With the exception of the change to the frequency of COI trainings which apply to all investigators as defined by the policy, all of the following proposed changes apply only to investigators who apply for and/or receive DOE funding. All changes are required for the university to comply with the DOE Final Rule.

Key Changes to Policy 1-006, Rule R1-006C, (new) Rule R1-006F, and Procedure 1-006B:

• Expanded definition of “Investigator” for DOE projects.

The definition of “Investigator” for DOE projects now includes “covered individuals” (e.g., individuals who contribute in a substantive, meaningful way to the design, conduct, or reporting of DOE-funded research).

• Expanded definition of “Significant Financial Interest” for DOE projects.

The definition of “Significant Financial Interest” now includes “other support” (e.g., gifts, financial support for lab personnel) and sponsored travel for DOE-funded research.

• Shortened timeframe to update financial disclosures for DOE investigators.

DOE investigators are now required to update their financial disclosures within 15 days (instead of 30 days) of any new actual, apparent, or potential COI.

• More frequent COI training for all investigators.

All investigators, not just DOE investigators, are now required to complete a COI training every two years. The Final Rule requires only DOE investigators to complete a COI training every two years, but we are requiring all investigators to retrain every two years (note: many investigators are already doing so annually through the research security training and investigators in Health Sciences perform it annually in accord with standards established by Health Sciences).

• Expanded scope of COIs for DOE projects.

For DOE projects, a financial COI now includes actual, potential, or apparent COIs (not just actual or apparent COIs).

• Additional COI reporting to DOE.

The COI Office must now report to DOE the following at the time of application, at time of award, and annually: (1) unmanageable COIs, (2) all COIs related to foreign government-based entities (i.e., foreign governments or any other entities owned, funded, or otherwise controlled by a foreign government), and (3) other information required by the terms and conditions of each award. The COI Office must also “promptly” report noncompliance to the DOE. See more about new required reviews at the proposal stage at https://coi.utah.edu/guidance-for-coi-review-due-in-proposal-applications.php. 

• Additional COI requirements on subrecipients of DOE funding.

The University will, via contract, require subrecipients of DOE funding to comply with the new/modified COI requirements described above. 

New COC Rule (R1-006F) for DOE Investigators:

The new Conflict of Commitment requirements described below apply only to DOE investigators.

• Definition of “Conflict of Commitment (COC).”

A “COC” is defined by the DOE Final Rule as “[a] situation in which an individual accepts or incurs conflicting obligations, whether foreign or domestic, between or among multiple employers or other entities.” Examples of COCs include conflicting commitment of time and effort, obligations to improperly share or withhold info, foreign talent recruitment, etc.

• Type of COCs to be identified, reviewed, and managed (if appropriate).

A COC includes an actual, potential, or apparent COC.

• Timeframe to update financial disclosures.

DOE investigators must update their financial disclosures within 15 days of any new, actual, potential, or apparent COC.

• COC training.

DOE investigators must complete a COC training every two years.

• Timing of COC review by supervisors.

DOE investigators must undergo COC review by their supervisor of their BRR financial disclosures prior to applying for DOE funding and throughout the duration of the DOE award.

• COC reporting to DOE.

The COI Office will report to DOE the following at the time of application, at time of award, and annually: (1) unmanageable COCs and (2) all COCs related to foreign government-based entities (i.e., foreign governments or any other entities owned, funded, or otherwise controlled by a foreign government). The COI Office will also “promptly” report noncompliance to the DOE. See more about new required reviews at the proposal stage at https://coi.utah.edu/guidance-for-coi-review-due-in-proposal-applications.php. 

• COC requirements for subrecipients of DOE funding.

The University will, via contract, require subrecipients of DOE funding to comply with the new COC requirements described above.