Department of Defense (DoD)
Important
Many Department of Defense funding opportunities include research security requirements beyond standard proposal preparation. Depending on the funding opportunity and proposed research activity, investigators may encounter requirements related to export controls, Controlled Unclassified Information (CUI), cybersecurity, publication restrictions, foreign national participation, technology protection, or other research security measures.
Investigators should consult the DoD Research Security Risk Review to understand common DoD research security considerations and identify activities that may require additional institutional review.
VIEW DOD RESEARCH SECURITY RISK REVIEW
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 complete, accurate, and current.
Maintaining an accurate University Disclosure Profile promotes consistency across sponsor submissions and supports the University's administration of disclosure, conflict of interest, conflict of commitment, research security, export control, and Foreign Talent Recruitment Program compliance requirements.
Related University Guidance
| Reference Guide | Description |
|---|---|
| Disclosure of External Interests & Commitments | University requirements for reporting outside professional activities, appointments, and external interests. |
| Conflict of Interest | Guidance regarding financial conflicts of interest in research. |
| Conflict of Commitment | Guidance regarding outside professional activities and commitments. |
| Foreign Talent Recruitment Programs | Guidance regarding federal restrictions and sponsor requirements applicable to 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 Considerations
Disclosure requirements are one component of the Department's broader research security program.
Depending on the funding opportunity, DoD awards may also include requirements related to export controls, Controlled Unclassified Information (CUI), cybersecurity, publication restrictions, foreign national participation, technology protection, or other research security measures.
Investigators should review the applicable solicitation and consult the DoD Research Security Risk Review and related ORS guidance to identify additional requirements that may apply.
VIEW DOD RESEARCH SECURITY RISK REVIEW
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.
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.
| Topic | Description |
|---|---|
| Current & Pending Support | Notify OSP and ORS regarding new research support or commitments that may affect sponsor disclosures. |
| Foreign Activities | Notify OSP and ORS before initiating foreign collaborations or activities requiring sponsor notification. |
| Key Personnel Changes | Certain changes involving Principal Investigators, Senior/Key Personnel, or effort commitments may require sponsor approval. |
Official DoD Resources
| Resource | Description |
|---|---|
| DoD Basic Research Office | Information on DoD basic research programs, funding opportunities, and proposal resources. |
| Academic Research Security | Guidance for academic institutions regarding DoD research security expectations and best practices. |
| Research Security Policy Documents | Collection of Department of Defense memoranda, policies, and guidance supporting implementation of research security requirements, including protections for intellectual property, controlled information, key personnel, and critical technologies. |
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.