| A. |
Financial
Disclosure |
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1. |
On an annual
basis, all personnel are required to disclose
information relevant to conflicts of interest.
Personnel, for the purposes of this policy
only, are all persons who are employed
by the University on a full-time, part-time,
or contract basis. It also includes graduate
students who hold research, service, or
teaching appointments; or persons serving
as volunteers who may have a potential
conflict of interest. |
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2. |
Principal
Investigators must also assure that personnel
listed in a proposal or potential contract
have filed appropriate documentation as
described in section IV.B. |
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| B. |
Documentation
(Forms 1-4 are attached) |
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1. |
All University
Personnel |
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a.
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Annually, all
personnel must file with the Executive Head
of the unit, a Financial Interests Disclosure
Document (Form 1) and a Conflict of Commitment
Document (Form 2). |
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i. |
If any employee
declares a significant financial interest
on Form 1, a Description of Financial Interest
Activity (Form 3) must be completed for
each entity or activity and submitted to
the Executive Head of the unit. |
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ii. |
The director of purchasing
will be given a list of those authorized
to enter into financial transactions on
behalf of the University, or those who are
in a position to influence those transactions. |
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b. |
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. |
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2. |
Principal Investigators |
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a.
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In addition
to the documentation required for all personnel,
Principal Investigators submitting an external
grant proposal must have on file with the
Office of the Vice President for Research
a current Certification of Filing of Financial
Interests Disclosure Document (Form 4).
Form 4 remains valid for a one year period. |
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b.
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Extramural
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. |
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c.
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If the employee’s
status changes during the year regarding
financial/business interests and/or time
commitment, such that it affects the design,
conduct, or reporting of the research or
educational activities of a proposal, Forms
1, 2, and 3 must be resubmitted to reflect
the change. |
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| C. |
Evaluation |
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1. |
Executive
Heads of units have the responsibility
to evaluate, document, and manage all
potential conflict situations. |
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2. |
The office
of the Vice President for Research is
the office of record for all conflict
of interest documentation. |
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3. |
The employee
has the responsibility to respond to inquiries
from the University in connection with
any report. |
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4. |
The Executive
Head must review all relevant forms and
complete Section II of the Financial Interests
Disclosure Document (Form 1) and/or Conflict
of Commitment Document (Form 2). The review
has two possible designated outcomes: |
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a.
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No
conflict of interest exists:
The requested activity
may then take place, provided it is in
compliance with other University policies
and procedures. |
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b.
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A
conflict of interest may exist:
The requested activity
may then take place, provided it is in
compliance with other University policies
and procedures. |
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In
all cases, completed and signed
original documents must be forwarded to/retained
by the office of the Vice President for
Research. |
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5. |
The Vice
President for Research 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 Vice President
for Research or his/her designee may consult
outside experts before reaching a decision.
The Vice President for Research or his/her
designee must review all relevant forms
and complete Section III of the Financial
Interests Disclosure Document (Form 1)
and/or Conflict of Commitment Document
(Form 2). The evaluation has four possible
designated outcomes: |
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a.
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No
conflict of interest exists:
The requested activity
may then take place, provided it is in
compliance with other University policies
and procedures. |
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b.
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A minor conflict
of interest exists but it does not place
the University at risk.
Therefore, the activity
is permitted with no conditions imposed. |
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c.
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A conflict of
interest exists and the activity is limited
by conditions detailed in a Memorandum
of Understanding between the Investigator
and the Vice President for Research or
his/her designee. |
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d.
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A significant
conflict of interest exists that cannot
be managed by imposition of conditions,
and involvement in the activity is prohibited. |
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Upon completion,
the signed original will be retained in
the office of the Vice President for Research
and copies will be sent to the Executive
Head and employee. If a Memorandum of
Understanding is required, the Vice President
for Research or his/her designee shall
draft the document and forward it to the
Executive Head and employee for signatures.
The signed original Memorandum of Understanding
must be retained by the office of the
Vice President for Research and a copy
must be sent to the Executive Head and
employee. |
| D. |
Conflicts
Involving Administrators |
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1. |
In actual
or potential conflicts of interest involving
administrators at the level of Dean, Director,
or higher, initial disclosure will be
made to the Vice President for Research
or his/her designee, who will make a recommendation
consistent with this policy. Appeals will
be handled as stipulated in section IV.E
of this policy. |
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2. |
In actual
or potential conflicts of interest involving
Vice Presidents, disclosures will be reviewed
by the President, who will have final
approval authority. Appeals will be handled
as stipulated in section IV.E of this
policy. |
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Following
review, the signed original must be retained
in the office of the Vice President for
Research and the Administrator will be
notified of the decision in writing. If
a Memorandum of Understanding is required,
the Vice President for Research or his/her
designee or President shall draft the
document and forward it to the Administrator
for his/her signature. The signed original
Memorandum of Understanding must be retained
in the office of the Vice President for
Research and a copy sent to the Administrator. |
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| E. |
Appeals |
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An appeal
of the decision by the Vice President
for Research or his/her designee or by
the President in the case of conflicts
of interest involving Vice Presidents
may be initiated by the employee. |
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1. |
The employee
must submit a written appeal to the Vice
President for Research 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 evaluate
it and make a determination within 30
working days. |
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2. |
In the
case of a vice president, 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 Conflict
of Interest Committee, which will evaluate
it and make a determination within 30
working days. |
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3. |
The Committee’s
decision will be binding and will be conveyed
in writing to the employee and the Executive
Head. The original document will be retained
by the office of the Vice President for
Research. |
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| F. |
Management
of Conflict of Interest |
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1. |
If a conflict
of interest is deemed to exist and the
activity is permitted, the Executive Head
will monitor the situation to ensure compliance
with the Memorandum of Understanding. |
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2. |
Prior to
expending any funds, and if required to
do so by funding agency policy, the Vice
President for Research or his/her designee
will notify the funding agency and provide
written assurance that the conflict of
interest is being managed, reduced, or
eliminated in accordance with agency requirements. |
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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. |
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| G. |
Other
Situations Subject to Review and Approval |
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1. |
For situations
not involving a financial conflict of
interest or a conflict of commitment (e.g.,
significant use of University facilities
or resources, student involvement in research
with a publication restriction, technology
transfer, etc.), the employee will submit
a request in writing, explaining all pertinent
circumstances, to the Executive Head of
the unit. |
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2. |
The Executive
Head of the unit will provide a decision
and reasons for the decision in a timely
fashion. The Executive Head will have
the option of referring the matter for
consultation or final decision-making
to a higher level, such as a Vice President. |
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3. |
The official
file for all requests and determinations
will be located in the office of the Vice
President for Research. |
