| A. |
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 of North
Dakota. A conflict can involve commitment
of time, research integrity, or financial
gain. |
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A conflict
of time commitment means employee
involvement in and commitment to unauthorized
non-university activities that interfere
with obligations to students, colleagues,
and the primary mission of the University. |
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A conflict
of research integrity means any
obligation between an employee and 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. |
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A conflict
of financial interest means influencing
the University in such a way as to lead
to unauthorized direct or indirect financial
gain for the employee or any member of
the employee’s close family (spouse
and/or dependent children). Conflicts
of financial interest may arise when a
person who has a significant financial
interest in a non-university
entity a) can also influence or approve
purchase of goods or services worth more
than $10,000 per year in their university
role, or b) is responsible for the design,
conduct, or reporting of research supported
by federal agencies. |
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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). |
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The term does
not include: |
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1. |
remuneration
from the University of North Dakota including
such things as salary and royalties derived
from copyrights or patents arising from
University-related work; |
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2. |
income from seminars,
lectures, or teaching engagements sponsored
by public or nonprofit entities; |
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3. |
income from service
on advisory committees or review panels
for public or nonprofit entities; |
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4. |
an equity interest that
when aggregated for the employee and the
employee’s spouse and/or dependent
children meets both of the following criteria:
does not exceed $10,000 in value as determined
through reference to public prices or
other reasonable measures of fair market
value, and does not represent more than
a five percent ownership interest in any
single entity; |
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5. |
salary, royalties or
other payments 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 $10,000. |
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| B. |
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 an Executive
Head of a unit, the matter will be referred
to the next level of administrative authority
in the normal reporting lines. |
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| C. |
Conflict
of Interest Committee
The Conflict of Interest/Scientific Misconduct
(COI) Committee is charged by the University
Senate to develop and implement conflict
of interest policy. It will be comprised
of eight members, six members elected
by the University Senate and two elected
by the Staff Senate. The Vice President
for Research or his/her designee will
serve in an ex officio (non-voting) capacity.
Administrative services will be provided
by the Vice President for Research or
his/her designee. The Committee will serve
in an advisory capacity to the Vice President
for Research or his/her designee regarding
conflict of interest issues, as defined
in this document. The responsibilities
and functions of the Conflict of Interest/Scientific
Misconduct Committee regarding conflict
of interest, as defined by the University
Senate, are to: |
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1. |
Review federal
and non-federal funding agency policies
and develop/revise university policies
to conform with federal policies. This
will include a thorough review of Committee
policies in even-numbered years as preparation
for issues arising in the State legislative
session in odd-numbered years. This review
is to be submitted to the Senate Executive
Committee, the Senate Legislative Affairs
Committee, and the Vice President for
Research or his/her designee. |
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2. |
Receive conflict
of interest management training. |
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3. |
Take a proactive
role to inform faculty and personnel of
changes and potential areas of concern. |
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4. |
Provide advice
and consultation to the appropriate Vice
Presidents and/or Executive Heads regarding
referrals and complaints relative to conflict
of interest. |
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5. |
Maintain and
keep current the Committee website. |
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6. |
Prepare an
annual report on Committee actions and submit
it to the University Senate secretary two
weeks before the April Senate meeting. |
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The
Office of Record for the Committee is the
office of the Vice President for Research,
which will house the minutes, the annual
report, and the review of Committee policies
in preparation for legislative action. The
minutes and annual reports will be retained
for six years after the current fiscal year,
and the policies will be retained for three
years after they have been superceded. |
