UMGC Policy IV-2.00 UMGC Policy on Conflict of Interest in Research and Development

1. Introduction
   University of Maryland Global Campus (UMGC) encourages innovation through research and development, and in furtherance of such innovation UMGC may at times collaborate with external entities. The State Ethics Law in recognizing the positive impact of collaborative research and development, allows for the exemption of USM personnel from some of that law's conflict of interest provisions, which otherwise would preclude such activities, provided that USM and USM institutions adopt policies and procedures that meet the specified requirements. In accordance with University System of Maryland (USM) III-1.11 Policy on Conflicts of Interest in Research or Development, USM VIII-15.00 Policy on High Impact Economic Development Activities, and the State Ethics Law, in addition to other existing USM and UMGC policies on professional commitment of faculty, outside consultancy, and conflict of interest, this Policy sets forth the procedures necessary to obtain such exemptions from the State Ethics Law when UMGC collaborates with external entities for research and development.
2. Scope
   All UMGC officials and employees shall comply with this Policy.
3. Definitions
   1. Designated Official: The UMGC staff member(s) tasked with reviewing the disclosure form.
   2. Harmful Interest: An interest which is found by the Designated Official to be so influential as to impair impartiality in the conduct of research, the interpretation of the results of the research, and/or the determination of research or other professional or employment priorities.
   3. Relationship: Means any interest, service, employment, gift, or other benefit or relationship. "Relationship" includes any relationship of the spouse or other relative (father, mother, sister, brother, or child) of an officer or employee if such relationship would create restrictions on the officer or employee under the conflict of interest provisions of the Public Ethics Law
   4. Research or development: Means basic or applied research or development and includes:
      1. The development of marketing of university-owned technology;
      2. The acquisition of services of an official or employee by an entity for research and development purposes; or
      3. Participation in State economic development programs.
   5. State Ethics Law: The law contained in the Annotated Code of Maryland – General Provisions – Title 5 – Maryland Public Ethics Law.
4. Policy Statements
   1. Guiding Principles and Standards
      1. Integrity, personal accountability, respect, and high ethical standards are principal factors in avoiding conflicts of interest or other harmful interests, and members of the UMGC community are expected to conduct their activities in a manner that reflects UMGC's core values.
      2. The term "conflicts of interest" denotes situations in which current or former officials or employees of UMGC are in a position to gain financial advantage or personal benefit arising from their status (or former status) as UMGC officials or employees. The State Ethics Law generally restricts the relationships that a University employee may have with an external entity that does or seeks to do business with the University due to the potential for such conflicts of interest.
      3. Full and prompt disclosure and the availability of advice and counsel are vital to resolving and managing conflicts of interest and other harmful interests.
         1. Present or former officials or employees of UMGC who have or may have a relationship with an entity engaged in research or development shall disclose such relationship as described in the Procedures.
         2. Individuals are encouraged to reach out to their supervisor or the Office of Legal Affairs for guidance on conflicts of interest.
   2. A present or former official or employee of UMGC may have a relationship (as defined herein) with an entity engaged in research or development, or an entity having a direct interest in the outcome of research or development, which relationship would otherwise be prohibited by the conflicts of interest provisions of the State Ethics Law, if such relationship is disclosed and approved by the UMGC President in accordance with the Procedures effectuating this Policy.
   3. A relationship for which an exemption is claimed shall not improperly give an advantage to an entity with which the relationship is maintained, lead to misuse of institution learners, employees or resources for the benefit of an entity with which the relationship is maintained, or otherwise interfere with the duties and responsibilities of the exempt official or employee.
   4. If the conditions within this Policy are not met, the UMGC official or employee claiming the exemption from the State Ethics Law shall not obtain such exemption and shall not maintain the relationship with the entity.
   5. Nothing in this Policy allows an exemption on the part of any official or employee of UMGC from the provisions of §5-505 (Gifts or honoraria) of the State Ethics Law. Further, an official or employee of UMGC shall not:
      1. Represent a party for contingent compensation in any matter before the USM Board of Regents (BOR) or before the State's Board of Public Works; or
      2. Intentionally misuse his or her position with UMGC or the USM for personal gain or for the gain of another person.
   6. Specific Officials
      1. The President, a Senior Vice President, a Vice President or an employee holding a similar position may have such a relationship only if the BOR makes the following findings:
         1. That participation by, and the financial interest or employment of, the official is necessary to the success of a research or development activity benefitting UMGC or USM; and
         2. That any conflict of interest can be managed consistent with the purposes of relevant provisions of the State Ethics Law.
      2. The BOR shall notify the Maryland State Ethics Commission ("Ethics Commission") of any approvals granted under this Section. If the Ethics Commission disagrees with the BOR approval, within 30 days after receipt of the notice the Ethics Commission shall notify the BOR of the reason for its disagreement. Upon receipt of the notice from the Ethics Commission, the BOR shall reexamine the matter.
5. Requirements for Doing Business with High Impact Economic Development Activity Entities
   1. Subject to State law and Board of Regents' policy, UMGC may enter into contractual arrangements or agreements with High Impact Economic Development Activity entities for the provision of services, products, or other needs of the institution. High Impact Economic Development Activity is defined by statute and in USM VIII-15.00 Policy on High Impact Economic Development Activities.
   2. A present or former official or employee of UMGC may have a relationship (as defined herein) with a High Impact Economic Development Activity entity, which relationship would otherwise be prohibited by the conflict of interest provisions of the State Ethics Law, if such relationship is disclosed and approved by the President in accordance with this Policy.
   3. For procedures related to actual or potential conflicts of interest of the President, a Senior Vice President, a Vice President, or an employee holding a similar position, refer to the Specific Officials section under Policy Statements.
6. Enforcement
   UMGC officials or employees who violate this Policy or the implementing Procedures may be subject to disciplinary action up to and including termination of employment. In addition, the Ethics Commission may be notified of violations of this Policy and Procedures.
7. Reporting
   UMGC will submit to the USM Chancellor a quarterly report which shall include all approvals granted under this Policy.
8. Recordkeeping
   1. Following the President's final determination, the UMGC Office of Legal Affairs shall file each disclosure form with the Ethics Commission.
   2. UMGC shall maintain records related to all disclosures under this Policy in accordance with applicable Maryland law and UMGC's Records Retention Policy.
9. Related Policies, Procedures, and References
   1. Procedures for UMGC Policy on Conflict of Interest in Research and Development
   2. USM III-1.11 Policy on Conflicts of Interest in Research or Development
   3. USM VIII-15.00 Policy on High Impact Economic Development Activities

*formerly Policy 129.00 Conflict of Interest in Research and Development