University of Maryland Policy on Conflict of Interest and Conflict of Commitment

The University of Maryland (“the University”) strives to transform lives through research and creative scholarship by discovering new knowledge, enabling groundbreaking discoveries that address pressing global challenges, and igniting human creativity to benefit the state, the nation, and the global community. The breadth of research across the University is fueled by its researchers, who are developing innovative, research-driven solutions to critically important national and international challenges. The University’s reputation as a top-tier research institution depends on its reputation for research integrity. In this spirit, the University expects all research undertaken at the institution to meet the highest standards for integrity.

The University’s mission is furthered when its members forge links outside the University as scholars, artists, consultants, participants in Research and Development ventures, advisors to government entities, and in other capacities that relate to their professional expertise. The University encourages the development of such links. However, the University recognizes that these interactions can give rise to real, potential, or apparent ethical, legal, financial, or other Conflicts of Interest (COIs), which may result in legal or reputational harm to the individual(s) and/or the University. The University also recognizes that while these activities may enhance a University Employee’s or a Graduate Research Assistant’s (GRA’s) professional development, they also have the potential to interfere with their Institutional Responsibilities and create Conflicts of Commitment (COCs).

The University of Maryland Policy on Conflict of Interest and Conflict of Commitment (II-3.10[A]) (“this Policy”) and its related Disclosure and Conflict Management Guidelines align with federal and state laws and regulations and Funding Agency guidelines associated with Sponsored Projects, and provide guidance that enables Outside Professional Activities to continue while avoiding situations that harm the individual and/or the University through real, potential, or apparent ethical, legal, or financial conflicts. This Policy also implements the University System of Maryland (USM) policies on Professional Commitment of Faculty (II-3.10) and Conflicts of Interest in Research or Development (III-1.11).

A.    “Conflict(s) of Commitment (COC)” means situations where a University Employee’s Outside Professional Activities, external Relationships, or Significant Financial Interests interfere or compete with the University’s educational, research, or service missions or impede the University Employee’s ability to perform or fulfill the full range of their Institutional Responsibilities, as stipulated under Maryland Public Ethics Law. This applies regardless of whether the activity holds value to the University or contributes to the employee's professional development.

B.    “Conflict(s) of Interest (COI)” means situations in which University Employees and GRAs or their Family Member(s) are in a position to gain, or appear to gain, financial advantages or personal benefits stemming from their roles within the University. Such benefits can occur due to Outside Professional Activities, external Relationships, Significant Financial Interests, or as a result of their research, administrative, or educational actions or decisions made while working at the University.

C.    “COI Administrator” means the individual appointed by the University’s Vice President for Research to support the implementation of this Policy and to oversee the work of the Disclosure Office and COI Committee.

D.    “COI Committee” means the advisory committee appointed by the President of the University in accordance with this Policy and the Disclosure and Conflict Management Guidelines and based on the authority granted by the Maryland State Ethics Commission (SEC) regarding conflicts associated with research or development.

E.    “COI Official” means the University’s Vice President for Research.

F.    “Consulting” means any additional activity beyond a University Employee’s or a GRA’s Institutional Responsibilities that is professional in nature and based on their discipline or area of expertise. The activity may be paid or unpaid, and such activities primarily benefit the University Employee or the GRA and not the University.

G.    “Current & Pending (Other) Support” means information submitted to Funding Agencies in proposals for Sponsored Projects on all the resources made available or expected to be made available to an individual in support of their research and development efforts. This includes but is not limited to resources from both foreign and domestic sources; those given through an award and those given directly to the individual; monetary resources, in-kind resources, and support with no monetary value; and travel support.

H.    “Direct Report(s)” means individuals who are supervised by, taught/advised by, or report to a University Employee, or individuals who are within the reporting line under a University Employee or University administrator. Direct Reports serve in a subordinate role to the University Employee or University administrator, thereby creating a conflict and/or power imbalance. These individuals may include members of a University Employee’s research group or lab, their postdoctoral associates, University students who are currently in the University Employee’s course or research group, or University students for whom the University Employee serves as an advisor or as a voting member of their thesis or dissertation committee.

I.    “Disclosure(s)” means information that is required to be provided on all Outside Professional Activities, external Relationships, and/or Significant Financial Interests.

J.    “Disposition” means the final result of the review of a Disclosure. The review may result in a decision that no conflict exists, that the activity must be stopped due to an unmanageable conflict, or that a Management Plan is necessary to manage any possible COIs in accordance with Maryland Public Ethics Law and relevant USM and University policies.

K.    “External Entity(ies)” means an entity that is external to the University with which University Employees or GRAs may choose to engage. These may include but are not limited to entities such as domestic governments (U.S. federal, state, or local), foreign entities (governments, institutions, companies), domestic or international institutions or societies (academic, professional, commercial), philanthropic organizations, or companies (sole proprietorships, for profit companies whether publicly traded or not, non-profits, startups, or any other corporate entity regardless of whether they are registered to do business).

L.    “Family Member(s)” means a University Employee’s or a GRA’s spouse or domestic partner, parent, child, sibling, or other close relatives as defined in the USM Policy on Employment of Members of the Same Family (Nepotism) (VII-2.10).

M.    “Fiduciary Role(s)” means a role that requires an individual to make financial decisions on behalf of another individual(s) and/or entity. Titles that include terms such as executive, officer, director, or manager and positions with titles such as CEO, Director, Scientific Officer, Board of Directors, or Vice President are examples of designations that may indicate a role with fiduciary responsibilities.

N.    “Financial Conflict of Interest (FCOI)” means a Significant Financial Interest that affects, or could appear to affect, the design, conduct, or reporting of research.

O.    “Funding Agency” means any domestic or foreign entity that provides monetary support for a Sponsored Project to a University Employee or to the University on behalf of a University Employee. Funding Agencies may include but are not limited to entities such as the U.S. government and its agencies; U.S. state and local entities; foreign entities including governments and institutions; non-profit organizations; associations; or companies.

P.    “Gift” means any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, software, license, special access, equipment, equipment time, samples, research data, or other item having monetary value. A Gift also includes services as well as gifts of training, transportation, local or foreign travel, lodging, meals, and research hours, whether provided in-kind, by purchase of a ticket, payment in advance, or reimbursement after the expense has occurred. A Gift by definition is given without expectation of anything in return.  

Q.    “Graduate Research Assistant(s) (GRAs)” means a registered graduate student who is enrolled in a graduate degree program at the University and is participating in Sponsored Projects as a Graduate Assistant. For the purposes of this Policy, references to GRAs include Graduate Fellows.

R.    “Institutional Responsibilities” means a University Employee's or GRA’s primary duties and responsibilities at the University, as defined in their contract, job duties, offer letter, or other comparable documentation.

S.    “Intellectual Property” means traditional scholarly works, administrative works, inventions (whether or not patentable), software, research data, tangible research materials, trademarks and service marks, and associated legal rights to the same, as defined in the University of Maryland Intellectual Property (IP) Policy (IV-3.20[A]).

T.    “Management Plan” means a written plan provided by the University that describes how a conflict or potential conflict will be managed.

U.    “Next-Level Administrator (NLA)” means the administrator in the role immediately above a Unit Head. The NLA is typically the Dean of a College or School, or the Vice President of a Division or their designee. For non-departmentalized Colleges, the NLA is the Senior Vice President & Provost or their designee.

V.    “Outside Professional Activities” means any paid or unpaid activity with an External Entity that is beyond the scope of a University Employee's or GRA’s Institutional Responsibilities but is still related to their discipline, area of expertise, or the practice of their profession. Outside Professional Activities include both Professional Service and Consulting.

W.    “Professional Service” means a form of Outside Professional Activity that provides a service to governmental agencies and other entities such as peer review panels and advisory bodies to other universities and professional organizations; academic or professional journals; presentations to either professional or public audiences in such forums as professional societies and organizations, libraries, and other universities; and peer review activities undertaken for either for-profit or nonprofit publishers, including grant reviews. Professional Service provides a benefit to the University, academia, the discipline, and/or the public interest, and may or may not be remunerated by a small honorarium.

X.    “Relationship(s)” means any interest, activity, service, employment, Gift, or other benefit or association with an individual or entity not part of the state government that would be prohibited by Maryland Public Ethics Law if not reported on a Disclosure and approved according to this Policy, the Disclosure and Conflict Management Guidelines, and any other relevant USM and/or University policy.

Y.    “Research and Development” means basic or applied research, creative scholarship, and/or development and includes the development or marketing of University-owned Intellectual Property, the acquisition of services of a University Employee by an entity for research and development purposes, or participation in state economic development programs.

Z.    “Significant Financial Interest” means anything of monetary value, including, but not limited to, salary or other payments for services (e.g., Consulting fees or honoraria); equity interest (e.g., stocks, stock options or other ownership interests); Intellectual Property rights (e.g., patents, copyrights, and revenue from such rights); and/or positions outside of the University that involve a Fiduciary Role for an External Entity, whether compensated or not.

AA.    “Sponsored Project(s)” means monetary or non-monetary support provided by a domestic or foreign entity to the University to support specific research, instruction, or other activities of University Employees and/or GRAs.

BB.    “Supervisor(s)” means a University Employee with supervisory authority over other employees. This term is typically used for those with direct authority over one or more employees. The term can be used interchangeably with the term Unit Head throughout this Policy and the Disclosure and Conflict Management Guidelines.

CC.    “Unit” means a department, center, institute, division, or non-departmentalized College or School.

DD.    “Unit Head” means the administrator(s) responsible for a Unit and the individual(s) to whom a University Employee reports. A Unit Head may be a Director, Department Chair, Dean, Vice President, or a similar official in a non-academic Unit and also includes Supervisors in all references in this Policy.

EE.    “University Employee(s)” means all faculty and staff employed by the University, regardless of title, FTE, full- or part-time status, and also includes University Officials.

FF.    “University Official” means any individual(s) at the University who, because of their respective positions with the University, can affect or can reasonably appear to affect University processes for the design, conduct, reporting, review, or oversight of research and who have the authority to commit significant University resources. They include, but are not limited to, the President of the University, Assistant President, Vice Presidents, Associate and Assistant Vice Presidents, the Senior Vice President & Provost, Associate Provosts, Deans, Associate Deans, Department Chairs, Center and Institute Directors, and the Athletic Director, including those holding these positions in an interim capacity, as well as others who have discretionary authority to allocate resources related to the University enterprise as identified by any of the officials named previously. University Officials are also University Employees and are included in all references to University Employees.

1. This Policy applies to:
   1. All University Employees; and
   2. Graduate Research Assistants (GRAs), including Graduate Fellows, who are principal investigators, co-investigators, senior/key personnel, or who serve in any other role on Sponsored Projects.
2. Conflicts—whether real, potential, or apparent—can undermine the integrity of the individual, the University, and its research and sponsored programs.
3. This Policy and the Disclosure and Conflict Management Guidelines outline the University’s principles and procedures for ensuring compliance with federal and/or state law, federal regulations, Funding Agency guidance, and USM and/or University policies on Conflicts of Interest (COIs) and Conflicts of Commitment (COCs) through the submission and review of Disclosures.
4. University Employees and GRAs are required to conduct their Institutional Responsibilities with integrity, uphold high ethical standards, and demonstrate practices that reflect positively on themselves, their disciplines, and the University. They are also expected to take all necessary actions to avoid, eliminate, reduce, and/or manage COIs and COCs to ensure objectivity.
5. University Employees and GRAs identified above in Section III.A are required to submit a Disclosure to the University on any Outside Professional Activities (including Professional Service and Consulting), external Relationships, and Significant Financial Interests:
   1. Within 30 days of being hired as a University Employee or within 30 days of beginning work as a GRA on a Sponsored Project;
   2. Prior to engaging in a new Outside Professional Activity, external Relationship, or Significant Financial Interest; and
   3. Within 30 days of a change to an existing Disclosure and/or annually.
6. University Employees and University Officials may only involve their Direct Reports in their Outside Professional Activities if allowed by an approved Management Plan.
7. University Employees are required to reimburse the University for using University resources in connection with their Outside Professional Activities, beyond nominal use of office space, University-issued computers, University libraries, and University internet and data systems. Arrangements for reimbursement must be made in advance of the activity. The procedures and necessary approvals for the use of additional resources are identified in the relevant University policies and guidelines specified in Section XII of this Policy.

1. All University Employees, including those who have appointments of less than 100% FTE, are State of Maryland employees who must abide by Maryland Public Ethics Law¹.
2. In limited circumstances, Maryland Public Ethics Law allows the University to substitute this Policy and its related Guidelines for the section of the Public Ethics Law that prohibits state personnel from holding an interest in, or having a relationship with, an External Entity that would otherwise be prohibited by law².  In order to be in compliance with Maryland Public Ethics Law:
   1. University Employees must submit a Disclosure on all Outside Professional Activities, external Relationships, and Significant Financial Interests, and must receive a Disposition before participating in them. Additionally, they must include in the Disclosure information on their Family Members, if their activities and/or interests are associated with the University. This ensures that these activities do not interfere with the University Employee’s Institutional Responsibilities, allows for the review of potential conflicts, and ensures that any COIs or COCs are appropriately eliminated, reduced, or managed.
   2. Unless the University Employee has submitted a Disclosure and received a Disposition that allows it, University Employees are prohibited from:
      1. Engaging in other employment Relationships, including Consulting, that could impair their impartiality or independent judgment as they carry out their Institutional Responsibilities;
      2. Participating in Outside Professional Activities that inappropriately overlap with their University obligations;
      3. Having Relationships with an External Entity with which the University does or seeks to do business;
      4. Participating in matters in which they or their Family Member(s) would have a Fiduciary Role in an External Entity that licenses University-owned Intellectual Property or does business with the University;
      5. Receiving compensation from a company they own while having an active appointment at the University;
      6. Engaging in Outside Professional Activities associated with Intellectual Property or other financial interests that may lead to a COI; and/or
      7. Using other University Employees, University students, and/or specialized University equipment in their Outside Professional Activities.
   3. It is a COI for University Employees to receive revenue from Intellectual Property on both sides of an agreement, in which they are the creator, co-creator, inventor, or co-inventor and they also receive revenue from a commercial entity that has licensed that Intellectual Property from the University. The University of Maryland Intellectual Property (IP) Policy (IV-3.20[A]) includes options for mitigating these types of situations.
3. Research or Development Conflict of Interest Exemption
   1. Maryland Public Ethics Law allows for an exemption from certain COI provisions when a University Employee engages in a Relationship with an External Entity that has a direct interest in the outcome of Research and Development.
   2. In order to qualify for an exemption from Public Ethics Law, the Relationship must be submitted in a Disclosure and must receive a Disposition in accordance with this Policy and the Disclosure and Conflict Management Guidelines.
4. The COI Committee
   1. The Maryland General Assembly has delegated authority to review Disclosures to the University’s Conflict of Interest (COI) Committee and the COI Committee Chair, who serves as the University’s designated official.
   2. The COI Committee serves as an advisory body to the President of the University and is charged with implementing this Policy as described in the Disclosure and Conflict Management Guidelines.
      1. The COI Committee’s charge includes reviewing Disclosures to identify any real, potential, or apparent ethical, legal, financial, or other conflicts.
      2. If a conflict exists, the COI Committee is charged with determining whether it can be eliminated, reduced, or managed with an approved Management Plan.
      3. The COI Committee provides its determination to the University President for approval. If the University President has a conflict in a specific case, the COI Committee provides its determination to the Board of Regents³.
   3. The President is responsible for appointing the members of the COI Committee and its Chair.
      1. There are nine (9) voting members of the COI Committee:
         1. Seven (7) faculty members, one of whom the President will appoint to be Chair;
         2. The Executive Director of UM Ventures, or designee; and
         3. The Assistant Vice President of the Office of Research Administration (ORA).
      2. Additional Committee Members
         1. The President, in collaboration with the COI Committee Chair, may appoint additional voting members to the COI Committee if necessary to ensure a diversity of perspectives and disciplines.
         2. Non-Voting Ex-Officio Members with relevant expertise, whether affiliated with the University or not, may be added to serve on the COI Committee as needed.
   4. The COI Administrator and the Disclosure Office will support the COI Committee’s work and assist in implementing this Policy and the Disclosure and Conflict Management Guidelines.
   5. The COI Administrator is responsible for fulfilling all external reporting requirements defined by the USM and the SEC, notifying Funding Agencies when necessary, and maintaining records of Disclosures and associated actions on behalf of the COI Committee.

1. All University Employees and GRAs who are principal investigators, co-investigators, and senior/key personnel on Sponsored Projects have separate obligations to the University and the Funding Agency. All of the following are required to submit proposals for Sponsored Projects or to receive awards through the Office of Research Administration.
2. University Requirements for Sponsored Projects
   1. University Employees and GRAs must submit a Disclosure or update an existing Disclosure to submit a proposal. The Disclosure must receive a Disposition for any award funds to be released.
   2. Disclosures must include information on the Outside Professional Activities, external Relationships, and Significant Financial Interests of the University Employee or GRA, as well as those of their Family Members, if they are associated with University business.
   3. University Employees and GRAs must complete all certifications required by the University for Sponsored Projects at the time of proposal.
3. Funding Agency Requirements for Sponsored Projects
   1. At the time of proposal, Funding Agencies require that principal investigators, co-investigators, and senior/key personnel on a Sponsored Project:
      1. Comply with Funding Agency Disclosure requirements and certify that they have submitted a Disclosure to the University as well;
      2. Report all sources of Current & Pending (Other) Support, including all current awards, pending proposals, paid/unpaid Consulting activities, Gifts (monetary or in-kind), and any additional information required by the Funding Agency in all proposal submissions; and
      3. Complete all certifications required by the Funding Agency or by law.
   2. While a Sponsored Project is active, University Employees and GRAs are required to fulfill all Funding Agency requirements for submitting updated and/or annual Disclosures, submitting annual/progress reports, documenting changes to activities, and correcting inaccuracies in documentation once identified.

1. A full-time University Employee’s primary professional loyalty should always be to the University.
2. Engaging in Outside Professional Activities can prevent University Employees, including those with part-time appointments, from fulfilling their Institutional Responsibilities and can potentially lead to a COC.
3. University Employees are required to fulfill their Institutional Responsibilities based on their respective roles, prescribed domains, and percentage of appointment at the University, and as defined in their job responsibilities, contracts, USM/University policies and guidelines, and Unit criteria.
   1. Faculty roles may include, but are not limited to, teaching, advising, research, scholarship, creative activity, administrative, and/or service activities.
      1. Full-time faculty have Institutional Responsibilities that require them to spend a significant amount of their time engaged in assigned University duties at University facilities or assigned locations. However, the University may grant exceptions with the approval of the Unit Head.
      2. Part-time faculty have Institutional Responsibilities defined in their University contract, and any Outside Professional Activities or external appointments should not interfere with their ability to fulfill their responsibilities at the University.
   2. Staff have Institutional Responsibilities that are defined and evaluated through the University’s Performance Review and Development (PRD) process, and any Outside Professional Activities beyond their scope of work at the University should not interfere with their ability to fulfill those responsibilities.
4. Faculty are required to abide by the requirements defined in the USM Policy on Professional Commitment of Faculty (II-3.10) as follows:
   1. Full-time faculty members must obtain advanced written approval from the President or their designee to:
      1. Engage in Consulting, overload teaching, or Professional Service within the University for a stipend during an appointment period; or
      2. Teach a maximum of two (2) courses at another institution for extra compensation during the faculty member's contract year.
   2. Faculty members must obtain advance written approval from the President or their designee to engage in Consulting or Professional Service that carries a stipend and is rendered to another USM institution or another state agency in Maryland.
5. All paid appointments at another institution or External Entity must be reported on a Disclosure. It is a COC for a University Employee to hold a paid appointment at another institution or External Entity in addition to their University appointment if, when combined, the two appointments would total over 100% effort. The only exceptions are as follows:
   1. Faculty who are on an approved leave without pay (LWOP) may hold a paid appointment at an External Entity if the appointment was reviewed and approved in accordance with the University of Maryland Policy and Procedures on Leave Without Pay for Faculty (II-2.20[A]), which includes necessary approvals from University oversight bodies to review for potential COIs, COCs, or other potential issues.
   2. Faculty on sabbatical leave may accept a paid appointment at an External Entity that supports their approved sabbatical project if the appointment was reviewed and approved in accordance with the University of Maryland Policy and Procedures on Sabbatical Leave for Faculty (II-2.00[A]).
6. It is a potential conflict for a University Employee to serve as a principal investigator or senior/key personnel at another institution or an External Entity without submitting a Disclosure for review and receiving a Disposition. 

1. The review process for COIs and COCs will be managed by the Disclosure Office and outlined in the Disclosure and Conflict Management Guidelines.
2. When a University Employee or GRA submits a Disclosure and certifies that there are no Outside Professional Activities, external Relationships, or Significant Financial Interests to report, the Disclosure will be automatically approved.
3. Disclosures may require compliance reviews, depending on the nature of the Outside Professional Activity, external Relationship, and/or Significant Financial Interest.
4. All Disclosures that report Outside Professional Activities, external Relationships, and/or Significant Financial Interests will be reviewed at the Unit level for potential COIs and/or COCs, in order to apply discipline-specific norms.
5. Outside Professional Activities, external Relationships, and/or Significant Financial Interests that have been deemed by the Unit Head and NLA to constitute a potential COI or COC will receive higher-level review to determine whether the potential conflict can be resolved or if the conflict is unmanageable.
6. Review Outcomes
   1. In cases where the COI can be managed, a Management Plan will be developed, pending approval from the President.
      1. The Management Plan is developed by the Disclosure Office in consultation with the COI Committee and/or its Chair; certified by the individual overseeing implementation of the Management Plan and by the University Employee or GRA; reviewed by the COI Official; and approved by the President.
      2. The President makes the final decision on whether to approve a Management Plan. The President also has the authority to revoke approval of a Management Plan due to non-compliance or if circumstances surrounding the activity change.
   2. In the rare cases where a COI cannot be eliminated, reduced, or managed, the University Employee will be prohibited from engaging in the activity or Relationship.
   3. If it is agreed that the Outside Professional Activity is a COC that interferes with the University Employee’s Institutional Responsibilities, the University Employee will be deemed non-compliant with this Policy and prohibited from participating in the activity or Relationship.
   4. When required by Public Ethics Law, University Employees will be instructed to submit a Disclosure to the State Ethics Commission and may not engage in the activity before receiving approval from the State Ethics Commission.

1. Roles and responsibilities assigned by this Policy to Unit Heads, the NLA, and other University Officials cannot be delegated to others.
2. Unit Heads
   1. Unit Heads are responsible for ensuring that all University Employees and GRAs within their Unit are knowledgeable about this Policy, the Disclosure and Conflict Management Guidelines, and their obligations for submitting Disclosures on Outside Professional Activities, external Relationships, and Significant Financial Interests. In addition, Unit Heads must:
      1. Be familiar with the types of activities that may lead to conflicts, and advise University Employees and GRAs within their Unit on how to avoid such conflicts;
      2. Stay informed about the Outside Professional Activities of University Employees and GRAs within their Unit; and
      3. Ensure that University Employees and GRAs within their Unit submit Disclosures for all Outside Professional Activities, external Relationships, and Significant Financial Interests.
   2. Unit Heads serve as the Unit-level reviewer for all Disclosures within their Unit. They are responsible for the initial review and assessment to determine if the activities could interfere with the employee’s ability to fulfill their Institutional Responsibilities and potentially lead to a COC or COI, considering the type and percentage of their appointment. Unit Heads must:
      1. Ensure that all pertinent information is included and that the Disclosure is accurate and complete;
      2. Determine the appropriate balance between the specific University Employee’s or GRA’s Institutional Responsibilities and their Outside Professional Activities;
      3. Determine the appropriateness of any Outside Professional Activities relative to the Unit's mission and compliance with this Policy and the Disclosure and Conflict Management Guidelines;
      4. Determine whether a potential COC exists; and
      5. Evaluate the potential for a COI.
   3. Unit Heads are typically responsible for overseeing the implementation of and compliance with Management Plans affecting University Employees and GRAs in their Unit.
3. Next Level Administrator (NLA)
   1. The NLA serves as the next-level reviewer for all Disclosures where the Unit Head has identified a potential COI or COC.
   2. The NLA is responsible for making an independent recommendation on whether a potential COI or COC exists.

1. Failure to comply with this Policy, the Disclosure and Conflict Management Guidelines, USM and University policies, and/or other Disclosure requirements associated with Sponsored Projects may be a violation of state and/or federal laws.
2. University Employees and/or GRAs found to be in violation of this Policy, the Disclosure and Conflict Management Guidelines, or state and/or federal laws based on any form of dishonesty or by acting in bad faith (including repeated violations) may face disciplinary action, as appropriate given the circumstances of the violation and the status of the University Employee or GRA.
   1. Violations of the Policy include, but are not limited to, failure to submit a Disclosure; knowing submission of an incomplete, erroneous, or misleading Disclosure; knowing submission of a false certification; or failure to comply with an approved Management Plan.
   2. Disciplinary actions may include, but are not limited to, restrictions on research activities at the University, freezing federally-funded research accounts, suspension and/or termination of employment, and/or expulsion from the graduate program, in accordance with USM and University policies or Graduate School policies.
3. The University may refer University Employees who violate this Policy and its Guidelines to the State Ethics Commission, as required by law and regardless of whether the University Employee has acted in bad faith.
4. The President may revoke approval of a Management Plan if a University Employee or GRA:
   1. Misrepresents the nature of a Relationship, activity, or interest in an External Entity;
   2. Fails to comply with the Management Plan or any other conditions or restrictions; or
   3. If circumstances change, leading to an unmanageable COI or a COC, a violation of USM or University policy, and/or a conflict with applicable legal requirements.

1. University Employees and GRAs are required to abide by the procedures defined in the Disclosure and Conflict Management Guidelines.
2. The Disclosure and Conflict Management Guidelines are a separate supporting document to this Policy that provide more detailed information about the implementation and procedures associated with this Policy and related University policies on different types of COIs, COCs, and Consulting.
3. The Disclosure and Conflict Management Guidelines are overseen by the Conflict of Interest (COI) Committee, managed by the COI Administrator and the Disclosure Office, and are available at https://research.umd.edu/resources/research-compliance/conflicts-interest-coi/coi-policies-and-procedures
4. The COI Committee, with support from the Disclosure Office, may revise the Disclosure and Conflict Management Guidelines periodically to clarify or update processes to align with changes to administrative structures, federal and/or state law, federal regulations, Funding Agency guidance, and USM and/or University policies.
   1. Any substantive changes to the Disclosure and Conflict Management Guidelines must align with the principles in this Policy.
   2. The COI Committee will consider whether the Disclosure and Conflict Management Guidelines need to be revised on an annual basis. When substantive changes are needed, the revisions will be presented and discussed with the University Research Council.

1. The COI Administrator is responsible for retaining all Disclosure records, including Dispositions, Management Plans, and all actions under this Policy or retrospective review, if applicable.
2. The specific timeline and procedures for Disclosure records retention will be specified in the Disclosure and Conflict Management Guidelines and will align with University records retention requirements.

1. Several USM and University policies are closely related but are separate and distinct from this Policy and the Disclosure and Conflict Management Guidelines. These policies can be found at https://policies.umd.edu/all
2. University policies that focus on different types of Conflict of Interest and requirements associated with Outside Professional Activities, external Relationships, and Significant Financial Interests include the following:
   1. The University of Maryland Procedures on Financial Conflicts of Interest in Public Health Service Funded Research (II-3.10[C]), which requires University Employees conducting PHS-funded research to receive an FCOI Disposition by submitting a Disclosure on any of their Significant Financial Interests or those of their Family Members for review by the COI Committee for any potential conflicts.
   2. The University of Maryland Policy on Institutional Conflicts of Interest (X-14.00[A]), which requires University Officials to receive an Institutional Conflict of Interest (ICOI) Disposition by submitting a Disclosure on any of their Significant Financial Interests or those of their Family Members for review by the ICOI Committee for any potential conflicts.
   3. The University of Maryland Policy on Organizational Conflicts of Interest (II-3.10[F]), which requires University Employees on Sponsored Projects to receive an Organizational Conflict of Interest (OCI) Disposition by submitting a Disclosure for review by the OCI Committee for any potential conflicts. Additionally, University responses to contract solicitations or proposals—particularly when the University is already serving as a test and evaluator for the federal government—must also undergo OCI review and receive an appropriate Disposition.
   4. The University of Maryland Policy on Consulting (II-3.10[E]), which requires University Employees to submit a Disclosure on all Outside Professional Activities, including Professional Service and Consulting, prior to engaging in these activities. It also requires them to provide a copy of the University’s Consulting MOU to each External Entity with which they Consult, and to receive a Disposition before engaging in any research-related Consulting.
3. USM policies that require prior approval for Outside Professional Activities include the following:
   1. The USM Policy on Teaching Outside the Home Institution by Full-Time Faculty (II-3.20) requires full-time faculty to receive the written permission of the President of the University or their designee to teach a maximum of two (2) courses at another institution for extra compensation during their contract year.
   2. The USM Policy on Intellectual Property (IV-3.20) prohibits individuals from entering into an agreement to pursue Consulting or Professional Service that conflicts with the policy without the advance written waiver or consent of the Chancellor or their designee.
      1. Exceptions require prior written approval by the Unit Head and the President.
      2. Payment for work on University contracts, grants, and/or similar agreements will be approved only in unusual or exceptional circumstances.
      3. Payment for teaching at the University of Maryland Global Campus (UMGC) is allowed in accordance with University policy.
4. University policies that require prior approval for Outside Professional Activities or specific resources beyond those identified in Section IV.D of this Policy include the following:
   1. The University of Maryland, College Park Policy Concerning the Use of Self-Authored Course Materials (III-1.00[B]), which requires faculty who would like to use self-authored instructional materials for courses that they plan to teach to first get the approval of the Unit Head of the Unit in which the course is offered.
   2. The University of Maryland Policy on the Use of the University's Name and Trademarks by External Entities in Research-Related Endorsements and Promotional Materials (IV-5.00[A]), which prohibits University Employees from claiming or otherwise conveying that the University endorses any recommendations or results from their Outside Professional Activities.
   3. The University of Maryland Policy on the Use of University Facilities by External Users for Research-Related Activities (VIII-14.00[A]), which requires University Employees performing Outside Professional Activities that are beyond their Institutional Responsibilities to receive the necessary prior written approvals to obtain a Facilities Use License to use any University facilities for research-related activities.
5. University policies with limitations associated with Outside Professional Activities include the following:
   1. The University of Maryland Intellectual Property (IP) Policy (IV-3.20[A]), which requires University Employees and GRAs to ensure that their Outside Professional Activities and any agreements with External Entities regarding the use of University-owned Intellectual Property do not conflict with the University’s IP Policy or other University commitments and do not undermine or compete with the University’s rights.
   2. The University of Maryland Policy on Malign Foreign Talent Recruitment Program Policy (IV-7.00[A]) requires University Employees and GRAs to submit a Disclosure if they are a party to any Foreign Talent Recruitment Programs and prohibits University Employees, GRAs, and/or covered individuals on a Sponsored Project from participating in Malign Foreign Talent Recruitment Programs.

¹Maryland Code Annotated, General Provisions Article, Title 5 - Maryland Public Ethics Law, Subtitle 5 - Conflicts of Interest. To find this provision online, go to http://www.lexisnexis.com/hottopics/mdcode/.
²Section 5-525 of the law requires educational institutions engaged in research or development to develop COI procedures, to be approved by the State Ethics Commission and the Office of the Attorney General, that, once approved, are allowed to substitute for the relevant section of Public Ethics Law.

³Section 5-525(c)(5) indicates that this is the appropriate process when the president of an educational institution claims an exemption under the law.