Regulatory Requirements and Resources
Federal Agency Rules
Public Health Service (PHS) Regulations
- Responsibility of Applicants for Promoting Objectivity in Research
- Financial Conflict of Interest Tutorial
Department of Energy
Interim Conflict of Interests Policy Requirements – It should be noted that DOE’s definition of “investigator” is broader than NIH and includes additional mandatory training for “investigators”.
Food and Drug Administration
Rules on Investigator Conflict of Interest
National Aeronautics and Space Administration (NASA)
National Science Foundation (NSF) Regulations
Proposal and Award Policies & Procedures (2023) – See Chapter IX: Recipient Standards
Other Federal Regulatory Guidance
- Federal Acquisition Regulations: Organizational Conflicts of Interest
- Government Accountability Office: Agency Actions Needed to Address Foreign Influence – Includes recommendations that agencies adopt financial COI and COC requirements for awardees.
- National Security Presidential Memorandum-33 (NSPM-33) – Sets forth the requirement that researchers at academic institutions fully disclose information that can reveal potential conflicts of interest and conflicts of commitment.
- Guidance for Implementing National Security Presidential Memorandum-33 – Consistent with the NSPM-33, this guidance includes a significant focus on upholding transparency through clearly-articulated requirements and processes for appropriate disclosure of information related to potential conflicts of interest and conflicts of commitment.
- Creating Helpful Incentives to Produce Semiconductors (CHIPS) and Science Act – The act includes direction to NSF on clear prohibitions and disclosure requirements around foreign talent recruitment programs and potential conflicts of interest.
Council on Government Relations
- Principles for Evaluating Conflict of Commitment Concerns in Academic Research Version 2.0 September 2021
- Analyzing Personal Financial and Institutional Conflict of Interest in Academic Research Contexts
- COGR Response to NASA’s New Conflict of Interest Policy
- COGR Comparison of the Department of Energy Interim Financial Conflict of Interest Policy and Public Health Service Regulations for Promoting Objectivity in Research
- Recognizing and Managing Conflicts of Interest