News
SR News & Updates: August 19, 2026
- DOE Final Rule on Conflict of Interest and Conflict of Commitment
- Research Security and Risk Mitigation Requests
- Fiscal Year-End Reminders
- New Contracts Team Members Join Sponsored Research
DOE Final Rule on Conflict of Interest and Conflict of Commitment
The Department of Energy (DOE) released a new final rule on July 16, 2026, that expands requirements related to conflicts of interest (COI), conflicts of commitment (COC), and organizational conflicts of interest (OCOI). To ensure compliance, the Northwestern Conflict of Interest Office (NUCOI) must review all DOE proposals, including direct and flow-through awards, at the time of proposal submission. Effective immediately, research administrators should route DOE proposals to NUCOI through a CERES ancillary review request ("COI same-day") and include the funding opportunity announcement (NOFO) when available. Key changes in the 2026 policy include proposal-stage reporting of certain COIs/COCs, expanded requirements for foreign-related conflicts, biennial COI training, and a greater focus on identifying conflicts of commitment. Additional guidance is available on the NUCOI Proposal Preparation webpage.
Research Security and Risk Mitigation Requests
Federal agencies continue to increase their scrutiny of research security and potential foreign influence risks. The National Science Foundation (NSF) and the Air Force Office of Scientific Research (AFOSR) are requesting detailed information about covered individuals' affiliations during both the pre-award and post-award stages of sponsored projects. All such requests must be reviewed by Northwestern's Export Controls and International Compliance (ECIC) team. If a principal investigator (PI) receives a request that does not include Sponsored Research (SR) or ECIC, departments should promptly forward it to SponsoredResearch@northwestern.edu.
The review process is as follows:
- Sponsored Research (SR) initiates an ECIC ancillary review.
- ECIC meets with the PI and, when available, research administrators to review the request and any draft response.
- Research administrators may be asked to assist with updates or clarifications to required disclosures and supporting documents, including:
- Biosketches
- Current and Pending (Other) Support documents
- Publications and other collaborator information
- After ECIC completes its review, SR signs any required certification letters or statements and submits the final response to the sponsor.
Fiscal Year-End Reminders
As Sponsored Research navigates the increased volume of activity that accompanies fiscal year-end, research administrators are encouraged to keep the following reminders in mind:
- Award Setups: As of August 14, Sponsored Research is no longer holding award setups pending departmental items and is proceeding with setup using restricted budgets when necessary. Beginning September 1, departments will need to submit an Award Modification Request (AMR) with outstanding items and request any necessary rebudgeting or opening of restricted account codes.
- Notices of Award (NOAs): If a PI or department receives an NOA that does not copy Sponsored Research, please forward it promptly to SponsoredResearch@northwestern.edu. SR cannot initiate award setup until the award notice is received.
- Just-in-Time (JIT) Requests: JIT and RPPR follow-up requests should be routed through Sponsored Research. PIs should not submit responses directly to sponsors, as final submissions must be reviewed and submitted by an Authorized Organizational Representative (AOR).
- Award Modification Requests (AMRs): If an AMR is associated with a sponsor deadline, include the deadline in the AMR short title and upload the sponsor documentation confirming the deadline to help facilitate prioritization.
- Checking Award or AMR Status: The Pre-Am and BSO teams are experiencing a particularly high volume of work during fiscal year-end, and response times may be longer than usual. Before reaching out to SR for a status update, use the status tracking tools available in CERES to determine the current status of your award or AMR. This helps SR staff focus on processing transactions and addressing issues that require action. If follow-up is needed, use the “Send E-mail" feature within the CERES record, which provides the most efficient and transparent communication path.
New Contracts Team Members Join Sponsored Research
Sponsored Research's Contracts and Award Acceptance Team is pleased to welcome three new Associate Contracts Officers: Isabelle (Bella) Nasser, Casey Needham, and Lillian Swift, who joined the team earlier this month. As they complete onboarding and training, research administrators can expect to begin working with them in support of research contract activities.