Overview
The U.S. Department of Energy (DOE) has amended its Financial Assistance Regulations to establish conflict of interest (COI), conflict of commitment (COC), and organizational conflict of interest (OCI) requirements for organizations applying for or receiving DOE financial assistance awards.
The amended regulations take effect on August 17, 2026. However, DOE recently clarified that existing awards and certain pending applications may continue operating under the interim conflict of interest policy until DOE modifies applicable award terms and conditions or provides additional implementation guidance. DOE has also stated that it is considering extending the compliance deadline and plans to share additional information.
Why DOE Issued This Rule
DOE states that the purpose of the rule is to establish responsibilities, requirements, and procedures for non-federal entities to identify, evaluate, resolve, and report conflicts associated with DOE-funded projects.
DOE’s amended regulations broaden the considerations beyond traditional financial conflicts. The regulations explicitly address conflicts of commitment, foreign affiliations, external appointments, current and pending support, and other relationships that could affect the objectivity, security, or integrity of DOE-supported activities.
The regulations reflect the growing emphasis across federal research agencies on ensuring that federally funded work is conducted transparently and without undisclosed financial, professional, or foreign influences.
DOE Provides Additional Implementation Guidance
Since publication of the final regulations, DOE has updated its Interim Conflict of Interest Policy webpage to clarify how the transition from the interim policy to the final Conflict of Interest and Conflict of Commitment (COI/COC) regulations will occur.
According to DOE:
- Existing awards will continue to follow the conflict of interest requirements specified in their current award terms and conditions until DOE modifies those terms to incorporate the final regulations.
- Applications submitted under Notices of Funding Opportunity (NOFOs) that reference the interim policy will continue to follow the interim policy. If selected for award negotiation, DOE will provide guidance regarding when and how the final COI/COC regulations will apply.
- DOE has acknowledged that many institutions have expressed concerns about meeting the August 17, 2026 implementation timeline and stated that it is considering extending the compliance deadline. Additional guidance is expected.
Why This Matters
The clarification means that the August 17, 2026 effective date does not necessarily represent a single transition point for all organizations and awards. Institutions may need to evaluate not only the effective date of the regulations themselves, but also the award terms, funding opportunity language, and any future guidance issued by DOE regarding implementation.
Who Is Considered a Covered Individual?
The regulations generally apply to applicants and recipients of DOE grants, cooperative agreements, technology investment agreements, and other financial assistance awards.
Under the regulations, covered individuals are those who contribute in a substantive and meaningful way to the development or execution of a DOE-funded project’s scope of work.
This includes:
- Principal investigators (PIs) and co-investigators
- Project directors and co-directors
- Project managers
- Individuals performing equivalent functions
- Other individuals designated by DOE
Importantly, individuals for whom a biosketch, résumé, or current and pending support disclosure is submitted are considered covered individuals under DOE’s requirements.
This definition is broader than many organizations may expect and reinforces the importance of carefully identifying personnel who may be subject to disclosure obligations. Notably, it may also include students at all levels, and those who may be co-authors.
What the Amended Regulations Require
The regulations require non-federal entities applying for or receiving DOE financial assistance awards to maintain written and enforced policies addressing COI, COC, and OCI. Organizations must establish procedures for identifying, evaluating, managing, mitigating, and reporting conflicts involving covered individuals participating in DOE-funded activities.
More specifically, covered individuals must:
- Disclose actual, potential, and apparent conflicts to the institution.
- Update institutional disclosures annually.
- Report new conflicts to the institution when they arise.
- Participate in required initial and refresher training at least every two years.
- Comply with conflict management and mitigation plans.
Institutions also have responsibilities under the DOE policy:
- When issuing subawards, recipient institutions will need to determine whether subrecipients should be bound to the recipient’s COI and/or COC policies.
- Institutions may need to evaluate their covered personnel, as well as the covered personnel of proposed subrecipients, for COI and COC at the proposal stage. This represents a significant departure from current practice by other federal agencies and will require institutions to evaluate pre-award processes.
- Institutions will need to document that covered individuals have completed training every two years.
- Institutions will need to carefully evaluate which, if any, identified COIs or COCs need to be reported to the DOE as there are different rules governing foreign and domestic conflicts.
One significant clarification in the amended regulations is DOE’s establishment of a specific reporting deadline. New conflicts must be reported as soon as practicable, but no later than 15 days after they arise.
Training Requirements Remain a Priority
The regulations require covered individuals to complete COI and COC training:
- Within 12 months of applying for DOE-funded projects
- At least every two years thereafter
DOE has noted that “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.” CITI Program’s Research Security series includes the NSF’s Research Security Training, the NSF SECURE Center’s Consolidated Training Module (CTM), and the NSF SECURE Center’s Annual/Refresher Training Module (ARTM), among other courses. CITI Program also offers a Conflict of Interest and Commitment (Other Federal Sponsors) course that includes DOE-specific modules.
Note: The DOE-specific modules have been updated given the amended regulations.
What This Means for Universities and Research Institutions
For universities, research institutions, and other organizations that receive DOE funding, now remains an appropriate time to review policies, disclosure procedures, training programs, and research security practices. However, DOE’s recent implementation guidance suggests that the transition to the final regulations may occur over time depending on award terms, funding opportunity requirements, and future agency direction.
Institutions should continue preparing for the final COI/COC requirements while monitoring DOE communications for additional guidance regarding compliance timelines and implementation expectations.
Frequently Asked Questions
When does the amended regulations take effect?
The amended regulations become effective on August 17, 2026. However, DOE has clarified that existing awards and some pending applications may continue operating under the interim policy until DOE updates award terms, conditions, or provides additional implementation guidance.
Who must comply?
The requirements generally apply to covered individuals at non-federal entities applying for or receiving DOE financial assistance awards, including grants, cooperative agreements, and technology investment agreements.
How often is training required?
Covered individuals must complete training before participating in DOE-funded projects and at least once every two years thereafter.
How quickly must conflicts be reported?
New conflicts of interest and conflicts of commitment must be reported as soon as practicable, but no later than 15 days after they arise.
What should organizations do now?
Organizations should review policies, disclosure procedures, training programs, and research security practices to ensure alignment before the new requirements become effective on August 17, 2026.
