Organizational Conflict of Interest (OCI)
Overview
An Organizational Conflict of Interest (OCI) occurs when the University's institutional relationships, activities, financial interests, or responsibilities could impair—or appear to impair—its objectivity in conducting sponsored activities or provide an unfair competitive advantage.
Unlike an individual Conflict of Interest (COI), which involves a researcher's personal financial interests or relationships, an OCI involves circumstances affecting the University or another organizational entity participating in a project.
Certain federal sponsors require institutions to identify, evaluate, disclose, manage, and, when necessary, eliminate Organizational Conflicts of Interest before award and throughout the performance of sponsored activities. These requirements help ensure that research, procurement, and other sponsored activities are conducted objectively and without institutional bias.
The Office of Research Security (ORS) administers the University's Organizational Conflict of Interest Program and works with investigators, departments, and administrative offices to identify and address potential OCI concerns before sponsored activities begin.
Federal Sponsor Requirements
Certain federal agencies—including the Department of Defense (DoD), ARPA-H, and other agencies using the Federal Acquisition Regulation (FAR)—require applicants to disclose potential Organizational Conflicts of Interest during proposal submission or prior to award.
Federal requirements are intended to ensure that organizations competing for federal funding:
- maintain objectivity in performing research or other work;
- do not obtain an unfair competitive advantage during the proposal process; and
- appropriately protect proprietary, confidential, or source-selection information.
Depending on the sponsor, the University may be required to certify that no OCI exists or submit an OCI mitigation plan before an award can be made.
Common Types of Organizational Conflicts of Interest
Federal guidance generally recognizes three common categories of OCI.
Unequal Access to Information
The University obtains non-public, proprietary, confidential, or source-selection information through one activity that could provide an unfair competitive advantage in another federal procurement or funding opportunity.
Impaired Objectivity
The University is placed in a position where it must evaluate its own work, products, services, recommendations, or those of a closely related organization, creating concerns regarding impartiality.
Biased Ground Rules
The University, or one of its employees, assists a federal agency in preparing specifications, work statements, evaluation criteria, or other requirements for a future funding opportunity and later seeks to compete for that same work.
Examples
Examples of activities that may create an Organizational Conflict of Interest include:
- A faculty member assists DARPA in developing technical requirements for a future Broad Agency Announcement (BAA), and the University later submits a proposal in response to that announcement.
- A University researcher develops technical specifications or evaluation criteria for a federal agency that are incorporated into a future solicitation.
- A project team gains access to proprietary or source-selection information while supporting a federal agency and later competes for related work.
- The University is asked to independently evaluate products, services, or research that it previously developed or performed.
University Disclosure Requirements
The University's annual Disclosure of External Interests & Commitments process does not replace sponsor-specific Organizational Conflict of Interest requirements.
When required by a sponsor, investigators, key personnel, subcontractors, consultants, and other project participants may be required to complete additional Organizational Conflict of Interest disclosures during proposal preparation or award administration.
Early disclosure allows the University to determine whether an actual or potential OCI exists and whether mitigation or sponsor notification is required.
Organizational Conflict of Interest Review Process
When an OCI requirement applies, the Office of Sponsored Programs and the Office of Research Security work together to:
- review the proposed project and sponsor requirements;
- identify actual or potential Organizational Conflicts of Interest;
- evaluate the significance of the conflict;
- determine whether the conflict can be avoided, neutralized, or mitigated; and
- prepare sponsor certifications or mitigation plans when required.
Managing Organizational Conflicts of Interest
When an Organizational Conflict of Interest is identified, the University will determine the most appropriate management strategy.
Avoid
Eliminate the conflict by modifying project personnel, removing affected work, or declining activities that create the conflict.
Neutralize
Implement measures that remove the unfair competitive advantage or eliminate concerns regarding impaired objectivity.
Mitigate
Develop and implement a management plan that reduces the conflict to an acceptable level while protecting the integrity of the research and the federal procurement process.
Examples of OCI Management Strategies
Management measures may include:
- Sponsor notification and approval
- Recusal of conflicted individuals
- Independent technical review
- Firewalls and restricted access to sensitive information
- Separate project personnel or reporting structures
- Protection of proprietary or source-selection information
- Other sponsor-approved mitigation measures
Frequently Asked Questions
How do I know if my proposal needs an OCI review?
An OCI review may be required when a federal solicitation, award, or contract includes Organizational Conflict of Interest requirements or when the proposed activity presents circumstances that could create an actual or potential OCI.
Contact the Office of Research Security (ORS) if you are uncertain whether an OCI requirement applies to a proposal or sponsored activity.
Are University researchers subject to OCI requirements?
Yes. Although an Organizational Conflict of Interest concerns the University as an organization, the activities of individual researchers and other University personnel may create or contribute to a potential OCI.
For example, prior work performed by a researcher for a federal agency may create an OCI concern if the University later seeks to compete for related work.
What should I do if I believe an OCI may exist?
Contact ORS as early as possible. Potential OCI concerns should be identified during proposal development or whenever relevant circumstances change during an active award.
ORS will coordinate with the Office of Sponsored Programs (OSP) and other University offices, as appropriate, to review the circumstances and determine whether disclosure, mitigation, sponsor notification, or other action is required.
Does completing my University Disclosure Profile satisfy OCI disclosure requirements?
No. The University's Disclosure of External Interests & Commitments process does not replace sponsor-specific Organizational Conflict of Interest requirements.
When required by a sponsor, investigators or other project participants may need to complete additional OCI disclosures during proposal preparation or award administration.
What is an OCI Mitigation Plan?
An OCI Mitigation Plan documents measures used to address an identified Organizational Conflict of Interest when mitigation is permitted and appropriate.
Depending on the circumstances, measures may include restricted access to information, separation of project personnel or responsibilities, independent review, recusal, sponsor notification, or other sponsor-approved controls.
Not every OCI can be mitigated. In some circumstances, the conflict may need to be avoided or neutralized.
How long does an OCI restriction last?
There is no single period that applies to every OCI. The duration depends on the nature of the conflict, applicable sponsor requirements, the solicitation or award terms, and any avoidance, neutralization, or mitigation measures established for the activity.
Some restrictions may also affect the University's eligibility to compete for related future work.
Need Assistance?
Questions regarding Organizational Conflicts of Interest should be raised as early as possible during proposal development or whenever circumstances change during an active award.
Office of Sponsored Programs (OSP)
Provides assistance with sponsor proposal requirements, certifications, contract terms, and sponsor communications related to Organizational Conflicts of Interest.
Office of Research Security (ORS)
Provides assistance with Organizational Conflict of Interest reviews, sponsor disclosure requirements, mitigation planning, research security considerations, and coordination with other University compliance offices.