Department of Energy Conflict of Interest Policy

Implementation Date: June 18th, 2022

The Department of Energy (DOE) has announced its Interim Conflict of Interest Policy Requirements for Financial Assistance, which applies to DOE financial assistance awards except Office of Indian Energy or Phase 1 Small Business Innovation Research/Small Business Technology Transfer applications.  The interim policy primarily mirrors the Public Health Service (PHS) conflict of interest regulations. UCI has issued an interim policy that implements the DOE COI Policy requirements.

Notable Changes for DOE Researchers:

DOE Principal Investigators will list all individuals meeting the definition of an Investigator in Kuali Proposal Development (PD) under Personnel for new proposals allowing the system to track their disclosure statuses.  An Investigator is any person, regardless of title or position who is responsible for the purpose, design, conduct, or reporting of DOE proposal or award.

All active DOE Investigators will complete the KR COI Annual Disclosure and Ethics and Compliance Briefing for Researchers (ECBR) training if they haven’t completed the Disclosure within the last year and the training within the last 2 years.  Note: UCOP has not updated the ECBR training to reflect DOE requirements.  Therefore, DOE Investigators should apply all PHS requirements similarly to their DOE research.

Subrecipients will need their own compliant DOE COI policy or follow UCI’s.  The Office of Research has updated the Subrecipient Commitment Form and Subrecipient COI Disclosure Form accordingly.

In some cases, the DOE Program Office may include additional requirements, which can be  found in the funding opportunity announcements and award terms and conditions.

Action Items:

If you are an active DOE Investigator or on a DOE proposal, please complete the KR COI Annual Disclosure and ECBR training now to avoid delays.

If you are submitting a DOE proposal, please remember to include all Investigators in KR PD Personnel tab.


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