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  58.0 III-1.11-POLICY ON CONFLICTS OF INTEREST IN RESEARCH OR DEVELOPMENT
 
  (Approved by the Board of Regents, August 23, 1996)
 
  I.   Introduction
 
       Maryland law encourages public senior higher education
       institutions to promote economic development in the State and
       to increase their financial resources through arrangements
       with the private sector, including collaborative research and
       development, commercial application of institution-owned
       intellectual property, and provision of technical assistance.
       To facilitate these purposes, the Maryland Public Ethics Law
       allows for the exemption of University of Maryland System
       personnel from some of that law's conflict of interest
       provisions.  This policy establishes the essential elements of
       the procedures, to be adopted by each System institution, for
       obtaining such exemptions.
 
 
  II.  Policy
 
       A.   A present or former official or employee of a constituent
            institution of the System, UMSA, UMBI, or CEES 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
            conflict of interest provisions of the Ethics Law, if
            such relationship is disclosed and approved by the
            President of the educational institution in accordance
            with the institution's faculty conflict of interest
            procedures developed pursuant to this Policy.
 
       B.   The Chancellor, a Vice Chancellor, a President, or a Vice
            President or one holding a similar such position may have
            such a relationship only if the Board of Regents makes
            the following findings:
 
            (1)  that participation by, and the financial interest
                 or employment of, the official is necessary to the
                 success of the research or development activity;
                 and
 
            (2)  that any conflict of interest can be managed
                 consistent with the purposes of relevant provisions
                 of the Public Ethics Law.
 
            The Board shall promptly notify the State Ethics
            Commission in writing of any approval given under this
            paragraph.  In the event that the Commission disagrees
            with any approval and provides notice to the Board within
            30 days of the Commission's receipt of notice of the
            approval, the Board shall reexamine the matter.  The
            Board shall adopt procedures for handling requests for
            approvals under this paragraph..
 
       C.   If the above conditions are not met, this Policy does not
            exempt a former or present official or employee from any
            of the provisions of the State Ethics Law.
 
       D.   Nothing in this Policy allows an exemption on the part of
            any official or employee of the System from the
            provisions of 15-505 ("Solicitation or acceptance of
            gifts of honoraria") of the State Government Article.
            Further, an official or employee of the System may not
            (1) represent a party for contingent compensation in any
            matter before the Board of Regents or before the State's
            Board of Public Works, or (2) intentionally misuse his or
            her position with the System for personal gain or for the
            gain of another person.
 
       E.   The approval of a relationship under this policy does not
            relieve the official or employee from the obligation to
            comply with other System and institution policies,
            including the System Policy on Professional Commitment of
            Faculty.
 
       F.   The Chancellor is encouraged to consult periodically with
            the Maryland Department of Business & Economic
            Development and with Federal agencies that regulate
            federally-funded research concerning the implementation
            of this policy.
 
 
  III. Procedures
 
       A.   Each institution and UMSA shall develop procedures based
            on the above policy and the purposes of the Maryland
            Public Ethics Law as stated at Section 15-101 of the
            State Government Article of the Maryland Annotated Code.
            The procedures shall be approved by the Office of the
            Attorney General and approved as to conformity with
            Maryland Public Ethics Law by the State Ethics
            Commission.  The approved procedures shall be filed with
            the Office of the Chancellor.
 
       B.   Procedures shall:
 
            (1)  Require timely disclosure of any relationship.  The
                 disclosure shall be filed with the State Ethics
                 Commission, and maintained as a public record at
                 the institution.
 
            (2)  Subject to paragraph (5), require review of all
                 disclosed relationships by a designated official
                 who shall determine what further information must
                 be disclosed and what restrictions shall be imposed
                 in order to manage, reduce, or eliminate any actual
                 or potential conflict of interest.  The designated
                 official shall also determine whether or not the
                 disclosed relationship represents a harmful
                 interest, as defined herein.  If so, approval shall
                 not be granted.
 
            (3)  Include guidelines to ensure that relationships do
                 not improperly give an advantage to entities with
                 which the relationships exist, lead to misuse of
                 institution students or employees for the benefit
                 of such entities, or otherwise interfere with the
                 duties and responsibilities of the official or
                 employee maintaining the relationship.
 
            (4)  Subject to paragraph (5), require that each
                 relationship be approved or disapproved by the
                 president of the institution, with such
                 determination to be the final decision.
 
            (5)  Require that any relationship maintained by the
                 President or a Vice President, by the Chancellor or
                 a Vice Chancellor, and by one holding any other
                 position designated by the Board of Regents be
                 approved by the Board of Regents.
 
 
  IV.  Reporting
 
       Institutions shall submit to the Chancellor in a format
       determined by the Chancellor a quarterly report which shall
       include all approvals granted under this Policy.  The Board of
       Regents shall report to the Governor, the Legislative Policy
       Committee of the General Assembly, and the State Ethics
       Commission, the number of approvals granted under this Policy
       and how this Policy and the procedures adopted pursuant to it
       have been implemented in the preceding quarter.
 
 
  V.   Definitions
 
       A.   "Harmful interest" means an interest which is found to be
            so influential as to impair impartiality in the conduct
            of the research, the interpretation of the results of the
            research, and/or the determination of research or other
            professional and employment priorities.
 
       B.   "Institution" as used in this policy means each
            constituent institution of the System, The University of
            Maryland System Administration, The University of
            Maryland Biotechnology Institute, The Center for
            Estuarine & Environmental Studies, and any other Unit of
            the System that the Chancellor shall designate.
 
       C.   "Relationship" means any interest, service, employment,
            gift, or other benefit or relationship with an entity
            that would be prohibited by Title 15, Subtitle 5 of the
            State's Public Ethics Law if not disclosed and approved
            pursuant to this Policy and procedures adopted pursuant
            to it.  "Relationship" includes any relationship of the
            spouse or other relative of an officer or employee if
            such relationship creates restrictions on the officer or
            employee under the conflict of interest provisions of the
            Ethics Law.
 
       D.   "Research or development" means basic or applied research
            or development, and includes the development or marketing
            of university-owned technology, the acquisition of
            services of an official or employee by an entity for
            research and development purposes, or participation in
            State economic development programs.
 
  Replacement for: BOR II-3.30