The document presents an overview of the U.S. Department of Energy’s (DOE) Interim Conflict of Interest (COI) Policy as outlined by Michael Zarkin to the Council on Government Relations. The DOE administers an extensive array of R&D and non-R&D programs, employing both discretionary and formula grant mechanisms, and thus its policies must accommodate a diverse range of activities and stakeholders. The interim COI policy, modeled after the Public Health Service (PHS) standard, was instituted to comply with federal regulations (2 CFR 200.112) and to address recommendations from a Government Accountability Office report (GAO-21-130), serving as a temporary measure ahead of more comprehensive rulemaking and broader government initiatives.
Key features of the policy include definitions of significant financial interests and relationships, a focus on “investigators” (broadly defined as those who can influence R&D activities), and flexible implementation accommodating the differing risk profiles of basic and applied research programs. While university grantees generally possess robust compliance structures, the policy also reaches a variety of non-academic grantees and addresses organizational conflicts of interest to promote ethical conduct, particularly in self-dealing scenarios common in commercial entities. Disclosure requirements and reporting channels are calibrated based on program type and risk level, with mandatory reporting of all COI in high-risk applied R&D and more limited reporting in basic research. The policy also outlines the flow-down of requirements to subrecipients, addresses unique intellectual property risks in DOE’s portfolio, and includes specific provisions related to foreign national access and restriction, reflecting heightened national security sensitivities. Overall, the interim policy serves to harmonize DOE’s practices with broader federal expectations, ensure responsible stewardship of research funds, and mitigate both actual and perceived conflicts of interest.
