Increasingly, federal sponsors of contracts, grants and cooperative agreements ask applicants to disclose if actual or potential organizational or consulting conflicts of interest exist. OCIs differ from individual financial conflicts of interest. Requests for OCI information appear in the “Eligibility,” “Organizational Conflicts of Interest” or other sections of funding opportunity announcements.

Organizational conflicts of interest means that because of relationships with a parent company, affiliate, or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. (2 CFR 200.318(c)(2))

OCIs relate to the university and its employees as one organization. When a university employee consults with or provides service to a federal agency, the agency considers that person a representative of the university, regardless that the individual made a private consulting arrangement, including a non-disclosure agreement.

Consulting or providing services includes:

• Providing scientific, engineering or technical direction.

• Serving as an advisor and providing analysis, assistance or evaluation services.

• Preparing specifications or work statements for funding opportunities.

Organizational conflicts may result when an individual:

• Has access to information not available to others who compete for funding.

• Contributes to developing a scope of work for a Request for Proposal and later ASU researchers respond to the RFP.

• Evaluates proposals or products developed by the university or a competitor.

Faculty participation in federal agency peer review committees, proposal development, or performance on a sponsored research, instruction or services project is not considered an OCI.

Federal regulations concerning OCI are intended to ensure that contracting serves the public interest and the contracting process is conducted objectively, without bias or unfair advantage.

To respond to sponsor’s application requirements as may be applicable, proposed key personnel, sub-awardees, and consultants must disclose activities and relationships that are or may be perceived as OCIs. If a potential OCI is identified, the Research Advancement Administrator informs the Proposals and Negotiations Team’s Grants and Contracts Officer who arranges for an OCI review. Objectives of an internal OCI review are to determine if an actual or perceived conflict exists, develop a response to the sponsor as may be required in the Funding Opportunity Announcement, and develop a plan to manage, mitigate or avoid the conflict.

Please send questions to [email protected].

References

• Office of Management and Budget “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” 2 CFR 200.318 and 2 CFR 215.42.

• FAR Subparts 2.101 and 9.5 and FAR Agency Supplements (e.g., DFARS 209.5, NFS 1809.500).