Department of Defense (DoD)
Many Department of Defense funding opportunities include additional requirements related to export controls, Controlled Unclassified Information (CUI), cybersecurity, publication restrictions, foreign national participation, or technology protection. Investigators should consult the Office of Research Security (ORS) early during proposal development to determine whether these requirements apply.
Disclosure Requirements
The Department of Defense (DoD) requires investigators and recipient institutions to disclose information regarding professional appointments, research support, affiliations, collaborations, and other activities necessary to evaluate investigator qualifications, identify potential conflicts of commitment, protect research integrity, and safeguard technologies important to national security.
DoD disclosure requirements apply throughout the proposal and award lifecycle and support the Department's broader research security initiatives to protect intellectual property, controlled information, critical technologies, and federally funded research. Investigators are responsible for ensuring that information provided to DoD is complete, accurate, current, and consistent with their University Disclosure Profile and other sponsor submissions.
University Disclosure Requirements
Before preparing a DoD proposal, investigators should ensure that their University Disclosure Profile is current.
Maintaining an accurate institutional disclosure supports consistency across sponsor submissions and assists the University in administering its Conflict of Interest, Conflict of Commitment, Research Security, Export Controls, and Foreign Talent Recruitment Program compliance programs.
Related University Guidance
- Disclosure of External Interests & Commitments
- Conflict of Interest
- Conflict of Commitment
- Foreign Talent Recruitment Programs
DoD Proposal & Award Disclosures
DoD requires disclosure of certain information during proposal preparation and, when applicable, throughout the award period. Disclosure requirements vary depending on the funding opportunity, DoD component, and solicitation instructions.
| Disclosure Requirement | Purpose | When Required |
|---|---|---|
| Biographical Sketch | Describes an individual's qualifications, appointments, education, and professional experience. | Proposal submission |
| Current and Pending (Other) Support | Identifies current and pending research support to evaluate scientific overlap, investigator capacity, and potential conflicts of commitment. | Proposal submission |
| Facilities, Equipment and Other Resources | Describes institutional capabilities and resources available to support the proposed research. | Proposal submission |
| Research Security and Sponsor Certifications | Certain funding opportunities require additional certifications or representations regarding research security, foreign talent recruitment programs, or organizational eligibility. | As required by the solicitation |
| Post-Award Disclosures | Certain changes involving key personnel, research support, foreign activities, or award performance may require notification to the sponsor. | Throughout the award period, as required |
Current and Pending (Other) Support
DoD requires disclosure of current research activities and pending research support to evaluate an investigator's ability to successfully perform the proposed work and to identify potential scientific overlap or conflicts of commitment.
Depending upon the solicitation, Current and Pending (Other) Support information may include:
- Current research projects and pending proposals
- Project titles and objectives
- Percentage of effort devoted to each project
- Total project support
- Sponsoring organizations
- Period of performance
Investigators should carefully review the specific Funding Opportunity Announcement (FOA) because disclosure requirements may vary among DoD Components.
Research Security Requirements
Research security is a central component of DoD-sponsored research.
Consistent with the National Defense Authorization Act and DoD research security policies, disclosure requirements support the Department's efforts to protect:
- intellectual property;
- controlled information;
- critical technologies;
- research personnel;
- federally funded research from undue foreign influence.
Research security-related disclosure requirements may include:
- domestic and international appointments and affiliations;
- current and pending (other) support;
- international collaborations, when applicable;
- foreign organizational relationships;
- participation in Foreign Talent Recruitment Programs, when applicable;
- consistency across institutional and sponsor disclosures.
DoD funding opportunities may also include additional research security, export control, cybersecurity, or controlled information requirements depending upon the nature of the project. Investigators should review the applicable solicitation carefully and consult ORS early during proposal development.
Research Security Training
Certain DoD funding opportunities require research security training or certifications.
Regardless of sponsor-specific requirements, investigators are encouraged to complete Stony Brook University's Research Security Training before participating in DoD-sponsored research.
The University's Research Security Training addresses:
- disclosure requirements;
- international collaborations;
- research security;
- conflict of commitment;
- foreign influence;
- export controls;
- cybersecurity awareness;
- protection of research information.
Learn More
Important Post-Award Requirements
Investigators have an ongoing responsibility to ensure that required disclosures remain complete and current throughout the life of a DoD award.
Changes to Current and Pending Support
Notify OSP and ORS when new research support, appointments, or research commitments arise that may affect sponsor disclosures.
Foreign Activities
Notify OSP and ORS before initiating new international collaborations, foreign components, or other foreign activities that may require sponsor notification or institutional review.
Key Personnel Changes
Changes involving Principal Investigators, Senior/Key Personnel, or effort commitments may require sponsor notification or prior approval.
Export Controls and Controlled Information
Certain DoD awards contain export control, Controlled Unclassified Information (CUI), cybersecurity, publication review, or foreign national participation requirements. Investigators should consult ORS before implementing changes that could affect these requirements.
Current DoD Guidance
Proposal Guidance
Research Security
Research Security Policy Documents
- Under Secretary of Defense for Research and Engineering (March 2019)
- DOD Memo: Actions for the Protections of Intellectual Property, Controlled Information, Key Personnel and Critical Technologies (March 2019)
- Letter from Under Secretary of Defense on DOD steps to protect research (October 2019)
Need Assistance?
Questions regarding DoD disclosure requirements should be raised as early as possible during proposal development.
Office of Sponsored Programs (OSP)
Provides assistance with proposal preparation, sponsor requirements, award administration, and prior approvals.
Office of Research Security (ORS)
Provides assistance with research security, disclosure requirements, international collaborations, foreign affiliations, research support disclosures, conflict of commitment, foreign talent recruitment programs, and other sponsor-related compliance matters.