State Public Ethics Law

• 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.

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     

2. 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

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

• COI Exemption Request - Standard form  
• CoI Exemption Request - EZ Form

Alison Watkins, PhD, JD, MS
Assistant Vice President
Chief Conflict of Interest Officer
Office of Policy & Procedures
Office of the Provost
athom001@umaryland.edu
410-706-1266

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, PhD, JD, MS
Assistant Vice President
Chief Conflict of Interest Officer
Office of Policy & Procedures
Office of the Provost
athom001@umaryland.edu
410-706-1266