any DOE requests for supporting documentation.  Details of any obligations, contractual or otherwise, to any program, entity, or organization sponsored by a foreign government must be provided on request to either the applicant institution or DOE.  Supporting documents of any identified source of support must be provided to DOE on request, including certified translations of any document.  

 

Undisclosed Other Support

 

Immediately notify your Research Administrator (Harvard website) of any information that is missing and undisclosed in your Current and Pending Support.

 

Roles and Responsibilities Pertaining to DOE Grant Disclosure 

Principal Investigators and Key Personnel

Principal Investigators and Key Personnel are expected to be forthright and transparent about relationships, resources, and activities.  Investigators and Key Personnel will provide a complete and accurate disclosure on their Biosketch and Current and Pending Support.  This includes:

    1. Collecting their disclosure information from GMAS.
      • Follow the link below to go directly to the Other Support* download in GMAS:

https://gmas.harvard.edu/gmas/othersupportdownload (Harvard provided link to automatic GMAS download of xls spreadsheet)

    1. Working with their Grant Manager to complete your submission
    • *Note: “Other Support” is sometimes referred to as “Current and Pending Support”.  The Other Support download and GMAS resources were originally developed to assist with NIH “Other Support” disclosures and may be used as a resource for NSF “Current and Pending Support”.
Grant Managers

Grant Managers will assist PIs and Key Personnel in organizing, formatting, and completing their submission.  This may include:

    1. Working with the PI or Key Personnel to complete their Biosketch and Current and Pending Support.
    2. Formatting and reviewing for completeness and accuracy.
School or Central Reviewers

School or Central Reviewers will coordinate with Grant Managers and PIs or Key Personnel to ensure the accuracy and completeness of the submission.  This includes:

    1. Reviewing Biosketch and Current and Pending Support for completeness and accuracy.
    2. Submitting finalized Biosketch and Surrent and Pending Support to DOE.
School Contacts

Use the links below to contact your Research Administrator:

General Current and Pending and Biosketch

School Main Contact Email Address
FAS Lauren Ferrell Outsideactivities@fas.harvard.edu
GSE Tiffany Blackman tiffany_blackman@harvard.edu
HMS Kelly Evans Kelly_Evans@hms.harvard.edu
HSDM Kelly Evans Kelly_Evans@hms.harvard.edu
SPH Melissa Francis mjfrancis@hsph.harvard.edu
HKS Carrie Kachoria carrie_kachoria@hks.harvard.edu
SEAS Pam Baker-Weber bakerwebber@fas.harvard.edu
HLS Katie McGrath kmcgrath@law.harvard.edu
Wyss Katrin Duevel katrin.duevel@wyss.harvard.edu
Other Schools Contact your OSP Rep with Questions

 

*Note:  The Research Administration contact for a specific project can be found in the Administrative Team section for the project in GMAS.

Definitions

NIH and NSF Definition of Research:

A systematic study directed toward fuller scientific knowledge or understanding of the subject studied.

Harvard University Definition of Scientific Appointment:

Any academic or research appointment, including visiting, adjunct or temporary academic appointments, with a university, college, governmental or non-profit research institution and any fiduciary or executive level appointment with a for-profit entity engaged in commercial or research activities of a biomedical nature.

Harvard University Definition of Research:

Adheres to the Federal Policy for the Protection of Human Subjects (known as the “Common Rule” as defined in HHS regulation 45CFR46).  Teaching/training in research methods may also constitute Research for the purposes of NIH’s definition.

The Common Rule defines research as a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. (45CFR46.102(l))

Harvard University Definition of Conducting Research:

To be a Project Director, Principal Investigator or to otherwise be responsible for the design, conduct or reporting of research regardless of title or position (e.g., an Investigator). This definition does not normally include service on scientific or clinical advisory boards or more general scientific consulting unless it is anticipated that the individual will make a direct and significant intellectual contribution to a specific research project for the entity.

Harvard University Definition of Research as Part of Consulting:

To be responsible for the design, conduct or reporting of Research regardless of title or position.  This does not normally include service on scientific or clinical advisory boards or more general scientific consulting, unless the Principle Investigator or Senior/Key Personnel is anticipated to make a direct and significant intellectual contribution to a specific Research project for the entity.  Such an activity may result in earning authorship on a publication describing or supporting a research activity, or any consulting activity that otherwise meets the definition of Research.

Harvard University Definition of Support:

Any resources (i.e., financial, in-kind, personnel, provision of high-value materials that are not freely available) made available to a Principle Investigator or Key Personnel for use by this individual to pursue their Research. This includes in-kind resources directly provided to the individual (e.g., office/laboratory space, equipment, supplies or employees or students funded by outside sources). This does not include institutional resources, such as core facilities or shared equipment, that are made broadly available.

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