Effective: August 17, 2026
Department of Energy Interim Conflict of Interest Policy Requirements for Financial Assistance
On July 16, 2026, the Department of Energy published the final Conflict of Interest and Conflict of Commitment (COI/COC) regulations. The new regulations are codified in 2 CFR part 910 subpart C and will replace DOE’s interim COI policy. The regulations have an effective date of August 17, 2026. However:
- Existing awards will continue to follow the COI requirements specified in the award terms and conditions (e.g., interim COI policy) until such time as DOE modifies the award terms and conditions to include the final COI/COC regulations policy.
- Applications submitted to NOFOs that refer to the interim COI policy still follow the interim COI policy. If an application is selected for award negotiation, DOE will give guidance on when and how the final COI/COC policy will be applied to those awards.
DOE knows that many institutions are concerned about meeting the August 17, 2026, effective date. DOE is considering extending the compliance deadline and will share more information soon.
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
Frequently Asked Questions
Question #1: When should organizations start updating their COI/COC policies?
Answer: Organizations should review and revise their policies, disclosure procedures, training programs, and research security practices to ensure alignment with the new COI/COC requirements immediately. Although DOE is considering extending the compliance deadline to April 1, 2027, DOE encourages organizations to start updating their policies and procedures immediately. Until then, compliance is required with the COI obligations as stated in an applicable NOFO or existing Award Terms and Conditions.
As a reminder, DOE’s interim COI policy requires disclosure of potential COIs to an institution's designated official no later than the time of application. DOE recipients and applicants should ensure that their current COI policies, and any revisions made to them, reflect this review timing.
Question #2: Part 910 of the Code of Federal Regulations; specifically, Required Conflict of Interest (COI) and Conflict of Commitment (COC) policies 2 CFR § 910.230(a) & (b)(2).
Is it ok for institutions to have separate COI and COC policies, provided they meet the specifications set forth in the regulations?
Answer: Yes.
Question #3: Part 910 of the Code of Federal Regulations; specifically, 2 CFR § 910.230(b)(2) requires “review by the designated official(s) of all covered individuals' disclosures to determine whether an actual, apparent, or potential COI or COC exists; and, if so, require the designated official(s) determine the actions that have been and shall be taken to eliminate or, where appropriate, manage or reduce the conflict”.
Prior to the new DOE COI/COC Policy, federal funding agencies addressed conflicts of commitment (COC) through disclosure in the common form biographical sketch and current and pending support documents and associated certifications. At universities, existing institutional COC review is typically conducted by department chairs, deans, or academic leadership, not central administration, because those individuals are best positioned to evaluate an investigator's institutional responsibilities, outside professional activities, and potential commitment conflicts. Typically, institutional conflict of commitment reviews evaluates conflicts with organizational effort. Can research organizations continue to rely on existing Conflict of Commitment processes, (i.e., disclosure forms and certifications), to meet the rule’s COC requirements, rather than implementing new policies, processes and staffing?
Answer: Yes, so long as the existing processes meet the requirements of 2 CFR 910.230 and the reporting requirements in 2 CFR 910.240. The degree of review centralization is up to the institution. It’s fine for the institution to appoint various reviewers throughout the various departments, according to who is best positioned to evaluate the disclosure information.
Question #4: Part 910 of the Code of Federal Regulations; specifically, 2 CFR § 910.230(b)(3) requires applicants and recipients to "Ensure that covered individuals have provided all required disclosures to the non-Federal entity no later than the time an application is submitted to DOE."
Does this requirement move the timing of COI submission and review earlier in the process, instead of during award negotiation/intent to award/just-in-time?
Answer: DOE’s Interim Conflict of Interest policy already requires COI review no later than the time of application, so there is no change to the required review timing. Interim Policy Section IV(e)(1) requires:
Each Investigator who is planning to participate in the DOE award disclose to the non-Federal entity's designated official(s) the Investigator's significant financial interests (and those of the Investigator's spouse and dependent children) no later than the time of application for the DOE award.
The change is that paragraph (b)(3) of 2 CFR 901.230 requires the non-Federal entity to have received all required COI and COC disclosures prior to time of application.
As discussed in the final rule, as a result of annual COI and COC reporting and periodic training, DOE expects that individuals participating in an application for financial assistance will be able to readily ascertain whether an award would create an actual, apparent, or potential COI or COC. 91 FR 43511, 43516.
Question #5: Part 910 of the Code of Federal Regulations; specifically, 2 CFR § 910.230(b)(6) requires applicants and recipients to have COI and COC policies that require “each covered individual to complete COI and COC training prior to engaging in projects funded under a DOE Federal financial assistance award and complete refresher training at least every two years.”
Does the SECURE Center Condensed Training Module (CTM) and Annual Refresher Training Module (ARPM) meet the COI/COC training requirement?
Answer: Yes, the research security training developed for compliance with CHIPs and Science Act of 2022 addresses COIs and COCs and therefore could be relied upon to meet this requirement.
Question #6: Will the new regulations apply to Genesis funding? The wording from a Genesis NOFO suggests that the interim COI policy will apply.
Answer: Applications submitted to NOFOs that refer to the interim COI policy still follow that interim COI policy. If an application is selected for award negotiation, DOE will give guidance on when and how the final COI/COC policy will be applied to those awards.