University of Maryland Policy on Organizational Conflicts of Interest

The mission of the University of Maryland (the “University”) includes the advancement of knowledge, support of the scholarly professions, and active participation in the cultural, technological, commercial, public policy, and social life of our communities. This mission is advanced when members of the University 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 has strongly encouraged the development of such links in the past and will continue to do so. The University recognizes, however, that these very positive interactions create the occasion for actual, potential, or apparent conflicts of interest and commitment, any of which may result in legal or reputational harm to the individual and/or the University.

The University is committed to identifying, avoiding, and/or managing actual or perceived Organizational Conflicts of Interest (OCIs) relating to its research activities, consistent with federal laws and regulations. In conducting federal research and contracting activities, members of the University community (“University Member[s]”) have a responsibility to comply with the University of Maryland Organizational Conflicts of Interest (OCI) Policy (“this Policy”).

The intent of this Policy is, in part, to provide guidance that will enable members of the University community to engage in activities outside the University while avoiding situations that harm the individual and/or the University through real or perceived ethical, legal, or financial conflicts. Although such conflicts arise most often when University Members engage in activities outside the University, this policy and any associated procedures apply to all activities of University Members.

Certain federal contracts include clauses designed to address potential OCIs in entities that receive those contracts. The federal regulations regarding OCIs are described in the Federal Acquisition Regulation (FAR) Subpart 9.5, “Organizational and Consultant Conflicts of Interest¹.”

1. “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.
2. “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.
3. “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.
4. “Current and 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.
5. “Disclosure(s)” means information that is required to be provided on all Outside Professional Activities, external Relationships, and/or Significant Financial Interests.
6. “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 University System of Maryland and University policies.
7. “Funding Agency(ies)” 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.
8. “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.
9. “Management Plan” means a written plan provided by the University that describes how a conflict or potential conflict will be managed.
10. “Organizational Conflict of Interest (OCI)” means that because of activities or relationships with other persons or Organizations, an individual is unable or potentially unable to render impartial assistance or advice to the Government, the individual’s objectivity in performing the contract work is, or has the potential to be, impaired, and/or an individual has an unfair competitive advantage.
11. “OCI Administrator” means the individual appointed by the University’s Vice President for Research to support the implementation of this Policy.
12. “Organization” means any entity capable of delivering a product or service to a U.S. Government sponsor, under a contract, grant, or other award/funding instrument. This definition includes, but is not limited to, sole proprietors, independent contractors, industrial contractors, Federally Funded Research and Development Centers (FFRDCs), University-Affiliated Research Centers (UARCs), academic institutions, and non-profit Organizations.
13. “Outside Professional Activities” means any paid or unpaid activity with an external entity that is beyond the scope of a University Member’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.
14. “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.
15. “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.
16. “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.
17. “Unit” means a department, center, institute, division, or non-departmentalized College or School.
18. “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.
19. “University Member(s)” means all employees of the University, including all faculty and staff employed by the University, regardless of title, FTE, full- or part-time status and all University administrators and/or officials.

As outlined in the FAR Subpart 9.5, an OCI may exist in three basic categories:

1. Unequal Access to Information: This type of OCI arises when the University gains an unfair competitive advantage because of a University Member’s access to information not generally available to other parties competing for the same federal funding. For example, a faculty member may have had access to budgets, statements of work, or evaluation criteria in the proposal submission and award process that were not available to other potential contractors.
2. Impaired Objectivity: This type of OCI arises when a University Member’s work on a government contract places the University in a situation of evaluating itself or a related entity. For example, the University’s work under one government contract could require it to evaluate its own activities or evaluation of proposals from entities competing with the University. In this case, the concern is that the University cannot render impartial advice under a federal contract.
3. Biased Ground Rules: This type of OCI arises when a University Member provides consultation, advice, or technical assistance relating to a federal funding opportunity, and the University then applies for that same funding opportunity. For example, a faculty member may serve on a federal advisory board or act as a consultant to develop standards that are used as the basis for a scope of work or specifications that are used to support a federal funding opportunity.

1. This Policy and any associated procedures are applicable to all University Members.
2. This Policy is separate and distinct from the University of Maryland Policy on Conflict of Interest (COI) and Conflict of Commitment (COC) (II-3.10(A)(“the COI/COC Policy”)) and the Disclosure and Conflict Management Guidelines.
3. Compliance with this Policy does not relieve University Members of their obligation to:
   1. Disclose and receive approval for COIs/COCs, as required by University Policy and Maryland State Ethics Law;
   2. Disclose activities as part of the University of Maryland Policy on Consulting (II-3.10[E]); and/or
   3. Disclose activities as part of the Current and Pending (Other) Support information in all proposal submissions.
4. Applicability of this Policy is subject to change per Maryland State Ethics Commission guidance, Funding Agency guidance, and/or state and federal laws and regulations.

1. University Members must keep their Unit Heads informed, in adequate detail, about all Outside Professional Activities, service on external committees/boards, and other significant Professional Service and Consulting activities unrelated to their Institutional Responsibilities.
2. University Members must submit a Disclosure and receive a Disposition before engaging in an Outside Professional Activity.
3. University Members must disclose all activities on any Sponsored Project proposal submission, and all activities will be reviewed for potential COIs. OCIs identified as being related to a Sponsored Project must be managed through mitigation or removal of the conflict. The applicable measures may be outlined in a Management Plan that is shared with the Funding Agency.
4. University Members are required to submit and maintain an updated Disclosure. This Disclosure is reviewed by the University’s Disclosure Office.
   1. When real or perceived OCIs are identified, the OCI Administrator flags the Disclosure for additional review by the OCI Committee.
   2. OCIs identified via an individual’s Disclosure must also be managed by a Management Plan and administered by an oversight official.
5. New faculty and staff that participated in activities before becoming a member of the University that may give rise to an OCI at the University, must disclose these activities on any federal Sponsored Project submission.

1. In accordance with the provisions of the COI/COC Policy and the Federal Acquisition Regulations Subpart 9.5 - Organizational and Consultant Conflicts of Interest, the Vice President for Research (VPR) appoints the Advisory Committee on Organizational Conflict of Interest (“the OCI Committee”) for the University.
2. The OCI Committee is composed of nine (9) voting members of the University community including: five (5) faculty, one of whom is the Chair of the OCI Committee, one (1) representative each from the Office of the Senior Vice President and Provost, the Office of Research Administration (ORA), the Applied Research Laboratory for Intelligence and Security (ARLIS), and the Graduate School, along with two (2) ex-officio members, one (1) each from the Office of General Counsel and the Assistant Vice President for the Office of Procurement and Business Services, or their designees. The ex-officio members shall serve as advisory members and do not vote on matters presented to the OCI Committee. Members of the OCI Committee will serve for a three-year (3) term with the potential for renewal for an additional term.
3. The OCI Committee is charged with reviewing any disclosed OCIs or potential OCIs to determine whether the conflicts can be mitigated, reduced, or managed and make recommendations to the VPR, including any required conditions or circumstances designed to mitigate or manage these conflicts. Following a review by the VPR, the applicable management measures will be outlined in the OCI Management Plan, which is provided to the Funding Agency for final approval.
4. The procedures for identification, management, and mitigation of OCIs utilized by the OCI Committee will be maintained and periodically adjusted, as needed, by the OCI Administrator following a review by the OCI Committee.

¹The Federal Acquisition Regulation (FAR) Subpart 9.5, “Organizational and Consultant Conflicts of Interest can be found at https://www.acquisition.gov/far/subpart-9.5