State Public Ethics Law

University employees also are state employees, and as such, in addition to University System of Maryland (USM) and UMB CoI policies in research and development, the State of Maryland’s Public Ethics Law governing conflict of interest applies. Faculty and staff are encouraged to inquire, through the Conflict of Interest Officer, whether specific relationships fall under the law and require exemption under these procedures in order to be lawful relationships. This includes a financial relationship with an entity that also is sponsoring your research at UMB.

Related policy: Procedures Implementing Board of Regents Policy on Conflicts of Interest in Research or Development

COI MATTERS UNDER THE STATE ETHICS LAW ▾
Secondary Employment and Participation restrictions:

  • Relationship with an entity doing business with UMB, even if you are not involved in that business agreement.
  • Relationship with an entity doing business with UMB, in which you are involved, for example serving as a consultant for a company that is also sponsoring a research agreement in which you are participating.
  • Inclusion of your spouse or other family member on a research grant on which you are the principal investigator.
  • Disclosure of any such relationship to the UMB CoI Office is required, and a CoI Exemption from the President is required to maintain any such relationship while an employee of UMB.

“Relationship” includes any:     (i) interest;     (ii) service;     (iii) employment;     (iv) gift; or     (v) other benefit or relationship.

ETHICS LAW PROVISIONS ▾
The following are some ethics law provisions that apply to you as a UMB employee.

5–501.  Restrictions on participation.  

(a) Except as otherwise provided in subsection (c) of this section, an official or employee may not participate in a matter if:   

(1) the official or employee or a qualifying relative of the official or employee has an interest in the matter and the official or employee knows of the interest; or   

(2) any of the following is a party to the matter:   

 (i) a business entity in which the official or employee has a direct financial interest of which the official or employee reasonably may be expected to know;    

(ii) a business entity, including a limited liability company or a limited liability partnership, of which any of the following is an officer, a director, a trustee, a partner, or an employee:     

  1. the official or employee; or     
  2. if known to the official or employee, a qualifying relative of the official or employee;   

 (iii) a business entity with which any of the following has applied for a position, is negotiating employment, or has arranged prospective employment:    

  1. the official or employee; or    
  2. if known to the official or employee, a qualifying relative of the official or employee;  27 

 (iv) if the contract reasonably could be expected to result in a conflict between the private interest and the official State duties of the official or employee, a business entity that is a party to a contract with:  

  1. the official or employee; or     
  2. if known to the official or employee, a qualifying relative of the official or employee;  

  (v) a business entity, either engaged in a transaction with the State or subject to regulation by the official’s or employee’s governmental unit, in which a direct financial interest is owned by another business entity if the official or employee:      1. has a direct financial interest in the other business entity; and     

  1. reasonably may be expected to know of both financial interests; or  

  (vi) a business entity that:      1. the official or employee knows is a creditor or an obligee of the official or employee, or of a qualifying relative of the official or employee, with respect to a thing of economic value; and      2. as a creditor or an obligee, is in a position to affect directly and substantially the interest of the official, employee, or qualifying relative.

“Qualifying relative” means a spouse, parent, child, brother, or sister.

 

5–502.  Employment or financial interests — General restriction.  

 (b) Except as provided in subsections (c) and (d) of this section, an official or employee may not:    (1) be employed by or have a financial interest in:     (i) an entity subject to the authority of that official or employee or of the governmental unit with which the official or employee is affiliated; or     (ii) an entity that is negotiating or has entered a contract with that governmental unit or an entity that is a subcontractor on a contract with that governmental unit; or    (2) hold any other employment relationship that would impair the impartiality and independent judgment of the official or employee

 

OTHER RESTRICTIONS:

(§5-505)the prohibition on solicitation or acceptance of gifts and honoraria;

(§5-506)the prohibition of use of prestige of office (i.e., your University position) for private gain or another’s gain;

(§5-507) the prohibition of disclosure or use of confidential information obtained as a faculty member for personal economic benefit or the economic benefit of another.

Post Employment:

Post Employment

UMB COI Exemption Forms ▾
These forms concern UMB CoI policy in research and development, and not U.S. PHS regulations.

Please contact Alison Watkins, UMB CoI Officer, at athom001@umaryland.edu before completing these forms.

Alison Watkins, JD, MS
UMB Conflict of Interest Officer
Assistant Vice President
athom001@umaryland.edu
410-706-1266

Annual Reports for COI Exemptions ▾
For individuals with CoI Exemptions, annual reports are required from the date of your exemption.

Reports must be shared with your department chair or division head and the UMB CoI Officer. Questions concerning the policy and procedures and their application may be directed to:

Alison Watkins, JD, MS
UMB Conflict of Interest Officer
Assistant Vice President
athom001@umaryland.edu
410-706-1266

COI Exemption Review Process ▾
COI Exemption Review Process Diagram

COI Exemption Review Process Diagram