DOE is issued an interim conflict of interest (COI) policy that addresses both financial and organizational conflicts of interest, which will be incorporated in and made enforceable through the Special Terms and Conditions for DOE financial assistance awards. The interim COI policy establishes standards that provide a reasonable expectation that the design, conduct, and reporting of projects wholly or in part funded under DOE financial assistance awards (e.g., a grant, cooperative agreement, or technology investment agreement) will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest.
As required by 2 CFR 200.112, DOE established the attached interim COI policy governing financial conflicts of interest and organizational conflicts of interest concerning applicants for, and recipients of, Federal financial assistance awards from DOE (Appendix 1). Per 2 CFR 200.112, “[t]he Federal awarding agency must establish conflict of interest policies for Federal awards. The non-Federal entity must disclose in writing any potential conflict of interest to the Federal awarding agency or pass-through entity in accordance with applicable Federal awarding agency policy.”
To minimize the implementation burden on non-Federal entities, the interim COI policy is largely aligned with the long-standing conflict of interest regulations established by the Public Health Service at 42 CFR part 50, Subpart F.
DOE also intends to amend its financial assistance regulations to incorporate requirements to address financial conflict of interest, organizational conflict of interest, and conflicts of commitment.
The interim COI policy is applicable to each non-Federal entity that applies for or that receives a DOE financial assistance award. Through the implementation of the interim COI policy by the non-Federal entity, the interim COI policy is also applicable to each investigator who is planning to participate in or is participating in a project funded under a DOE financial assistance award. The interim COI policy does not apply to Office of Indian Energy or Phase I Small Business Innovation Research (SBIR)/Small Business Technology Transfer (STTR) applications and financial assistance awards.
References:
- 2 CFR part 910, Department of Energy (DOE) Financial Assistance Regulations
- 2 CFR part 200, e.g., 200.112, 200.318