The disclosable interest forms are designed to identify situations that might lead to conflicts of interest so that they may be properly managed. However, no form is perfect and situations may exist that are not identified by the disclosable interest forms. If you have situations that are not identified by these forms but that could create a conflict of interest, please report them to the Executive Head of the Unit so that they may be properly managed.

It is important to note that the intent of this conflict of interest policy is not to collect confidential information (e.g., information protected by lawyer-client privilege, doctor-client privilege, a confidentiality agreement, etc.) with these forms, except where that information directly relates to a potential Conflict of Interest. When completing these forms, be mindful that they are subject to the state's "open records" law.

Annual Form Completion Process

Annually, all Employees must file with the Executive head of the unit Form 1 ( (Disclosable Interests Document). If a potential financial conflict is indicated on Form 1, then Form 2 (Description of Financial Interest Activity) must be completed for each entity or activity and filed with the Executive head of the unit.

Principal Investigators submitting an external grant proposal must have on file with the Office of the Vice President for Research and Economic Development a current Form 3 (Certification of Filing of Financial Interests Disclosure Document). This form remains valid for a one academic year period.

If an employee's financial/business interests and/or time commitments materially change during the year, it is the employee's responsibility to re-file appropriate forms and provide relevant information to the Executive Head of the Unit within 30 days of the change to ensure proper conflict of interest management.

The definition of "significant financial interest" is somewhat lengthy and, thus, is provided in this document for convenience. It is noted that although a specific dollar amount ($5,000) is used for guidance, a conflict of interest can occur for amounts less than this, as indicated in the definition below.

Definition of Significant Financial Interest

The term significant financial interest means anything of monetary value, including, but not limited to: salary or other payments for services (e.g., consulting fees, honoraria); equity interests (e.g., stocks, stock options, patents, copyrights, other ownership interests); and non-University royalties from intellectual property rights (e.g., patents, copyrights, trade secrets, and trademarks).

The term does not include:

1. Any salary, royalties or other remuneration paid by the University to the Employee and the Employee's spouse and/or dependent children;
2. An interest in any publicly traded entity with a value of $5,000 or less. The value of the interests is determined by aggregating the value of any remuneration received by the Employee, the Employee's spouse, and dependent children from the entity in the twelve months preceding disclosure with the value of any equity interest in the entity. In other words, if the combination of the remuneration you receive from the entity and the value of any interest you own in the entity exceeds $5,000, you must disclose it. Any equity interest held by the Employee, the Employee's spouse, and dependent children through a an investment vehicle such as a mutual fund or retirement account will not be considered an equity interest for purposes of this section unless the Employee, the Employee's spouse, and dependent children controls investments decisions by the investment vehicle;
3. With regard to any non-publicly traded entity: remuneration received by the Employee, the Employee's spouse, and dependent children during the twelve months preceding the disclosure in excess of $5,000; or the ownership of any equity interest in the entity. In other words, if the remuneration your receive from the entity exceeds $5,000 or you own any interest in the entity, regardless of whether it has any value, you must disclose it;
4. The ownership of any intellectual property rights and interests (e.g., patents and copyrights), but only so long as the Employee has not received any income related to such rights and interests or if the Employee as assigned any ownership interest in those rights to the University;
5. Any reimbursed or sponsored travel, but only if the travel is sponsored or reimbursed by a Federal, state or local government, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. In other words, if any other entity or organization covered your expenses for travel, you must disclose it;.
6. 6. Any income from seminars, lectures, or teaching engagements sponsored by a federal, state or local government agency, an institution of higher learning, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. In other words, if any other entity or organization paid you to deliver a seminar, lecture or teach, you must disclose it;
7. Any income from service on advisory panels for a federal, state or local government agency, an institution of higher learning, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. . In other words, if any other type of entity or organization paid you to serve on an advisory panel, you must disclose it;
8. Salary, royalties or other payments made to the Employee's spouse and/or dependent children, from entities that do not do business with the University;
9. Salary, royalties or other payments from entities that do business with the University that, when aggregated for the Employee and the Employee's spouse and/or dependent children over the next twelve months, are not expected to exceed $5,000.

The University sees great value in outside activities that advance and communicate knowledge through interaction with government, industry, the community, and the public, and through consulting and professional opportunities. This Conflict of Interest Policy establishes University policies and procedures implementing State Board of Higher Education personnel policies regarding conflict of interest and outside employment or consulting practices. This Conflict of Interest Policy will allow faculty, staff and students at the University to identify and manage any conflicts between their interests and the interests of the University.

This Conflict of Interest Policy provides a guiding framework for all Employees for the identification, disclosure, management, and monitoring of non-University activities that is in accordance with federal regulations, state law, State Board of Higher Education (SBHE) policies, and University policies. This document defines the nature of conflicts of interest, provides principles that guide identification and disclosure of such conflicts, identifies the responsibilities of all parties involved, defines disclosure procedures, and provides a structure for enforcement.

As a service to the University community, and in a manner consistent with the University's obligations under state and Federal law and SBHE policies, the University will make specific training in Conflict of Interest available to all Employees on a regular basis. Employees should be aware that document completion of such training may be a prerequisite for application, award and use of certain funding.

The principles are not intended as a set of rigid rules, rather they represent an attempt to define a set of parameters by which conflict of interest situations can be managed.

Principle 1: Commitment to the University

All Employees are expected to fulfill their professional commitment to the University in good faith.

Principle 2: Honesty in Disclosure and Management

All Employees are expected to provide honest and thoughtful disclosure and management of any real or potential conflicts of interest.

Principle 3: Equitable Review and Management

The University strives toward an equitable review and management of non-University activities and commitments of all Employees. The decisions made about real or potential conflicts of interest aim to balance the interests of the University with the interests of the individual Employee, while maintaining the integrity of both the University and the individual Employee. To this end, the University is expected to provide a fair and unbiased review of conflict of interest disclosures and a means of collaborative management of real or potential conflicts.

Principle 4: Confidentiality

The University is subject to the North Dakota Open Records Law; however, to the extent allowed by state and federal law, the University will maintain a commitment of confidentiality in conflict of interest disclosures.

Principle 5: Integrity in Scholarly Behavior

Non-University commitments and activities must not impede, bias, or restrict the subject matter, scholarly creativity, scientific strategy, or dissemination of information in a manner that undermines or compromises scholarly independence.

Principle 6: Preserving the Reputation and Best Interest of the University

Non-University commitments and activities must not undermine, compromise, or misrepresent the scholarly mission, reputation, and/or best interest of the University. It is the responsibility of the Employee to inform external entities of these obligations.

Principle 7: Appropriate Use of University Resources

The University must be adequately compensated for the significant use of University facilities, supplies, equipment, or personnel for non-University commitments and activities. If an Employee wishes to make significant use of University resources for non-University commitments, the Employee must obtain prior written permission from the Executive Head of the Unit for such use.

Principle 8: PHS Specific Provisions

The disclosure of certain financial interests and activities as specifically indicated in this policy will be limited to faculty and key personnel applying for and obtaining funding from units of the United States Public Health Service.

4.1 Appropriate Vice President

The Appropriate Vice President generally is the University official holding a position of Vice President who has administrative authority for the unit for which an Employee works the majority of the time. In all situations where an Employee is compensated from or has spending authority over funds derived from extramural funding, the Appropriate Vice President will be the Vice President for Research and Economic Development.

4.2 Conflict of Interest

A Conflict of Interest occurs when an Employee is involved in an activity, commitment, or interest that could adversely affect, compromise, or be incompatible with the obligations of the Employee to the University. A Conflict of Interest can involve conflicts of time commitment, research integrity, financial interest, use of university resources, or discipline-specific interests.

4.2.1. A conflict of time commitment occurs when an Employee is involved in and committed to unauthorized non-university activities that interfere with obligations to students, colleagues, and the primary mission of the University.

4.2.2. A conflict of research integrity occurs when an Employee has an obligation to an external entity that is in conflict with the Employee's obligations to the University, or that restricts or impairs the Employee's ability to perform research or other activities at the University. For more details, see the document: Ethical Conduct in Research, Scholarship and Creative Activity in the UND Faculty Handbook.

4.2.3. A conflict of financial interest occurs when an Employee influences the University in such a way as to lead to a significant direct or indirect financial gain for the Employee or any member of the Employee's close family (spouse and/or dependent children).

4.2.4. A conflict in the use of university resources occurs when an Employee uses university resources in the unauthorized conduct of non-University activities such that a reasonable person could conclude that the activity is undertaken by the Employee in an official University capacity, or that the activity has University sponsorship or authorization.

4.2.5. A conflict of discipline-specific interests occurs when the nature of the Employee's discipline, department or Employee obligations could cause situations that, while not implicating one of the conflicts listed above, could cause risk to the University. The Executive Head of the Unit is expected to provide written guidance to Employees regarding these situations and the Employees' obligations to disclose them.

4.3 Conflict of Interest Committee

The Conflict of Interest/Scientific Misconduct Committee ("Conflict of Interest Committee") is charged by the University Senate to develop and implement the Conflict of Interest policy. Its membership, responsibilities and functions will be determined by the University Senate. Administrative services will be provided by the office of the Vice President for Research and Economic Development. The Conflict of Interest Committee will serve in an advisory capacity to the Appropriate Vice Presidents or their designees regarding conflict of interest issues, as defined in this Conflict of Interest Policy.

4.4. Committee of Investigation

Three-member panel used in an appeal under Section 7.

4.5. Disclosable Interest

Employees have numerous interests, only some of which could result in a Conflict of Interest. The intent of this Conflict of Interest Policy is to identify Employee interests that could conflict with the interests of the University and to manage those conflicts whenever possible. The University is not interested in collecting confidential or personal information that is not necessary for the identification and management of Conflicts of Interests. The general rule is that each Employee must disclose anything that could reasonably be interpreted as creating a Conflict of Interest. Some interests must be disclosed regardless of whether an Employee believes that such interest could reasonably be interpreted as creating a Conflict of Interest. These interests are listed in 3.5.1- 3.5.6 below.

4.5.1. If an Employee a) can influence or approve purchase of goods or services worth more than $10,000 per year in his/her university role, or b) is responsible for the design, conduct, or reporting of research supported by federal agencies, then the Employee must disclose any significant financial interest in a non-University entity.

The term significant financial interest means anything of monetary value, including, but not limited to: salary or other payments for services (e.g., consulting fees, honoraria); equity interests (e.g., stocks, stock options, patents, copyrights, other ownership interests); and non-University royalties from intellectual property rights (e.g., patents, copyrights, trade secrets, and trademarks).

The term does not include:

1. Any salary, royalties or other remuneration paid by the University to the Employee and the Employee's spouse and/or dependent children;
2. An interest in any publicly traded entity with a value of $5,000 or less. The value of the interests is determined by aggregating the value of any remuneration received by the Employee, the Employee's spouse, and dependent children from the entity in the twelve months preceding disclosure with the value of any equity interest in the entity. In other words, if the combination of the remuneration you receive from the entity and the value of any interest you own in the entity exceeds $5,000, you must disclose it. Any equity interest held by the Employee, the Employee's spouse, and dependent children through a an investment vehicle such as a mutual fund or retirement account will not be considered an equity interest for purposes of this section unless the Employee, the Employee's spouse, and dependent children controls investments decisions by the investment vehicle;
3. With regard to any non-publicly traded entity: remuneration received by the Employee, the Employee's spouse, and dependent children during the twelve months preceding the disclosure in excess of $5,000; or the ownership of any equity interest in the entity. In other words, if the remuneration your receive from the entity exceeds $5,000 or you own any interest in the entity, regardless of whether it has any value, you must disclose it;
4. The ownership of any intellectual property rights and interests (e.g., patents and copyrights), but only so long as the Employee, the Employee's spouse, and dependent children has not received any income related to such rights and interests or if the Employee has assigned any ownership interest in those rights and interests to the University. In other words if you have received any payment because you own intellectual property, you must disclose it;
5. Limited to PHS awardees: Any reimbursed or sponsored travel, but only if the travel is sponsored or reimbursed by a Federal, state or local government, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. In other words, if any other entity or organization covered your expenses for travel, you must disclose it;
6. Limited to PHS awardees: Any income from seminars, lectures, or teaching engagements sponsored by a federal, state or local government agency, an institution of higher learning, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. In other words, if any other entity or organization paid you to deliver a seminar, lecture or teach, you must disclose it;
7. Limited to PHS awardees: Any income from service on advisory panels for a federal, state or local government agency, an institution of higher learning, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. In other words, if any other type of entity or organization paid you to serve on an advisory panel, you must disclose it;
8. Salary, royalties or other payments made to the Employee's spouse and/or dependent children, from entities that do not do business with the University;
9. Salary, royalties or other payments from entities that do business with the University that, when aggregated for the Employee and the Employee's spouse and/or dependent children over the next twelve months, are not expected to exceed $5,000.

4.5.2. An Employee who is a member of the faculty must disclose outside, compensated or voluntary, professional/commercial activities, including consulting or management of an outside business, if he/she spent more than 20% of his or her total work effort on such activity during the immediate past contract period or expects to do so during the next contract period. All other full time Employees must disclose any outside, compensated or voluntary, professional/commercial activities, including consulting for an outside business, if he/she has or expects to spend any effort on such activity during normal work hours at the University.

4.5.3. An Employee must disclose the use of significant University resources (including faculty, students, support staff, facilities, equipment, or confidential information) in carrying out any outside, compensated or voluntary, professional/commercial activities.

4.5.4. An Employee must disclose service as principal or co-principal investigator for sponsored projects submitted and managed through other academic, federal, or commercial institutions, excluding subcontracts awarded to the University of North Dakota and/or multi-site training or research projects.

4.5.5. An Employee must disclose service as a manager of an outside business activity in his/her professional field.

4.5.6. An Employee must disclose use of University resources to create, discover, or reduce to practice, patentable inventions which have not been disclosed to the University.

4.6. Employees

Employees, for the purposes of this Conflict of Interest policy only, are all persons who are participating in official University-sponsored activities on a full-time, part-time, or contract basis. This includes volunteers who may have a potential Conflict of Interest. It also includes graduate students who hold research, service, or teaching appointments.

4.7. Executive Head of a Unit

The Executive Head of a Unit means a Dean or his/her designee for an academic unit and Director or Department Head or his/her designee for a non-academic unit. If a conflict exists for the Executive Head of the Unit, the matter will be referred to the next level of administrative authority in the normal reporting lines.

4.8. Inquiry

Inquiry means information gathering and fact-finding to determine whether a Conflict of Interest exists when a Report of Potential Conflict has been made.

4.9. Office of Record

The Office of Record is the office of the Vice President for Research and Economic Development. In addition to all documents required to be sent to the Office of Record by this Conflict of Interest Policy, the Office of Record will house the minutes, the annual report, and any other documents produced by the Conflict of Interest Committee. The Office of Record will retain all documents forwarded to it under this Conflict of Interest Policy for a period consistent with the University's records retention schedule.

4.10. Report of Potential Conflict

A Report of Potential Conflict is the written information delivered to an Appropriate Vice President under Section 6.1. indicating that an Employee may have a Conflict of Interest.

This policy uses disclosure as the key mechanism to identify potential Conflicts of Interest, to evaluate them, and to manage or eliminate them. Employees are required to take the initiative to report promptly all Disclosable Interests. If changes occur in an Employee's activities, situation, or financial status relevant to the initial report, the Employee is required to inform the University of these changes. Conflicts of Interest span a wide spectrum, from those that can be easily managed to those that have such a serious impact that they cannot be permitted; therefore, existence of a Conflict of Interest, real or potential, will not necessarily preclude a particular activity.

5.1. Persons Required to Report

5.1.1. Before September 30 of each year, or within 30 days of the commencing of employment with the University, all Employees are required to report all Disclosable Interests.

5.1.2. Principal Investigators must also assure that personnel listed in a proposal or potential contract have filed appropriate documentation as described in Section 5.2 prior to submitting the proposal or potential contract to the Vice President for Research and Economic Development.

5.2. Documentation

5.2.1. All University Personnel

1. Annually, all Employees must file with the Executive Head of the Unit, a Financial Interests Disclosure Document (Form 1). If any Employee declares a significant financial interest on Form 1, a Description of Financial Interest Activity (Form 2) must be completed for each entity or activity and submitted to the Executive Head of the Unit. Principal Investigators submitting an external grant proposal must have on file with the Office of the Vice President for Research and Economic Development a current Form 3. Notwithstanding the foregoing, an Executive Head of a Unit may waive the requirement to file the documents listed above for Employees who are volunteers or who work part-time. The Executive Head of the Unit will notify the Appropriate Vice President of the identity of any person for whom a waiver was granted.

2. Notwithstanding the above, on an annual basis, graduate students who do not submit external grant proposals as principal investigators and facilities and dining services personnel in the 6000 and 7000 bands (information concerning the broadbanding classification of personnel is available from the Office of Human Resources), excluding those in lead or supervisor positions, will be notified separately of the conflict of Interest Policy and its requirements. If any graduate student or person in the 6000 and 7000 bands believes that he or she has a Conflict of Interest, he or she must file with the Executive Head of the Unit, a Financial Interests Disclosure Document (Form 1) and a Conflict of Commitment Document (Form 2).

3. If the Employee's financial/business interests and/or time commitments materially change during the year, Forms 1, 2, and 3 must be revised within 30 days of the changeb. If the employee's status changes during the year regarding financial/business interests and/or time commitment, Forms 1, 2, and 3 must be revised at the time of the change.

5.2.2. Principal Investigators

1. Funding proposals cannot be submitted until all Conflict of Interest issues have been resolved and documented. Therefore, it is incumbent on the investigator to have the appropriate documentation and approval(s) prior to submission of a proposal for University review. Limited to PHS awardees: For PHS proposals that contain subcontracts, the PI will have to submit documentation indicating whether the investigators working on the subcontract will be following the UND policy on conflict of financial interest or the investigators institution's policy. In the former case the PI will need appropriate documentation from all key personnel. In the latter case the PI will need to supply documentation signed by an authorized representative of the subcontractor's institution indicating that the institution has a PHS compatible conflict of interest policy which is followed by the institution.

2. If the Employee's financial/business interests and/or time commitments materially change during the year such that it affects the design, conduct, or reporting of the research or educational activities of a proposal, Forms 1, 2, and 3 must revised within 30 days of the change.

3. Limited to PHS awardees: Principal Investigators must also assure that all individuals listed in a proposal or potential contract have filed appropriate documentation as described in this Section 5.

5.3. Evaluation

5.3.1. The Executive Heads of Units have the responsibility to evaluate all documentation provided by Employees in the unit, and to document, and manage all Conflicts of Interests.

5.3.2. The Employee has the responsibility to respond to inquiries from the University in connection with any report.

5.3.3. The Executive Head of the Unit will review all relevant forms and complete Section III of the Disclosable Interests Document (Form 1). The review has two possible designated outcomes:

1. No Conflict of Interest exists.

When the Executive Head of the Unit determines that no Conflict of Interest exists, no further review of the documentation is required. All completed and signed original documents will be forwarded to the Office of Record.

2. A Conflict of Interest may exist.

When the Executive Head of the Unit determines that a Conflict of Interest may exist, he/she will draft a brief summary of what led to that conclusion. The summary must include suggested terms for a memorandum of understanding for managing the conflict. All completed and signed original documents completed forms will then be forwarded to the Appropriate Vice President or his/her designee for further review.

5.3.4. The Appropriate Vice President or his/her designee has the responsibility to evaluate and render a decision regarding all potential Conflict of Interest cases that have been forwarded to him/her. The Appropriate Vice President or his/her designee may consult outside experts before reaching a decision. The Appropriate Vice President or his/her designee will review all relevant forms and complete Section III of the Disclosure Interests Document (Form 1). The evaluation has three possible designated outcomes:

1. No conflict of interest exists.

If the Appropriate Vice President or his/her designee determines that no Conflict of Interest exists, no further review of the documentation is required. The Appropriate Vice President will draft a memorandum outlining the rationale for the determination, a copy of which will be sent to the Employee and the Executive Head of the Unit.

2. A Conflict of Interest exists, but the risk to the University can be managed.

If the Appropriate Vice President or his/her designee determines that a Conflict of Interest exists, but that any risk to the University can be managed, the Appropriate Vice President or his/her designee, in consultation with the Employee and the Executive Head of the Unit, will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be managed.

3. A significant Conflict of Interest exists and the risk to the University cannot be managed.

If the Appropriate Vice President or his/her designee determines that a Conflict of Interest exists and that the risk to the University cannot be managed, the Appropriate Vice President or his/her designee, in consultation with the Employee and the Executive Head of the Unit, will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be eliminated.

Upon completion of the review, the signed originals of all documents will be forwarded to the Office of Record and copies will be sent to the Executive Head of the Unit and Employee. If a Memorandum of Understanding is required, after consultation with the Employee and the Executive Head of the Unit, the Appropriate Vice President or his/her designee will draft the document and forward it to the Executive Head of the Unit and Employee for signatures. The signed original Memorandum of Understanding will be forwarded to the Office of Record and a copy will be sent to the Executive Head of the Unit and employee. If the Employee does not appeal the decision of the Appropriate Vice President, such decision will be final.

5.4. Conflicts Involving Administrators

5.4.1. In actual or potential Conflicts of Interest involving administrators at the level of Dean, Director, or higher, annual disclosure documentation will be delivered to the Appropriate Vice President or his/her designee, who will make a recommendation consistent with this policy. Appeals will be handled as provided in Section 7 of this policy. If the administrator does not appeal the decision of the Appropriate Vice President, such decision will be final.

5.4.2. In actual or potential conflicts of interest involving administrators at the level of Vice President, disclosures will be reviewed by the President, who will evaluate the disclosure for possible Conflict of Interest.

Following review, the signed original will be forwarded to the Office of Record and the Administrator will be notified of the decision in writing. If a Memorandum of Understanding is required, the Appropriate Vice President or his/her designee (or, in cases involving Vice Presidents, the President) will draft the document and forward it to the Administrator for his/her signature. The signed original Memorandum of Understanding will be forwarded to the Office of Record and a copy sent to the Administrator.

6.1. Report of Potential Conflict

Any person with information regarding a potential Conflict of Interest involving an Employee may make a Report of Potential Conflict, in writing, to the Appropriate Vice President for the Employee. A Report of Potential Conflict may also be submitted via any system operated by the University or the State of North Dakota for whistle blowers. If the person does not know the identity of the Appropriate Vice President, then the information may be delivered to any Vice President, who will determine the identity of and deliver the information to the Appropriate Vice President.

6.2. Pre-Inquiry Review by the Appropriate Vice President

The Appropriate Vice President or his/her designee will review any Report of Potential Conflict to determine whether:

6.2.1. The potential Conflict of Interest is within the purview of this Conflict of Interest Policy;

6.2.2. The Employee has previously disclosed the information contained in the Report of Potential Conflict under the procedures contained in Section 5;

6.2.3. Other policies and procedures, such as those relevant to employment grievances, should be invoked;

6.2.4. The allegation is outside the purview of the University;

6.2.5. The allegation is clearly without substance.

If an Inquiry is determined to be unwarranted, the Appropriate Vice President or his/her designee will prepare an internal memorandum-for-file including a statement of the allegation and the rationale for not conducting an inquiry. This memorandum will be forwarded to the Office of Record. A copy will be given to the Employee who is the subject of the Report of Potential Conflict.

If, during the Pre-Inquiry Review, the Employee makes a voluntary disclosure of the potential Conflict of Interest as provided in Section 5, the Appropriate Vice President may terminate the Pre-Inquiry Review and the potential Conflict of Interest will be assessed using the procedures in Section 5.

If the Appropriate Vice President or his/her designee determines that an Inquiry is warranted, the Inquiry process will be initiated. The Appropriate Vice President may consider the failure of the Employee to voluntarily disclose the potential Conflict of Interest in determining whether to assess the Potential Conflict of Interest using the process in Section 6.3

6.3. Inquiry Process

6.3.1. Purpose

After review by the Appropriate Vice President or his/her designee and a determination that there is a potential Conflict of Interest, the Appropriate Vice President or his/her designee will initiate an Inquiry. The purpose of the Inquiry is to explore further the allegations and determine whether a Conflict of Interest exists and, if a Conflict of Interest does exist, to determine the best method for managing it. The Inquiry will focus on the existence of a Conflict of Interest as defined in this Conflict of Interest Policy and examine the factual materials of each case. In the course of the Inquiry, additional information may emerge that justifies broadening the scope of the Inquiry beyond the initial allegations.

6.3.2. Procedure

The Appropriate Vice President or his/her designee will determine the appropriate method for conducting the Inquiry Process. This may entail the appointment of a person or committee to gather factual information. The Appropriate Vice President or his/her designee will notify the Employee in writing of the decision to begin the Inquiry and of the procedures that will be used to gather information

All factual findings will be evaluated by the Appropriate Vice President or his/her designee. The evaluation has three possible designated outcomes:

1. No Conflict of Interest exists.

If the Appropriate Vice President or his/her designee determines that no Conflict of Interest exists, no further review of the documentation is required.

2. A Conflict of Interest exists, but the risk to the University can be managed.

If the Appropriate Vice President or his/her designee determines that a Conflict of Interest exists, but that any risk to the University can be managed, the Appropriate Vice President or his/her designee, in consultation with the Employee and the Executive Head of the Unit, will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be managed.

3. A significant Conflict of Interest exists and the risk to the University cannot be managed.

If the Appropriate Vice President or his/her designee determines that a Conflict of Interest exists and that the risk to the University cannot be managed, the Appropriate Vice President or his/her designee, in consultation with the Employee and the Executive Head of the Unit, will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be eliminated.

Upon completion of the review, the signed originals of all documents will be forwarded to the Office of Record and copies will be sent to the Executive Head of the Unit and Employee. If a Memorandum of Understanding is required, after consultation with the Employee and the Executive Head of the Unit, the Appropriate Vice President or his/her designee will draft the document and forward it to the Employee for signature. The signed original Memorandum of Understanding will be forwarded to the Office of Record and a copy will be sent to the Executive Head of the Unit and Employee. If the Employee does not appeal the decision of the Appropriate Vice President, such decision will be final.

7.1. Initiation of Appeal

An appeal of the decision by the Appropriate Vice President or his/her designee, or by the President in the case of Conflicts of Interest involving Vice Presidents, may be initiated by the Employee.

7.1.1. The Employee must submit a written appeal to the Appropriate Vice President or his/her designee within 30 working days of receiving written notification of the decision. The appeal will then be forwarded to the Conflict of Interest Committee, which will commence the process under subsection 7.2 below.

7.1.2. In the case of an administrator at the level of Dean, Director, or higher, she/he must submit a written appeal to the President within 30 working days of receiving written notification of the decision. The appeal will then be forwarded to the Chair of the Conflict of Interest Committee, which will commence the process under subsection 7.2 below.

7.2. Process and Structure

7.2.1. The Chair of the Conflict of Interest Committee will consult with the Chair of the University Senate to appoint a three-person Committee of Investigation, all without conflict of interest. If the Conflict of Interest involves an Employee who is a member of the faculty, at least two members of the Committee of Investigation must be tenured faculty at the rank of associate or full professor and have appropriate expertise for evaluating the information relative to the case. If the Conflict of Interest involves an Employee who is not a member of the faculty, at least two members of the Committee of Investigation must be members of the staff or administration and have appropriate expertise for evaluating the information relative to the case. Members of the Committee of Investigation may be appointed from outside the University of North Dakota community if, in the judgment of the Conflict of Interest Committee, the circumstances justify such an appointment. Otherwise, the third member will be appointed from within the University and must meet the same requirements as those listed for the first two members. Appointment of a Committee of Investigation will be made within 20 working days, or such later time as agreed to by both the Employee and Chair of the Conflict of Interest Committee, following the receipt of notice by the Conflict of Interest Committee that the written appeal has been submitted to the Appropriate Vice President.

7.2.2. Before the Committee of Investigation is convened, the Chair of the Conflict of Interest Committee will notify the Employee of the procedures that will be used to examine the Conflict of Interest and direct the Employee to this Conflict of Interest Policy for procedural guidance. Further, the Employee will be informed of the proposed membership of the Committee of Investigation for the purpose of identifying, in advance, any real or potential conflicts of interest.

7.2.3. At its first meeting, the Committee of Investigation will elect a chairperson to handle procedural and administrative matters. All Committee of Investigation members will be voting members.

7.2.4. Every effort will be made to complete the Investigation phase within 120 working days; however, it is acknowledged that some cases may render this time period difficult to meet. In such cases, the Committee of Investigation must prepare a progress report for the Chair of the Conflict of Interest Committee that includes the reasons for the delay and an estimate of the additional time necessary for completion of the Investigation.

7.3. Findings

Upon completion of the Investigation, the Committee of Investigation will submit a draft report to the Employee for comment. The Employee will be sent a copy of the draft report by certified mail, return receipt requested. The Employee will be given the opportunity to comment in writing upon the findings and recommendations of the Committee of Investigation. If the Employee chooses to comment, such comments will be forwarded to the Chair of the Committee of Investigation as soon as possible but no later than 20 working days from the date of receipt of the draft report. The Committee of Investigation will then submit the final report to the President, which details the Committee of Investigation's findings.

The final report must include:

7.3.1. Summary of appeal. Describe the findings of the Appropriate Vice President and decision of the Appropriate Vice President that is being appealed,

7.3.2. Policies and procedures. Describe the institutional policies and procedures under which the Investigation was conducted,

7.3.3. Research records and information. Identify and summarize the records and information reviewed, and identify any information taken into custody but not relied upon.

7.3.4. Statement of findings. For each separate possible Conflict of Interest identified during the Investigation, provide a finding as to whether a Conflict of Interest exists, and if so summarize the facts and the analysis which support the conclusion and consider the merits of any reasonable explanation by the Employee;

7.3.5. Recommendation. For each separate possible Conflict of Interest, recommend a way to manage the Conflict of Interest or, if management of the Conflict of Interest is not possible, a reasonable period of time for the Employee eliminate the cause of the Conflict of Interest.

All records of any Investigation will be maintained by the Office of Record

The report will also be sent to the Employee and the President by the Committee of Investigation.

7.4. Final Decision to be made by the President

The report of the Committee of Investigation will be evaluated by the President. The evaluation has three possible designated outcomes:

7.4.1. No Conflict of Interest exists.

If the President determines that no Conflict of Interest exists, no further review of the documentation is required. The President will draft a memorandum outlining the rationale for the determination, a copy of which will be sent to the Employee, the Appropriate Vice President and the Executive Head of the Unit.

7.4.2. A Conflict of Interest exists, but the risk to the University can be managed.

If the President determines that a Conflict of Interest exists, but that any risk to the University can be managed, the President or his/her designee, in consultation with the Employee and the Executive Head of the Unit, will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be managed.3. A significant Conflict of Interest exists and the risk to the University cannot be managed

7.4.3. A significant Conflict of Interest exists and the risk to the University cannot be managed.

If the President determines that a Conflict of Interest exists and that the risk to the University cannot be managed, the President will produce a Memorandum of Understanding to be signed by the University and Employee that details the manner in which the Conflict of Interest will be eliminated.

Upon completion of the review, the signed originals of all documents will be forwarded to the Office of Record and copies will be sent to the Executive Head of the Unit and Employee. If a Memorandum of Understanding is required (and is different from any Memorandum of Understanding produced earlier in the process), the President or his/her designee will draft the document and forward it to the Employee for signature. The signed original Memorandum of Understanding will be forwarded to the Office of Record and a copy must be sent to the Executive Head of the Unit and Employee.

8.1. Management

8.1.1. If a Memorandum of Understanding is signed by the University and the Employee, the Executive Head of the Unit will determine an appropriate method to monitor the situation to ensure compliance with the Memorandum of Understanding.

8.1.2. Limited to PHS awardees: If the Conflict of Interest involves an Employee who is compensated from or has spending authority over funds derived from extramural funding, prior to expending any funds, and if required to do so by funding agency policy, the Vice President for Research and Economic Development or his/her designee will notify the funding agency of the existence of the Conflict of Interest and provide written assurance that the Conflict of Interest is being managed, reduced, or eliminated in accordance with agency requirements.

8.1.3. The University of North Dakota will maintain records of all financial disclosures and of all actions taken to resolve conflicts of interest for ten years after: the termination of the award, completion of the award, or the resolution of any government action involving those records.

8.1.4. Limited to PHS awardees: In addition to its general obligations under State open records law, the Vice-President for Research and Economic Development shall maintain and make available within a reasonable period of time not to exceed five working days to anyone who requests it, information concerning any Disclosable Interest described in subsection 4.5.1 if: a) the Disclosable Interest is still held by the Employee and b) the University has determined under this Policy that the Disclosable Interest was a Conflict of Interest, whether or not that Conflict of Interest is manageable. At a minimum, the information made available to the person who requests it will include: 1) the Employee's name; 2) the Employee's title and role within any research projects currently receiving extramural funding; 3) the name of any entity associated with the Disclosable Interest; 4) the nature of the Disclosable Interest and 5) the approximate value of the Disclosable Interest or a statement that the Disclosable Interest is not one that can be readily valued through reference to public prices or other reasonable measures of fair market value.

8.2. Enforcement

The Appropriate Vice President or his/her designee is responsible for:

8.2.1. ensuring that Executive Heads of all units obtain annual Conflict of Interest documentation from each Employee,

8.2.2. enforcing compliance with this Conflict of Interest Policy, and

8.2.3. providing the Purchasing Office, on a monthly basis, with lists of those Employees who, under a Memorandum of Understanding, have limits placed on their ability to direct the expenditure of University funds and those Employees who have failed to file their annual Conflict of Interest documentation.

8.3. Employment Conditions

Each Employee must comply with the terms of any Memorandum of Understanding entered into between the University and the Employee and/or by the terms of any final decision under Sections 5, 6 or 7. Any Employee who does not comply may be subject to employment conditions including, but not limited to:

• Administrative supervision of funded research,
• Completion of supplementary training in conflicts of interest,
• Administrative supervision of the use of University facilities and properties
• Freeze or loss of research funds or accounts,
• Loss of privileges in the use of University facilities and property,
• Rescission of contracts with entities or Employees,
• Criminal or civil legal action, and
• Termination of employment.