PURPOSE OF THIS POLICY

Organizational conflicts of interest (OCOI) are described in the federal regulations and policies and can arise when members of the University assist in the development of new federal programs or federal contract specifications and subsequently compete as applicants for those same new programs or contracts.

The OCOI policy is intended to identify OCOI and manage them to mitigate or eliminate potential bias or unfair advantages that may affect or be perceived to affect University efforts to compete for federal support.

APPLICATION OF THIS POLICY

All individuals involved with the conduct and administration of federally sponsored award activities must comply with this policy.

DEFINITIONS USED IN THIS POLICY

Organizational Conflict of Interest (OCOI): FAR §2.101 defines an organizational conflict of interest as “because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the Government, or the person’s objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage.”

An OCOI may exist in three categories outlined in the federal regulations and policies: Unequal Access to Information, Impaired Objectivity, and Biased Ground Rules

POLICY STATEMENT

The University will take all reasonable measures to avoid the occurrence of an actual or perceived OCOI. The University will disclose an OCOI promptly and accurately to the affected funding agency or agencies and seek approval with contracted work based on the development and implementation of a management plan, if required.

POLICY PROVISIONS

Administrators and researchers are required to disclose any outside activity they have engaged in on behalf of the U.S. Government that may give rise to an OCOI in Kuali COI as part of the University’s annual outside activity disclosure and certification process. Such activities may have been undertaken as an employee of the University or independently as a consultant or volunteer.

OCOI will be disclosed to the federal sponsor per the requirements of the funding opportunity. If directed by the sponsor, a management plan will be developed. The applicable management measures may be outlined in the OCI Avoidance Plan that is shared with the sponsor.

COMPLIANCE WITH THIS POLICY

Compliance with this policy is required. For questions, please contact the Office of the Vice President for Research.

REFERENCES

• Subpart 9.5 - Organizational and Consultant Conflicts of Interest | Acquisition.GOV
• Department of Energy Interim Conflict of Interest Policy Requirements for Financial Assistance
• 2 CFR part 910
• Department of Energy (DOE) Financial Assistance Regulations 2 CFR part 200, e.g., 200.112, 200.318

PROCEDURES, FORMS AND TOOLS

OCOI must be disclosed as an outside activity through Kuali COI. Proposals that require an OCOI attestation by a sponsor should be sent to the COI Office for review.