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DOE

Beginning June 18, 2022, the Department of Energy’s interim COI policy is in effect. The U.S. Department of Energy (DOE) requires disclosure of significant financial interests by investigators who participate in DOE or National Nuclear Security Administration (NNSA) funded research either directly or by subaward. If a PI is submitting a proposal to one of those listed agencies, all investigators must submit disclosures for themselves and their spouses/registered domestic partners and dependent children. Investigators include the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the DOE. 

Submitting Conflict of Interest for Research Disclosure Forms

The Office of Sponsored Projects, Office For Management of Intellectual Property, or Gift Administration contact will prompt you to submit a disclosure when needed (e.g., you are receiving support from a grant, contract or gift for research). If there is a positive disclosure, they will prompt you to send an addendum to ORCA for COI review. If your financial interests change after submission of a disclosure, you are required to resubmit your disclosure. DOE requires a disclosure during proposal submission, when new investigators are added, when financial interests of any investigators change, annually, at renewals, and at no cost time extensions.

Mandated Training

The DOE COI Policy largely mirrors PHS’s requirements. UCSC will accept the completion of the PHS training requirements until the Office of the President provides further guidance.

All investigators who have responsibility in design, conduct and reporting of the DOE-funded research must take COIR training:

  • Prior to engaging in research related to any DOE funded project;
  • At least every four years; and
  • Immediately when any of the following circumstances apply:
    • Institution revises its policy in a manner that affects the investigator;
    • When an investigator is new to the institution; or
    • When the institution finds an investigator is not in compliance with the institution’s policy or management plan

Training is on the UC Learning Center; log in and search for "ECBR". The course is titled the "UC Ethics and Compliance Briefing for Researchers" and takes approximately 30 minutes to complete.

DOE Forms

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