Page History
Note: Additional FA Topics Guidance Pages are available at OCI's Training Portal.
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All discretionary programsgrants and cooperative agreements |
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Overview
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Non-Federal entities who receive Federal grants or cooperative agreements must disclose any real or perceived conflicts of interest in relation to those awards to the Federal awarding agency (or pass-through entity) in accordance with established policies by the Federal agency or pass-through entity. apply for and receive Federal financial assistance awards are required to "establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain." [2] Broadly, applicants (and recipients) need to address any relationship or matter which might put themselves, their employees, or their subrecipients in conflict with their responsibilities under the award and outside interests. During the application process, non-Federal entities must disclose in writing any potential conflicts of interest related to the funding opportunity. If disclosed, the Federal agency or pass-through entity may elect to work with the applicant on a mitigation plan as part of the Federal awards terms and conditions.
Authorities
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2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Anchor 200.112 200.112
§200.112 Conflict of interest.
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[80 FR 43308, July 22, 2015]
§200.318(c)
(1) The non-Federal entity must maintain written standards of conduct covering conflicts of interest and governing the actions of its employees engaged in the selection, award and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-Federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-Federal entities may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-Federal entity.
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) If the non-Federal entity has a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, the non-Federal entity must also maintain written standards of conduct covering organizational conflicts of interest. 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.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014; 80 FR 43309, July 22, 2015]
The Council on Financial Assistance Reform's (COFAR) Frequently Asked Questions on 2 CFR 200 (July 2017 update)
200.112
.112-1 Conflict of Interest
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A: Yes. When a subaward for scientific collaboration on a research and development project is included in the application for assistance or requested for prior approval and approved by the Federal awarding agency, the disclosure of any potential nonscientific conflict of interest, if required by the Federal awarding agency, provides sufficient information to the Federal awarding agency for the purpose of compliance with section 200.112.For more information on the 2 CFR 200 faqs, click here.
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Department of the Interior
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§1402.112 What are the conflict of interest policies?
This section shall apply to all non-Federal entities. NOFOs and financial assistance awards must include the full text of the conflict of interest provisions in paragraphs (a) through (e) of this section.
(a) Applicability. (1) This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.
(2) In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.
(b) Notification. (1) Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR 200.112.
(2) Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.
(c) Restrictions on lobbying. Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR part 18 and 31 U.S.C. 1352.
(d) Review procedures. The Financial Assistance Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it.
(e) Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in 2 CFR 200.338, Remedies for noncompliance, including suspension or debarment (see also 2 CFR part 180).
[84 FR 45635 August 30, 2019]
Frequently Asked Questions
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As a recipient, how do I ensure I'm compliant with the Uniform Guidance and DOI policy on conflicts of interest?
In the application package, non-Federal entities, to include applicants, must disclose in writing any conflict of interest in accordance with 2 CFR 200.112 (2 CFR 1402.112(b)).
I plan to subaward Federal funds. What are my responsibilities as a pass-through entity regarding potential conflicts of interest by my subrecipient?
As a pass-through entity, you must communicate the Federal awarding agency's conflict of interest disclosure policy to your subrecipients, as stated in 2 CFR 200.112.
I have received a Federal subaward and may have a conflict of interest. Do I report this to the Service?
No. You must report this to the pass-through entity who will communicate, if needed, with the Service.
I know avoiding conflicts of interest is very important under Federal procurement rules. Are there conflict of interest requirements for contracts under Federal financial assistance awards?
Yes. 2 CFR 200.318(c)(1) requires non-Federal entities to maintain written conflict of interest standards for contractual activities under Federal awards.
How does the Service inform applicants and recipients of conflict of interest requirements?
FWS funding opportunity announcements and Federal awards include conflict of interest disclosure requirements for applicants and recipients. Please refer to the applicable notice of funding opportunity announcement or your notice of award, or contact the U.S. Fish and Wildlife Service Technical Representative, for information regarding conflict of interest.
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DOI-AAAP 0008 - Conflict of Interest and Mandatory Disclosures for Financial Assistance:Department of the Interior Implementation of 2 CFR Part 200, Sections 200.112 and 200.113
U.S. Fish and Wildlife Guidance
Issuing a New Financial Assistance Award Guidance (1/6/2017)
B. Reviewer conflict of interest certification: Discretionary programs issuing both competitive and single source awards must provide all staff reviewers, peer reviewers, evaluators, panel members, and advisors a copy of Department policy DOI-AAAP-0008. Before participating in any review or evaluation process, all staff reviewers, peer reviewers, evaluators, panel members, and advisors must sign and return to the program office point of contact the Department of the Interior Conflict of Interest Certification attached to DOI-AAAP-0008. Reviewers participating in more than one review panel in a fiscal year can sign a signal certification covering all reviews in that fiscal year, as long as that intention is clearly noted on the signed certification. Such reviewers must sign at least one new certification each fiscal year before participating in any review or evaluation for the year. [....] All discretionary programs must maintain signed reviewer conflict of interest certification statements related to approved awards following the same records schedule as for the program’s official award files (see Service policy 283 FW 2 for more information), in either the official award file or a centralized subject-matter file.
Frequently Asked Questions
What is the purpose of this section of the Uniform Guidance?
The purpose of this section and much of the Uniform Guidance is to help to improve Federal awards performance and outcomes, in addition to ensuring the financial integrity of taxpayer funds in partnership with non-Federal stakeholders.
Does the Department of Interior have a conflict of interest policy for its employees?
Yes, the Department of Interior adopted a conflict of interest policy (DOI-AAAP-0008) on December 22, 2014.
What does the Department of Interior policy say concerning those employees who evaluate applications for Federal financial assistance?
The policy says that upon receipt of a memorandum of appointment, each proposal evaluator and/or advisor shall sign and return the Conflict of Interest Certificate to the Grants Officer. If an actual or potential conflict of interest exists, the appointee shall not be allowed to evaluate or provide advice on a potential applicant's proposal or provide advice on a potential applicant's proposal until the conflict of interest has been resolved with the servicing Ethics Counselor.
What if an evaluator signs the Conflict of Interest Certificate and then later becomes aware of a potential conflict of interest during the review process?
The Department of Interior policy clearly states that evaluators and advisors must immediately disclose in writing to the Grants Officer as soon as it becomes known that an actual or potential conflict of interest exists. The Grants Officer must then obtain the assistance of the servicing Ethics Counselor in order to reach an opinion or resolution and a record of this must be included in the official award file.
Where are the signed Conflict of Interest Certificates housed?
All signed certificates from the proposal evaluators and advisors must be retained in the master files for the Funding Opportunity Announcement.
What are some examples of situations that may represent a potential or actual conflict of interest?
Some potential conflict of interest situations include: (1) financial interest, including ownership in stocks and bonds, in a firm which submits or is expecting to submit an application; (2) outstanding financial commitments to any applicant or potential applicant; (3) employment in any capacity, even if otherwise permissible, by any applicant or potential applicant; (4) employment within the last 12 months by any applicant or potential applicant; (5) any vested pension or reemployment rights, or interest in profit sharing or stock bonus plans; (6) employment of any member of the immediate family by any applicant or potential applicant; (7) positions of trust that may include employment, past or present, as an officer, director, trustee, agent, attorney, ect; (8) a close personal relations that may include a childhood or other friend, sibling, or other family relations that may compromise or impair the fairness and impartiality of the proposal evaluator or advisor and grants officer during the proposal evaluation and award selection process; (9) negotiation of outside employment with any applicant or potential applicant.
What is the financial assistance recipients role in complying with 2 CFR 200.112?
The 2 CFR 200 requires all non-Federal entities to disclose in writing any potential conflict of interest to the Federal awarding agency or pass-through entity in accordance with the applicable Federal awarding agency policy.
As a recipient of financial assistance awards, how do I become aware of the Department of Interior's conflict of interest policy?
All Department of Interior financial assistance awards will include a term and condition that prohibits the recipient, employees of the recipient, and subrecipients conflict of interest. Recipients should review this term and condition in the notice of award concerning the Department of Interior's conflict of interest policy.
Learning Aids
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Related Pages
Mandatory Disclosures (2 CFR 200.113) - NEED TO DEVELOP THIS PAGE AND CREATE A LINK TO IT.
Resources
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Conflict of Interest (Federal awarding agencies)
Resources
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DOI-AAAP-0008_Conflict of Interest Policy.pdf
DOI_Conflict of Interest Certificate.pdf
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Anchor references references
References
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1. "Conflict of Interest." Merriam-Webster.com. Merriam-Webster, n.d. Web. 29 Dec. 2017.
2. “5 CFR 2635.501 - Overview.” LII / Legal Information Institute, www.law.cornell.edu/cfr/text/5/2635.501.
3. Scope, DOI AAAP 0008
§ 200.112 Conflict of interest.
SF-424 Assurances Form (SF-424B/D).
