[Research] US Department of Energy Conflict of Interest Policy **New Federal Requirement**

[Charles -Jr E Greer]

Please broadly disseminate this email in your department.
U.S. Department of Energy Conflict of Interest Policy
On December 20, 2021, the Department of Energy (DOE) issued its new Interim Conflict of Interest Policy, effective June 18, 2022. This new policy establishes standards that provide a reasonable expectation that the design, conduct and reporting of projects funded wholly or in part by the DOE “will be free from bias resulting from financial conflicts of interest or organizational conflicts of interest.” The new DOE policy closely mirrors the COI requirements that have been in place for recipients of Public Health Service (PHS) funding.   The University of California revised the Disclosure of Financial Interests & Management of Conflicts of Interest, Public Health Service Research Awards policy on June 17, 2022,  https://policy.ucop.edu/doc/2500558/PHS_COI.    The policy was revised to include the Department of Energy requirements.
Who Discloses:
Investigator: Any individual responsible for the purpose, design, conduct, or reporting of research performed or to be performed with DOE funding or a subaward from a pass-through entity to carry out part of a DOE award (subrecipient), regardless of whether the Investigator receives compensation from the DOE funding.  Investigators may include collaborators, consultants, non-UCR personnel, postdoctoral fellows and students depending on their responsibilities for the funded research. For example, reporting includes authorship on publications resulting from the research; thus, graduate and undergraduate students may be required to disclose as Investigators.
Note: DOE program offices have the discretion to expand this definition to also include any person who participates in the purpose, design, conduct, or reporting of a project funded by DOE or proposed for funding by DOE. Such expansion will be specified in the applicable funding opportunity announcement and/or terms and conditions of the financial assistance award.
The Research and Economic Development office is exploring opportunities to automate the DOE COI disclosure; however, in the interim, the process is as defined below.
When and How to Disclose:

  *   With the initial and renewal proposals - All Investigators need to complete, sign, and upload a DOE Form 500 in the eCAF.
  *   With supplemental funding proposal - All Investigators need to complete, sign, and upload a DOE Form 500 in the eCAF.
That form can be found here<https://research.ucr.edu/resources/forms/ori#promoting_research_objectivity_pro_committee_formerly_coi>.


  *   With non‐competing continuation - Investigators will be contacted by the COI staff requesting the completion of the DOE Form 500.
  *   With no cost time extension - Investigators will be contacted by the COI staff requesting the completion of the DOE Form 500.
  *   When a new Investigator(s) is added - The Principal Investigator for the award should have the new Investigator complete a DOE Form 500 and send it to the Contract and Grant Officer in SPA that handles the department for the administering unit of the award.
  *   At least annually for duration of project.  (This process is under construction.)
  *   With any new significant financial interest (New significant financial interests must be reported within 30 days of acquiring or discovering the new SFI.)  The disclosing Investigator should send a new signed DOE Form 500 to the conflict-of-interest staff.
If you are unsure of your reporting responsibilities, please contact the PRO staff at pro at ucr.edu<mailto:pro at ucr.edu>.
For additional information, please visit  https://research.ucr.edu/ori/doe



Charles E. Greer, Jr.
Associate Vice Chancellor
   Research Administration and Compliance
University of California, Riverside
Research and Economic Development
(951) 827-3093 (p)
http://research.ucr.edu/

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