The University of Maryland ("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 have a responsibility to comply with the University of Maryland Organizational Conflicts of Interest (OCI) Policy ("this Policy").

The University adopts this Policy to implement and comply with federal laws, regulations, and contractual requirements, including the Federal Acquisition Regulation (FAR) Subpart 9.5, "Organizational and Consultant Conflicts of Interest¹." This Policy sets requirements for University Employees, Units, and affiliated entities engaging in federal Sponsored Projects or contractual work that includes the FAR as a clause of the agreement, or otherwise performing services for program offices or procurement offices in the federal government. The objective of this Policy is to eliminate or effectively mitigate real or perceived ethical, legal, or financial conflicts that could arise during the performance of federal contracts by University Employees. This Policy and any associated procedures apply to all activities of University Employees including activities that University Employees engage in outside of the University.

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 Graduate Research Assistants (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. "Contract Administrator" means the individual in the University’s Office of Research Administration (ORA) who has been appointed as the authorized organizational representative responsible for reviewing, negotiating, and executing research-related agreements on behalf of the University. This includes sponsored research, subawards, non-disclosure agreements, and other contracts supporting research and scholarly activities.
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. "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.
7. "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.
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. "Mitigation Plan" means a documented set of actions proposed by a contractor and approved by the government to address an OCI by limiting the scope, influence, access, or participation of the conflicted party to neutralize or lessen the potential for impaired objectivity or unfair advantage.
10. "Organizational Conflict of Interest (OCI)" means situations that arise when a contractor’s relationships or activities may bias its judgment, impair its objectivity, or provide it with an unfair competitive advantage in a federal procurement. FAR 9.5 requires that such conflicts be identified, avoided, neutralized, or mitigated to ensure the integrity of the acquisition process.
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 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.
14. "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.
15. "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.
16. "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 and Chief of Staff, Vice Presidents, Associate and Assistant Vice Presidents, the Senior Vice President and 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 the University, and all University Employees, GRAs, and affiliated entities who are engaged in Sponsored Projects or contractual work that may give rise to an actual or potential Organizational Conflict of Interest (OCI) under applicable sponsor requirements, including FAR Subpart 9.5.
   1. OCIs may take the form of unequal access to information, impaired objectivity, and/or biased ground rules.
   2. OCIs are more likely to occur, and may be specifically prohibited in, contracts involving:
      1. Management support services;
      2. Consultant or other professional services;
      3. Contractor performance of, or assistance in, technical evaluations; or
      4. Systems engineering and technical direction performed by an entity that does not have overall contractual responsibility for development or production.
   3. An OCI may arise when the nature of the work under a current contract creates an actual or potential conflict, or when the work performed could create an actual or potential conflict in a future acquisition. In such cases, restrictions on future activities may be required to ensure the integrity of the procurement process.
2. All University Employees and GRAs involved in Sponsored Projects or federal contracting are expected to act in good faith, exercise due diligence in submitting Disclosures, and comply fully with all applicable mitigation and compliance measures.
3. This Policy is applied concurrently with the following policies or guidelines:
   1. The University System of Maryland (USM) Policy on Conflicts of Interest in Research or Development (III-1.11);
   2. The University of Maryland Policy on Conflict of Interest and Conflict of Commitment (II-3.10[A]) (“the COI/COC Policy”);
   3. The University of Maryland Policy on Financial Conflicts of Interest in Federally Funded Research (II-3.10[C]);
   4. The University of Maryland Policy on Institutional Conflicts of Interest (X-14.00[A]); and
   5. The University’s Disclosure and Conflict Management Guidelines.
4. Compliance with this Policy does not relieve University Employees and/or GRAs of their obligation to disclose activities:
   1. As required by the COI/COC Policy, the University of Maryland Policy on Consulting (II-3.10[E]), and Maryland State Ethics Law; and
   2. As part of the Current and Pending (Other) Support information in all Sponsored Project proposal submissions.
5. 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. When a Sponsored Project subject to FAR Subpart 9.5 is pending award, all individuals proposed to participate in the Sponsored Project will undergo an additional OCI review, in accordance with the Disclosure and Conflict Management Guidelines.
2. Organizational Conflict of Interest Committee
   1. The Organizational Conflict of Interest Committee (“OCI Committee”) serves as an advisory body to the Vice President for Research (VPR) and is charged with implementing this Policy as described in the Disclosure and Conflict Management Guidelines.
   2. The OCI Committee evaluates potential OCIs to determine whether an OCI exists and whether OCIs can be avoided, neutralized, or mitigated.
   3. The VPR is responsible for appointing the members of the OCI Committee and its Chair. The OCI Committee is composed of:
      1. Nine (9) faculty and staff members selected from various departments across campus to ensure a diverse range of perspectives and disciplines are represented, of which:
         1. At least five (5) must be faculty members, and
         2. One (1) of the faculty members will be appointed by the VPR to serve as Chair of the OCI Committee;
      2. Two (2) non-voting ex-officio members from:
         1. the Office of General Counsel and
         2. the Office of Research Administration (ORA).
      3. Additional Committee Members
         1. The VPR, in collaboration with the OCI Committee Chair, may appoint additional voting members to the OCI 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 OCI Committee as needed.
3. OCIs identified as being related to a Sponsored Project must be managed through avoiding, neutralizing, or mitigating the conflict. The applicable measures may be outlined in a Mitigation Plan that is shared with the Funding Agency.
4. Disclosures will be reviewed to identify potential OCIs related to Sponsored Projects and contract solicitations.
   1. The Office of Research Administration (ORA) Contract Administrator is responsible for reviewing all OCI-related provisions and clauses included in Sponsored Project and contract solicitations, consistent with the FAR.
   2. The ORA Contract Administrator and the OCI Administrator will jointly assess the potential for OCIs based on factors including, but not limited to:
      1. The scope of current and past contracts;
      2. Access to non-public or proprietary information;
      3. The roles and financial interests of affiliates or related entities; and
      4. Existing or proposed subcontractor relationships.
5. Identified OCIs will be addressed in accordance with applicable federal regulations and institutional procedures to ensure transparency, impartiality, and compliance with Funding Agency requirements and the Disclosure and Conflict Management Guidelines.
6. Review Outcomes
   1. The OCI Committee will make a recommendation to the VPR on whether an OCI exists and on any required conditions or circumstances designed to avoid, neutralize, or mitigate the OCI.
   2. The OCI Administrator will develop a proposed Mitigation Plan, in consultation with the affected University Employee and the OCI Committee. The Mitigation Plan will be submitted to the VPR for review prior to submission to the Federal contracting officer for approval.
   3. If an OCI cannot be avoided, neutralized, or mitigated through appropriate measures, the University Employee will be prohibited from participating in the associated activity or maintaining the conflicted relationship.
7. The OCI Administrator and the Disclosure Office will support the OCI Committee’s work and assist in implementing this Policy and the Disclosure and Conflict Management Guidelines.