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III. PERSONNEL INFORMATION |
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| NOTE: This is the March 1999 edition of the Faculty Handbook. Please be aware that many of the policies have changed or are out of date. A Senate Committee is currently working on an update. Any errors or discrepancies that you may find should be reported to the Office of the Vice President for Academic Affairs and Provost. | |
 III-1
NONDISCRIMINATION |
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It is the policy of this state to prohibit discrimination on the basis of race, color, religion, sex, national origin, age, the presence of any mental or physical disability, status with regard to marriage or public assistance, or participation in lawful activity off the employer's premises during non-working hours which is not in direct conflict with the essential business-related interests of the employer; to prevent and eliminate discrimination in employment relations, public accommodations, housing, state and local government services, and credit transactions; and to deter those who aid, abet, or induce discrimination, or coerce others to discriminate.North Dakota Century Code 14-02.4-01
The University maintains a policy of nondiscrimination based on race, color, religion, creed, sexual orientation, national origin, sex, disability, or age in its services to the public, educational programs, financial aid, University-approved housing and food services, benefits and compensation, access to facilities, extracurricular activities, and employment of faculty, staff, and students.
Page, Equal Opportunity Officer, 11-23-98
SEE ALSO: UND Faculty Handbook VII-4.4 (North Dakota Century Code 34-11.1 [Public Employees Relations Act]), VII-6.2 (Policy on Significant Infectious Diseases); UND Code of Student Life
1.1 EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
1.1.1 STATE BOARD OF HIGHER EDUCATION POLICY: EQUAL EMPLOYMENT OPPORTUNITY
Every vacant position shall be filled by considering all applicants with regard to the qualifications and performance requirements of the job. Discrimination based upon sex, race, color, religion, age, physical or mental disability, status with regard to marriage or public assistance, or participation in lawful activity off the employer’s premises during non-working hours in appointment, promotion, salary, or conditions of employment is prohibited.
Discrimination against an employee or applicant for employment, with respect to working conditions, work place assignment, or other privileges of employment, merely because the employee’s or applicant’s spouse is also an employee is prohibited. This prohibition does not apply to employment of the spouse of a person who has the power to hire or fire, or make evaluations of performance, with respect to the person involved. Employment in a department or institution headed or supervised by the employee’s spouse is permitted only if the spouse does not have the power to hire or fire or make evaluations of performance and such employment is consistent with SBHE Policy Section 603.3
State Board of Higher Education Policy Manual, 01-20-94, Section 603.2
SEE ALSO: UND Faculty Handbook VII-4.1 (North Dakota Century Code 15-10-17(4) [Specific powers and duties of board of higher education]); UND Code of Student Life; UND Administrative Manual
1.1.2 UND POLICY: EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTION
Appointment and promotion of all University faculty members shall be based on appropriate qualifications and performance. Relatives or spouses may be appointed to the same department provided that a vacancy exists, authorization has been given to fill the position and that salary and other benefits are in accord with responsibilities of the position and the experience and scholarly reputation of the appointee. No administrator, however, shall initiate or participate in institutional decisions involving direct benefit (initial appointment, retention, promotion, salary, leave of absence, etc.) to relatives or spouses. In such instances, all final decisions on faculty appointment shall be referred to the Vice President for Academic Affairs. (In instances involving graduate assistants, the decision shall be referred to the Graduate Dean; and for classified personnel, to the Director of Personnel Services.)
The University's objective is to eliminate discrimination in appointments, promotions, wages, hours, or other conditions of employment. It is not the intent of this policy to encourage or discourage the employment of relatives within the same unit, but rather to emphasize the concept that the selection of personnel shall be solely on the basis of merit.
UND is an affirmative action employer as required by federal contract regulations. The University undertakes an evaluation of its workforce, analyzes workforce availability based on its major job groups and academic disciplines, and where appropriate, will make good faith efforts to enhance its recruitment and selection of women, minorities, individuals with disabilities, and veterans of the Vietnam era and disabled veterans. It also will promote programs, projects, and other opportunities that encourage the development and advancement of faculty and staff in their work and academic pursuits. Women, minorities, individuals with disabilities, and veterans of the Vietnam era and disabled veterans are invited to participate in any affirmative action or diversity opportunity for which they are eligible and which may meet their and/or the University’s needs.
Ettling, Interim Vice President for Academic Affairs and Provost, 11-23-98; Page, Affirmative Action Officer, 11-23-98.
SEE ALSO: UND Faculty Handbook VII-4.1 (North Dakota Century Code, 15-10-17(4) [Specific powers and duties of board of higher education], 44-04-09 [Nepotism], 44-04-10 [Violations of provisions against nepotism]); Executive Order 11246, as amended; Section 503, Rehabilitation Act of 1973, as amended; Vietnam Era Veterans’ Readjustment and Assistance Act of 1974, as amended.
1.1.3 REQUEST FOR ACCOMMODATION PROCESS
An employee with a disability who needs an accommodation in order to perform the essential functions of their position must notify his/her supervisor. An accommodation request form must be completed and submitted to his/her supervisor who will then submit the form to the Affirmative Action Office. Forms are available from the Affirmative Action Office. Medical information may be needed to determine and identify effective accommodation. All medical information is kept confidential and separate from personnel files. For more detailed information, please contact the Affirmative Action Office at 777-4171.
Sally Page, Affirmative Action Officer, 8-22-00
1.2 SEXUAL HARASSMENT
1.2.1 STATE BOARD OF HIGHER EDUCATION POLICY: SEXUAL HARASSMENT
1. Each institution shall:a. Adopt a policy, consistent with applicable state and federal laws and regulations, prohibiting sexual harassment in connection with any activities associated with the institution;
b. Disseminate the sexual harassment policy to all current and new employees and to all students through appropriate publications;
c. Provide instruction regarding the policy in employee training programs;
d. Periodically review the effectiveness of the policy;
e. Maintain records relating to sexual harassment, including a record of all complaints filed;
f. Provide as part of the policy a grievance procedure within the institution for the reporting, investigation and disposition of sexual harassment complaints.
2.Institution policy shall include provisions governing relationships between faculty or other institution employees and students. Policies shall explicitly prohibit any form of sexual harassment of students, require disclosure by an employee of a romantic or sexual relationship with a student when the employee is responsible for actions affecting the student's academic standing, grades, scholarship or grant awards or employment at the institution, and establish procedures for eliminating a conflict or potential conflict of interest in the exercise of the employee's authority.
State Board of Higher Education Policy Manual, 6-20-96, Section 603.1
1.2.2 UND GUIDELINES: DISCRIMINATION BECAUSE OF SEX
A. Harassment on the basis of sex is a violation of Section 703 of Title VII (Civil Rights Act of 1964). Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute harassment when (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individuals's employment, (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual, or (3) such conduct has the purpose or effect of unreasonably interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.
B. In determining whether alleged conduct constitutes sexual harassment, the University will look at the record as a whole and the totality of the circumstances, such as the nature of the sexual advances and the context in which the alleged incidents occurred. The determination of the legality of a particular action will be made from the facts, on a case by case basis.
C. Applying general Title VII principles, UND is responsible for its acts and those of its agents and supervisory employees with respect to sexual harassment regardless of whether the specific acts complained of were authorized or even forbidden by the University and regardless of whether the University's administration knew or should have known of their occurrence.
D. With respect to conduct between fellow employees, UND is responsible for acts of sexual harassment in the workplace when the University (or its agents or supervisory employees) knows or should have known of the conduct, unless it can show that it took immediate and appropriate corrective action.
E. The University also may be responsible for the acts of non-employees, with respect to sexual harassment of UND employees in the workplace, when the University (or its agents or supervisory employees) knows or should have known of the conduct and fails to take immediate and corrective action.
1.The University of North Dakota discourages consensual relationships, i.e., amorous, romantic, or sexual relationships, between faculty and students, staff and students, supervisors and subordinates, and students who have an authority relationship over other students. This policy is in effect when one individual has a control, power, authority, or responsibility position over another. UND expressly prohibits any form of sexual harassment of employees and students when a previous consensual relationship ceases to exist or such a relationship is rejected by one of the parties.
2. If the parties do engage in a consensual relationship as defined above, the person in the authority position is obligated to report the relationship to his or her department head or supervisor immediately. Failure to report the relationship or any significant delay in reporting may be cause for disciplinary action. Documentation of the reporting and any subsequent actions taken by the department head or supervisor, such as advising the parties of the potential for sexual harassment charges if the relationship ends, is required.
University policy on equal opportunity and nondiscrimination is in effect. This policy includes sexual harassment under sex discrimination guidelines and covers academic and classified staff. Title IX, Education Amendments of 1972, covers students in federally assisted programs. The State Personnel Board has adopted sexual harassment policies for state employees. These policies prohibit sexual harassment and prohibit retaliation against a person filing a sexual harassment complaint.
Questions concerning the applicability of these guidelines to specific situations or incidents should be directed to the Affirmative Action Officer. Grievance procedures for complaints of discrimination are outlined in the Administrative Manual and in a brochure which is available from the Affirmative Action Office. Following an investigation and a finding of sexual harassment, the employee(s) accused of sexually harassing another may be disciplined, including termination from the University.
Page, Affirmative Action Officer, 11-23-98
SEE ALSO: Section 703, Title VII ( Civil Rights Act of 1964 [Public Law 88-352], as amended); State Board of Higher Education Policy 603.1; and UND Code of Student Life
The Affirmative Action Office is responsible for oversight of the University's affirmative action program; Rehabilitation Act of 1973, Sections 503 and 504; The Americans with Disabilities Act; Titles VI and VII of the Civil Rights Act of 1964; and Title IX of the Education Amendments of 1972 as well as reasonable compliance with federal and state laws and regulations involving civil rights, equal employment, and equal educational opportunity. Under equal employment and equal educational opportunity, the University declares that it will not discriminate on the basis of race, color, religion, sexual orientation, creed, national origin, sex, disability, or age. Covered in the affirmative action programs are concerns to hire, promote, provide advancement, develop training programs, and otherwise encourage the inclusion of members of minority groups (racial/ethnic designations: African-American/Black, Hispanic/Latino, Asian/Pacific Islander, Native American/American Indian/Alaskan Eskimo or Aleut), women, persons with disabilities, and Vietnam era and disabled veterans in the mainstream of University employment, education, and services where these individuals as a class may have had limited opportunities in the past.
Under rules and regulations required of federal contractors and recipients of federal monies, UND may utilize affirmative action programs to positively encourage the employment of women and minorities in those areas of the University in which workforce underutilization exists. Affirmative action may include, but is not limited to, specialized recruitment, training programs, internships, special projects, or other efforts necessary to employ or to advance in employment women or minorities. Affirmative action may be taken to enhance the employment opportunities of qualified disabled individuals.
Qualified disabled employment applicants or employees, both faculty and staff, may require reasonable accommodation to carry out their job functions. The disabled individual needs to be on record with the University that he or she is vocationally disabled. The faculty member should discuss any accommodation requirements with the department chairperson or department head. The Affirmative Action Officer can provide assistance to the individual and to the department in achieving that accommodation. The North Dakota Division of Vocational Rehabilitation also is available for assistance to disabled persons. Section 504 of the Rehabilitation Act of 1973 requires that complaint procedures be made available to qualified individuals who meet eligibility requirements for receipt of services.
The Affirmative Action Office maintains a resource library on current publications related to equal opportunity, affirmative action, and issues related to persons, minorities, and women. Copies of the Affirmative Action Plan are available upon request. Job announcements received in the Affirmative Action Office from other universities and employers are regularly sent to Career Planning and Placement for posting and to appropriate academic and nonacademic units. The Affirmative Action Office will receive and keep on file resumes of individuals who are protected classes and who are looking for employment.
Those individuals who believe that they have been victims of unlawful discrimination are encouraged to contact the Affirmative Action Office. Grievance procedures and affirmative action/equal employment opportunity hiring procedures are available at the office and in the Administrative Manual.
All University publications, flyers, brochures, bulletins, forms, and other material disseminated to students, prospective students, faculty, staff, or to the public are required to carry the University's Equal Opportunity Policy Statement. Departments need to check with the Office of University Relations for the precise wording.
Page, Affirmative Action Officer, 12-14-98
SEE ALSO: UND Faculty Handbook III-12.3 (Equal Opportunity Grievance Procedure); UND Administrative Manual
1.4 EQUAL OPPORTUNITY/AFFIRMATIVE ACTION POLICY STATEMENT AND PROCEDURES FOR COMPLAINTS OF DISCRIMINATION OR HARASSMENT
A. Mission and Priorities
The University of North Dakota does not tolerate harassment in any form. It is contrary to the stated mission of the University to serve "the state, the country, and the world community" and to encourage "students to make informed choices, to communicate effectively, to be intellectually curious and creative, to commit themselves to lifelong learning and the services of others, and to share responsibility both for their own communities and for the world." See University of North Dakota Mission Statement. It is in direct conflict with the identified priorities of the University to "reflect and promote respect and appreciation for diversity, human rights, and differences of opinion"; to "maintain clear and open lines of communication"; and to "ensure a positive work environment."See University Campus Climate Priority Action Areas. It is recognized that the existence of harassment disrupts all areas of the University community.
B. Employment
The University of North Dakota practices a policy of non-discrimination in recruiting, hiring, and promoting all of its employees—faculty, staff, and students. It is committed to administering all personnel actions including, but not limited to, demotion, transfer, use of facilities, treatment during employment, rates of pay or other forms of compensation, selection for training, lay off, or termination without regard to race, color, national origin, religion, sexual orientation, sex, age, creed, martial status, veteran’s status, political belief or affiliation, or physical, mental, or medical disability unrelated to the ability to engage in activities involved with the job. The University of North Dakota actively supports an affirmative action program in order to provide equal employment and educational opportunity in all areas: academic, supportive, and construction.
C. Educational Programs and Activities
It is the policy of the University of North Dakota that there shall be no discrimination against persons because of race, religion, age, creed, color, sex, disability, sexual orientation, national origin, martial status, veteran’s status, or political belief or affiliation, and that equal opportunity and access to facilities shall be available to all. This policy is particularly applicable in the admission of students in all colleges and in their academic pursuits. It is also applicable in University owned or University approved housing, food services, extracurricular activities, and all other student services. It is the guiding policy in the employment of students either by the University or by outsiders through the University and in the employment of faculty and staff.
II. HARASSMENT POLICY
Harassment of an individual or group that is related to their status in a protected class that is sufficiently severe, persistent, or pervasive so as to interfere with or limit the ability of the individual or group to participate in or benefit from the University of North Dakota’s programs or activities is prohibited. Harassment may take the form of oral, written, graphic, or physical conduct that is related to an individual’s or group’s protected class status. This includes gender, race, national origin, color, disability, or other protected classes.
(Title VI, Civil Rights Acts of 1964, as amended; Title IX, Education Amendments of 1972, as amended; Age Discrimination Act of 1975; Section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act of 1991; UND Faculty Handbook, Section III-1.2, 1.2.1, 1.2.2; North Dakota State Board of Higher Education Policy Manual, Section 602.1; North Dakota University System Human Resource Policy Manual; UND Code of Student Life Section 1, 1-1, 1-3 1-13, 1-14, Appendix I. Final 12/13/02)
III. REPORTING PROCEDURE AND DOCUMENTATION
All members of the University community are encouraged to report incidents of discrimination and harassment to University authorities. Incidents of discrimination or harassment may occur in a variety of situations and therefore reporting should be to the following offices:
A. Dean of Students Office – handles complaints by students and other University affiliated personnel, usually after being reviewed at the departmental level concerning behaviors of one or more students in social, cultural, living, academic, or related environments;
B. UND Police Department – handles complaints by all individuals concerning hate crimes, criminal behavior, and activities, which may endanger an individual, a group, or property;
C. Academic Deans – handle complaints: (1) of students in academic settings under their authority including, but not limited to, faculty or staff discrimination or harassment of a student in an academic environment; professional relationship; internship, cooperative education, clinical, field site, or student teaching experience; or personal (consensual) relationship; and (2) of faculty and staff in employment settings within the college and programs under the Dean’s control;
D. Non-Academic Department Heads – handle complaints: (1) of students, faculty, and staff in relation to functions under their authority; and (2) of employees under their authority;
E. Residence Services – handles complaints of residents living in residence halls, University Children’s Center, apartments, and camp/conference programs (regarding housing issues only);
F. Student Financial Aid – handles complaints of students employed throughout the University in work-study and institutional employment and handles complaints concerning scholarships and other sources of financial aid;
G. Graduate School – handles complaints of graduate students related to academic issues, graduate assistantships, awards, and scholarships directed to graduate students;
H. School of Medicine and Health Sciences – handles complaints of medical students through the Office of Admissions and Student Affairs; handles complaints of medical residents through the Office of the Program Director at each resident site (Grand Forks, Fargo, Bismarck, and Minot), and the Office of the Dean. All other undergraduates and graduates of the School of Medicine and Health Sciences are handled by the Dean of Students Office and the Graduate School as applicable;
I. School of Law – handles complaints of law students through the Office of the Dean;
J. Affirmative Action Office – handles complaints of any discriminatory or harassment nature of students, faculty, staff, applicants for employment, contractors with the University, and non-University members who may believe that they have been denied aid, benefits, or services because of discrimination or harassment. The Affirmative Action Officer shall consult with and work with University offices, departments, officials, and the complaining party to resolve the complaint; and
K. Other administrative offices, centers (for example, Human Resources, Disability Support Services, Native American Programs, International Center, any Vice President’s Office, President’s Office), and individual faculty or staff may have initial notice of a discrimination or harassment problem and are to direct the person or group with the complaint to one of the above offices or departments for assistance.
IV. NOTICE TO THE UNIVERSITY
An individual or group believing that they have experienced discrimination or harassment in employment, in an educational program, or in services for which they are eligible should notify one of the above offices appropriate to the complainant’s status, within 30 working days after the incident or act of discrimination or harassment occurs or promptly when the person has reasonable knowledge or belief of the discrimination or harassment. Information concerning an alleged prohibited discriminatory or harassing incident or situation, regardless of source or method of transmission, will be considered sufficient cause to begin an investigation. Statements made by an individual in which anonymity or confidentiality is requested cannot be guaranteed, depending upon the nature of the complaint or allegations.
Administrators, faculty, and staff are obligated to refer the individual and to notify the appropriate reporting office or the Affirmative Action Office, as defined in the procedures, about the content of the disclosure and incident information. Administrators, faculty, and staff may not dissuade an individual from informing them of a possible discriminatory or harassing situation. Administrators, faculty, and staff also are obligated to inform the individual of their required reporting obligations and their inability to maintain confidentiality of the conversation from administrators who represent a designated reporting office under the procedures.
Once the University has notice of a complaint of discrimination or harassment through any administrator charged with investigating the complaint, that administrator shall notify the Affirmative Action Office immediately. As the office of record, all documentation shall be sent to the Affirmative Action Office when the case is completed. The Office of UND Police is the office of record for statistical data required by the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act.
V. PROCEDURES
A. Filing a Complaint
The appropriate "Reporting Office" or administrative authority, as noted above, shall take the complainant’s information, obtain the signature of the complainant with the information, notify the Affirmative Action Officer of the pending complaint and any other designated or appropriate administrative officers, and shall begin an investigation of the complaint. Complaints are to be handled at the lowest possible level to ensure a quick and effective response.
Complaints filed with the Affirmative Action Officer shall include the complainant’s information, the signature of the complainant, and any other relevant information. If appropriate, the Affirmative Action Officer will notify the appropriate administrative officer in whose area the complaint is alleged to have occurred and will either refer the complaint to one of the appropriate offices above for handling or work cooperatively with the appropriate office or administrator to investigate and to make a finding based on the facts.
The initial complaint may be in oral or written form. The complainant will be asked to sign a completed Complaint Form or sign a letter of complaint detailing the alleged charges. Failure to sign a statement may impede the University’s ability to effectively resolve the complaint.
B. Investigation and Time Lines
If, after an initial investigation is completed, it is determined that an allegation cannot be resolved without a more comprehensive investigation, a three-member team will be selected from a specially trained pool to do a thorough investigation of the allegation.
The Affirmative Action Officer may investigate, assist, advise, or accept a lead role in investigating any complaint of discrimination or harassment. Other trained University personnel, including those that serve as human resources professionals or administrators, judicial officers, crisis team members, or members of the specially trained investigative pool may investigate or assist in investigations or in fact finding.
Most fact-finding investigations and results should be concluded within 60 working days of the complaint’s filing with the University official. However, investigations may be extended due to difficulty in obtaining documentation or unforeseen circumstances. In those situations, complaint investigations should be concluded in 120 working days. Reasons for exceptions shall be noted for the file. The complainant and the accused party shall be informed as to the progress or status of the investigation by the Affirmative Action Officer, by the office or administrator conducting the investigation, or by the investigative team, if one has been established.
C. Findings and Actions
Following the conclusion of the investigation, a finding will be made. If the finding determines that discrimination or harassment occurred, then corrections are to be instituted by the appropriately authorized administrator, administrative department, or division on behalf of the University. Disciplinary action against a student, faculty/academic staff member, or staff employee shall follow the established University procedures and due process requirements respective to the individual’s status with the University. These procedures and due process requirements are found in the University of North Dakota Code of Student Life, the University of North Dakota Faculty Handbook, the North Dakota State Board of Higher Education Policies and Procedures, and the North Dakota State Board of Higher Education Human Resources Manual. Other institutional actions may include, but are not limited to, changing procedures, processes, aids, benefits, or services applicable to the circumstances. Contractors with the University may be found in default of the contractual agreement(s) not to discriminate.
A record arising from a disciplinary action against an individual based on his or her employment status shall be a part of the individual’s permanent and official employment file. This includes all faculty and staff and students in their capacity as student employees and graduate students employed as teaching, research, or service assistants. Disciplinary action that is taken against a student in relation to academic or other campus-related behaviors shall be managed by the Dean of Students Office, the Graduate School, the School of Law, and the School of Medicine and Health Sciences according to their processes and records retention, as is appropriate to the student’s standing.
Disciplinary action may include, but is not limited to, a verbal warning, written reprimand, suspension, probation, demotion, and up to and including termination of employment or privileges to remain as a student. Progressive disciplinary action is not required for either employment or student-conduct issues arising from a finding of discrimination or harassment.
D. Appeals
An appeal by the complainant may occur only when a finding does not support the complainant’s allegations. A complainant may appeal the finding in writing to the appropriate Vice President in whose area the complaint occurred. The appeal must be in writing and filed with the Vice President within 10 working days after the complainant receives notice of the findings. The Vice President shall review the documentation and make a determination to accept, reject, or modify the results of the findings. The Vice President shall have 30 working days to complete the appeal review. A written decision shall be sent to the complainant and appropriate administrative officers. An appeal to the Vice President completes the appeal process. No other appeal is available through the University.
VI. DISCRIMINATION OR HARASSMENT COMPLAINTS MADE AS PART OF ANOTHER GRIEVANCE OR COMPLAINT PROCESS
Grievances filed through other processes outlined in the University of North Dakota Code of Student Life, the University of North Dakota Faculty Handbook, the North Dakota State Board of Higher Education Policies and Procedures, the North Dakota University System Human Resources Policy Manual, or related due process procedures may have as a component to the grievance an allegation of discrimination or harassment. The discrimination or harassment complaint shall be handled within that existing process and not as a distinct or separate process. The Office of Affirmative Action will be available for consultation regarding the investigation of the harassment portion of the complaint. The findings of the grievance shall include any determinations of fact related to the discrimination or harassment charges. Any appeal of the findings shall be according to the process appropriate to the status of the grievant.
Notice that a complaint of discrimination or harassment is part of an on-going grievance shall be forwarded to the Affirmative Action Officer as part of the University’s record of discrimination complaints.
VII. MONITORING OF CORRECTIVE ACTIONS
The University through its administrative offices and the Affirmative Action Office, on an annual basis, shall review any corrective actions taken to resolve a discrimination or harassment complaint. A report of the review shall be provided to the President. If a recurrence of a behavior occurs or a corrective action is not effective, then the University shall take remedial steps to ensure that discrimination or harassment is not occurring.
VIII. NON-RETALIATION FOR FILING A DISCRIMINATION OR HARASSMENT COMPLAINT
No member of the University shall intimidate, threaten, coerce, or discriminate against any individual because he or she filed a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under the jurisdiction of the University’s PROCEDURES FOR COMPLAINTS OF DISCRIMINATION OR HARASSMENT. Any complaint of retaliation shall be investigated as a new and separate complaint as provided in the PROCEDURES FOR COMPLAINTS OF DISCRIMINATION OR HARASSMENT.
IX. UNIVERSITY COORDINATOR FOR EQUAL OPPORTUNITY
The Affirmative Action Officer, Sally J. Page (Office address: 101 Twamley Hall; mailing address: Box 7097, Grand Forks, ND 58202-7097; phone 701-777-4171; e-mail address: affirmative action@mail.und.nodak.edu), is assigned the responsibility to be the University’s designated coordinator for receiving complaints of discrimination or harassment under the following federal regulations: Title IX of the Education Amendments of 1972 (sex/gender discrimination); Title VI of the Civil Rights Act of 1964 (race, national origin, religious discrimination); Age Discrimination Act of 1975 (age discrimination); Section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act of 1991 (disability discrimination); and other equal opportunity statutes for which a coordinator is not required. Any complaint or concern regarding discrimination or harassment, not resolved by the University, may be filed with the Office for Civil Rights, U.S. Department of Education, 8930 Ward Parkway, Floor 2, Kansas City, MO 64114. (AAO/4-02)
 III-2
GRIEVANCES |
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2.1 STATE BOARD OF HIGHER EDUCATION GRIEVANCE PROCEDURE FOR FACULTY AND ACADEMIC STAFF
1. Each institution shall establish procedures to attempt mediation or resolution of faculty grievances.
2. "Grievance" means those actions or conditions defined in the institution¹s policy adopted pursuant to subsection 4 of this policy. It does not include matters related to dismissals, terminations, non-renewals or any other matter governed by sections 605.1 or 605.4.
3. This policy applies only to faculty as defined in Section 605.1 of these policies. It does not apply to classified staff or to administrators or coaches
4. The faculty governance structure at each institution shall by policy define the actions or conditions subject to grievance and procedures for filing a grievance in accordance with Section 305.1 of these policies.
State Board of Higher Education Policy Manual, 2-18-2000, Section 612
2.2 UND PROCEDURES TO IMPLEMENT THE STATE BOARD OF HIGHER EDUCATION FACULTY GRIEVANCE PROCEDURE
Persons to whom this section applies. This section applies to any person holding an academic staff appointment (see section II-8.1.1) at the University of North Dakota. It applies to a graduate teaching assistant only with respect to appointment as a teacher and not with respect to status as a graduate student.
Matters to which this section applies. This section applies to any procedural or substantive concern that a person to whom the section applies has with respect to terms or conditions of employment except scheduled departmental evaluation (see section II-8.1.1), nonrenewal (see section II-8.1.3), termination (see section II-8.1.3), or discrimination (see sections II-3.2 and III-2.1).
Options for resolving concern. If a person to whom this section applies has a concern, the person may attempt to resolve the concern by using any of the following:
1. negotiation, in which the person discusses the concern with any other person involved;
2. mediation, in which another party assists the person and any other person involved in resolving the concern; or
3. arbitration, in which the person files a grievance requesting the establishment of a Special Review Committee to evaluate the concern and, if appropriate, recommend a remedy.
Choice of options. The person who has a concern may attempt to use either negotiation or mediation, or both, before initiating arbitration. After arbitration has been initiated, negotiation and mediation are no longer appropriate, except in connection with the arbitration process.
1. Negotiation. In most instances, the person who has a concern should attempt to resolve it through negotiation by discussing the concern with any other person involved.
2. Mediation. The person who has a concern may initiate medication by requesting assistance from any person or entity designated to provide mediation within the administrative unit or the University. If the person or entity requested to mediate the concern is willing to do so, that mediator shall contact any other person involved and proceed with mediation if the other person is willing to do so.
3. Arbitration. Use the following process:
Steps in Arbitration Process*
Initiating process by filing grievance
1. After attempting to resolve concern through any departmental, college, or professional school procedures that exist, person with academic concern files written grievance with administrator of lowest appropriate unit.
2. Within 10 working days of receipt, administrator notifies any other person involved and begins efforts to resolve informally or by mediation.
3. If not resolved within 20 working days of receipt (or longer period, if grievant agrees), administrator requests University Senate chair to establish Special Review Committee.
4. Within 5 working days of request, University Senate Chair establishes SRC and designates chair.Review of grievance by Special Review Committee
5. Within 5 working days of SRC establishment, SRC chair notifies persons involved of opportunity to submit information within next 20 working days.
6. Within these 20 working days, SRC interviews persons involved.
7. Within 30 working days of SRC establishment, SRC provides written report of determination of merit and any recommendations.Review by president or designee
8. Within 20 working days of request (or longer period of no more than 20 additional working days, if grievant agrees), president of designee concurs, modifies, or rejects decision and notifies persons involved.
*At any point in process before final determination by president or designee, Special Review Committee shall refer any issue involving faculty rights to Standing Committee on Faculty Rights.1. Initiating process by filing grievance. The person who has a concern may, after attempting to resolve the concern through any departmental, college, or professional school procedures that exist, initiate arbitration by filing a written grievance with the administrator of the lowest appropriate unity. The written grievance must describe the concern and its effect on the person and indicate the remedy sought. The administrator who receives the grievance shall provide a copy of it to any person involved within 10 working days of the date of receipt. The administrator may attempt to resolve the grievance through informal discussion with the persons involved or by mediation within the administrative unit or the University. If the grievance is not resolved by the administrator within 20 working days of the date of receipt or a longer period agreed to by the grievant, the administrator shall request the chair of the University Senate to establish a Special Review Committee. The chair shall establish the Special Review Committee and designate its chair within 5 working days of receipt of the request from the administrator.
2. Review of grievance by Special Review Committee. Within 5 working days of establishment of a Special Review Committee, its chair shall notify the grievant and any other person involved that each may provide the Committee, within the next 20 working days, any additional written information concerning the grievance. Within this 20-day period, on or more members of the Committee designated by the chair shall attempt to interview the grievant and any other person involved. The Special Review Committee shall review the written grievance and any additional information received in writing or by interview. Within 30 working days of its establishment, the Committee shall provide a written report to the grievant, any other affected person, the administrator who receives the grievance, the chair of the University Senate, and the president of the University. In its report, the Committee shall determine whether or not the grievance is merited in whole or in part, and, if the grievance is merited, shall recommend to the appropriate administrator those steps necessary to remedy the grievance. The report must include findings supporting the Committee’s determination and any recommendations, and a copy of the report must be placed in the grievants, correspondence and contracts file (see section III-2.2).
3. Review by president or designee. Within 20 working days of receipt of the Special Review Committee’s report, or a longer period of no more than 20 additional working days agreed to by the grievant, the president or the president’s designee shall concur, modify, or reject the Committee’s determination and recommendations, if any. The president or designee shall provide a written statement of this action to the grievant, any other affected person, the administrator to whom remedial steps are recommended, the administrator who receives the grievance, and the chair of the University Senate, and shall have a copy of this statement placed in the grievant’s correspondence and contracts file.
4. Request for formal hearing by Standing Committee on Faculty Rights. At any point in the arbitration process before final determination by the president or designee, the Special Review Committee shall refer any issue involving faculty rights to the Standing Committee on Faculty Rights. If the Standing Committee on Faculty Rights determines that the issue referred by the Special Review Committee is an issue of faculty rights, the arbitration process is concluded with respect to that issue and the Standing Committee shall proceed in accordance with section II-8.1.10. The Special Review Committee shall continue the arbitration process with respect to any issue in a grievance which it does not seek to refer to the Standing Committee on Faculty Rights and any issue that it seeks to refer but which the Standing Committee determines is not an issue of faculty rights.
Deadlines. The deadlines established by this policy may be extended for good cause by the chair of the University Senate. For the purpose of determining the dates of deadlines, "working days" does not include Saturdays, Sundays, or official University holidays.
Approved, University Senate, 11-05-92
SEE ALSO: UND Faculty Handbook IV - 8.2 (Student Academic Grievances)
| III-3
PERSONNEL FILES |
|
Faculty personnel files are the property of the institution, which shares the responsibility for the proper maintenance, accuracy, and appropriateness of materials in the file with the individual faculty member. There is but one officially designated academic personnel action file for each faculty member; however, other files may properly exist as long as the rights of the individual faculty members are appropriately protected, including their being routinely informed about the existence and nature of those other files. In addition to the specific academic personnel action file (usually located in the office of the faculty member's academic dean, unless otherwise specifically indicated as located elsewhere*), other files often are maintained in such offices as the faculty member's department, dean of the college or school of the faculty member, dean of the graduate school (if the faculty member is on the graduate faculty), the Office of the Vice President for Academic Affairs, Payroll Office, the Office of University Relations, Personnel Office, and the President's Office. Faculty members are encouraged to routinely monitor all of their personnel files.*Official files are located in the dean's office for the following colleges: Business and Public Administration, Education and Human Development, School for Engineering and Mines, Fine Arts and Communication, Law, Medicine, and Nursing. Official files for the Arts and Sciences faculty are located in the respective departments. Aerospace Sciences retains their files in the Odegard School Fiscal Affairs Office.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-31-98
SEE ALSO: UND Faculty Handbook VII-4.2 (North Dakota Century Code 15-32.2[Teachers' Personnel Files])
3.1 PUBLIC EMPLOYEE PERSONNEL RECORDS
According to state law:
A. No documents that address an employee's character or performance may be placed in the file unless the employee has had the opportunity to read the material. The employee must acknowledge that the employee has read the material by signing the actual copy to be filed, with the understanding that the signature merely signifies that the employee has read the material to be filed and does not necessarily indicate agreement with its content. If the employee refuses to sign the copy to be filed, the agency head or the agency head's designated representative shall indicate on the copy that the employee was shown material to verify that the material had been read, and that the employee refused to sign the copy to be filed. In the presence of the employee and a witness, the agency head or the agency head's designated representative shall sign and date a statement verifying the refusal of the employee to sign the copy to be filed. The material must then be placed in the file.
B. The employee has the right to answer any material filed, and any answer must be attached to the file copy. The employee's answer to material filed may not be used as the basis for any subsequent adverse personnel action. If any material is found to be without merit or unfounded through an established grievance procedure, it must be immediately removed from the file and may not be used in any subsequent actions or proceedings against the employee.
C. The employee or the employee's designated representative must be permitted to examine the employee's official personnel file by appointment during normal business hours.
D. No anonymous letters or materials may be placed in the employee's file.
E. The employee must be permitted to reproduce at the employee's expense any material in the employee's file.
F. An employee may file a grievance regarding non-evaluation material placed in the employee's personnel file. A grievance is limited to an internal agency grievance unless such material is merged into a disciplinary proceeding.
G. This Act does not prohibit administrators from maintaining written notes or records of an employee's performance separate from the personnel file for the purpose of preparing evaluations or possible disciplinary action.
H. Administrators are encouraged to place in the employee's file information of a positive nature, including any such material received from outside competent and responsible sources, indicating special competencies, achievements, performances, or contributions of a professional or civic nature.
A record of access must be maintained by the employing agency and must be provided to the employee when the employee examines the employee's file.
North Dakota Century Code 54-06-21
According to state law:
A. No documents that address an employee's character or performance may be placed in the file unless the employee has had the opportunity to read the material. The employee must acknowledge that the employee has read the material by signing the actual copy to be filed, with the understanding that the signature merely signifies that the employee has read the material to be filed and does not necessarily indicate agreement with its content. If the employee refuses to sign the copy to be filed, the agency head or the agency head's designated representative shall indicate on the copy that the employee was shown material to verify that the material had been read, and that the employee refused to sign the copy to be filed. In the presence of the employee and a witness, the agency head or the agency head's designated representative shall sign and date a statement verifying the refusal of the employee to sign the copy to be filed. The material must then be placed in the file.
B. The employee has the right to answer any material filed, and any answer must be attached to the file copy. The employee's answer to material filed may not be used as the basis for any subsequent adverse personnel action. If any material is found to be without merit or unfounded through an established grievance procedure, it must be immediately removed from the file and may not be used in any subsequent actions or proceedings against the employee.
C. The employee or the employee's designated representative must be permitted to examine the employee's official personnel file by appointment during normal business hours.
D. No anonymous letters or materials may be placed in the employee's file.
E. The employee must be permitted to reproduce at the employee's expense any material in the employee's file.
F. An employee may file a grievance regarding nonevaluation material placed in the employee's personnel file. A grievance is limited to an internal agency grievance unless such material is merged into a disciplinary proceeding.
G. This Act does not prohibit administrators from maintaining written notes or records of an employee's performance separate from the personnel file for the purpose of preparing evaluations or possible disciplinary action.
H. Administrators are encouraged to place in the employee's file information of a positive nature, including any such material received from outside competent and responsible sources, indicating special competencies, achievements, performances, or contributions of a professional or civic nature.
A record of access must be maintained by the employing agency and must be provided to the employee when the employee examines the employee's file.
North Dakota Century Code 54-06-21
3.1.1 CONFIDENTIALITY OF MEDICAL AND EMPLOYEE ASSISTANCE RECORDS
Any record of a public employee's medical treatment or use of an employee assistance program is not to become part of that employee's personnel record and is confidential and may not be released without the written consent of the employee. As used in this section, the term "public employee" includes any person employed by a public entity.
North Dakota Century Code 44-04-18.1 (1)
3.2 UND GUIDELINES AND PROCEDURES: ESTABLISHMENT, MAINTENANCE, AND UTILIZATION OF ACADEMIC PERSONNEL ACTION FILESI. THE ACADEMIC PERSONNEL ACTION FILES (non-student personnel in the academic divisions/departments, excluding those in the "classified" category whose files will be maintained in the Office of Personnel Services) shall be established in the office of the dean of each academic division, and may be entrusted to an officially-designated custodian.
The following information is normally kept in the academic personnel action file (information indicated by an asterisk * is optional):
1. FILE CONTROL CARD--a card used to log particulars concerning access to the file, i.e., the date/time when the file was removed, person reviewing the file, and when it is returned; the card should remain in the file drawer whenever a file is removed to provide a record of its location and use. Each card should have the individual personnel identification on it.
2. PERSONNEL ACTION DATA FORM--composed of a single-sheet summary of personal and professional data, including:
- Full Name (last, first, middle)
- Social Security Number
- Date and Place of Birth
- Current Address and Phone
- Marital Status
- Highest Degree with Date and Institution
- Date of Initial Appointment
- Current Rank and Date Achieved
- Tenure Status (including any advance tenure credit)
- Current Salary and Source(s)
3. ACADEMIC RECORD GROUP--composed of the following:
1. UND Academic Record Form (initial appointment)
2. UND Academic Record Supplements (a.k.a. October Supplements)
3. Curriculum Vitae (resume)
4. Academic Transcripts
5. Certification of Continuing and Advanced Education4. UND RESEARCH AND/OR CREATIVE ACTIVITY RECORD GROUP--composed of the following:
1. A Record of Publications, Exhibit(s), or Abstracts; and/or Evidence of Creative Activity in the Discipline
NOTE: Maintenance of actual publications and other products of creative activity is the responsibility of the individual.
2. Citations for Contributions to the Profession
3. Other (to be determined by the faculty and dean)5. *SERVICE RECORD GROUP--evidence of both "professional" and "community" service, as defined by University, college, and/or department, e.g., copies of citations, letters of appreciation, etc.
NOTE: This group may not be necessary, depending upon the adequacy of the UND Academic Record Supplements.6. EVALUATIONS GROUP--composed of the following, depending upon college/department policies:
a. Summaries of Course Evaluations by Students *
b. Comprehensive Departmental Evaluation Report *
c. Other Evaluative Documents, e.g., recommendations for developmental leave, promotion, retention, tenure, etc.The Academic Personnel Action Files shall not contain any pre-employment materials that would breach the confidence in which they were obtained. Appropriate security shall be provided for the Academic Personnel Action Files, both through the training and conduct of administrative personnel controlling them and the physical repositories in which they are filed.
II. CORRESPONDENCE AND CONTRACTS FILE--composed of the following (to be maintained separate from but contiguous to the preceding contents, and usually not made available for reference in personnel action decisions procedures but available by appointment to the individual for review):
A. On-going correspondence of a personal and/or confidential nature, regarding the individual
B. Routine administrative correspondence affecting the individual
C. Appointment notices
D. Copies of contracts
E. Copies of Personnel Action documents such as resignations, due process proceedings, etc.
III. Once the Academic Personnel Action File has been established for an individual, it shall be maintained in a current status with the following provisions:
A. Placement of materials in the file:
1. The individual may request placement of any material in his/her file that is consistent with the contents noted in part I. A, above. This may include any statement of rebuttal or protest of material in the file that is considered to be adverse.
2. The department chairperson may request placement of any pertinent information in an individual's file at any time, as long as such placement does not violate NDCC Section 54-06-21.
3. Only the dean (usually through the designated custodian) will actually place material in the individual file.
B. Individual academic personnel have a responsibility to review their files periodically to be cognizant of their contents and to assure their completeness and currency.
C. Material may be permanently removed from an individual file only under the following conditions:
1. The faculty member requests in writing to the dean that specific material be removed from the file, including the rationale for such removal; e.g., material is duplicative, such as when supplements summarize detailed information, or when complaints are proved inaccurate or misleading.
2. The dean consults with the department chairperson, and/or college/department personnel committees when appropriate, before making a decision on the request, unless the material is merely redundant.
3. The dean notifies the individual in writing about his/her decision to remove the material, and in those cases where removal is authorized, the individual and the dean remove and dispose of the material together.
4. Each academic division should have due process channels available through which an individual can appeal the denial of a request to remove material that is considered damaging because of inaccurate or misleading information. If any material is found to be without merit or unfounded through an established grievance procedure, it must be immediately removed and may not be used in any subsequent actions or proceedings against the employee.
IV. The Academic Personnel Action Files may be utilized by the following personnel under these conditions:
A. The individual may review his/her own file at any time that the custodian is available to withdraw it from the file. The review must be by appointment with and in the presence of the custodian, and file returned to the custodian upon its completion.
B. The dean and/or the department chairperson may review an individual file, but again it must be done in the vicinity of the repository.
C. Provision shall be made in colleges/departments for the utilization of the Academic Personnel Action Files in the University-wide review procedures for academic personnel decisions.
D. In all cases, the person or persons requesting an individual file to be utilized for whatever purpose shall sign the Control Card for that file, both when receiving it from and returning it to the custodian, noting the date/time of each. The Control Card will be maintained in the file repository at all times (excluding when it is being signed).
Ettling, Interim Vice President for Academic Affairs and Provost, 12-31-98
SEE ALSO: UND Faculty Handbook VII-4.2 (North Dakota Century Code 15-38.2 [Teachers' Personnel Files]), VII-4.3 (North Dakota Century Code 54-06 [General Provisions, State Officers])
| III-4
OPEN GOVERNMENT REQUIREMENTS |
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4.1 MEETINGS OF THE STATE BOARD OF HIGHER EDUCATION
All Board meetings shall be noticed and open to the public, subject only to the exceptions permitted by law.
State Board of Higher Education Policy Manual, 4-24-97, Section 200, Article VI
Groups or individuals wishing to appear before the Board shall contact the NDUS office to schedule an appearance. The Chancellor shall consult the Board president concerning such scheduled appearances.
State Board of Higher Education, 5-16, 17-96, Section 303.2
SEE ALSO: UND Faculty Handbook VII-3 (ND Constitution Article XI [General Provisions]), VII-4.5 (North Dakota Century Code 44-04-18 [Access to public records], 44-04-19 [Open governmental meetings], 44-04-21 [Open voting], 15-10-17(1) [Specific powers and duties of board of higher education])
4.1.1 OPEN MEETINGSAny group "acting collectively pursuant to authority delegated to the group by a governing body" is subject to North Dakota's open meetings law. Therefore, groups created by law or Board of Higher Education policy, or groups delegated authority by the Board of Higher Education are subject to the open meetings law. These groups that are subject to the law include:
- Board of Higher Education committees and sub-committees (e.g. audit committee)
- presidential search committees
- the agricultural research board
- the student financial assistance program advisory board
- the NDUS Human Resource Council and Safety/Risk Management Committee (and campus loss control committees).
- Also, because they are created or delegated authority by the Board of Higher Education, faculty and student governing bodies are subject to the open meetings law.
These groups include:
- Faculty senates (and committees)
- Standing Committees on Faculty Rights and Special Review Committees
- Campus student senates (and committees)
On the other hand, groups delegated authority by an institution president or the chancellor, and not by the Board of Higher Education, are apparently not subject to the open meetings law. These groups include the Chancellor's Cabinet, a president’s cabinet or council, department head meetings, department or division faculty meetings, etc. These groups are not acting pursuant to authority delegated by the Board of Higher Education; rather, they are acting pursuant to authority delegated by the institution CEO, a dean or other campus official, or they are ad hoc entities without formal authority.
Seaworth, North Dakota University System Counsel, 4-20-98
See also: NDCC Section 44-04-17.1 to Section 44-04-21.2
It is clear that the open government laws apply to any meeting for consideration of a matter delegated to UND by the State Board of Higher Education. Faculty appointment, removal, and tenure (or denial of tenure) are ultimately Board powers; any University committee or body acting in these areas must therefore observe the statutes. The Board, however; may--unless the individual being discussed requests that the discussion proceed as a public meeting--declare executive session in matters of appointment and removal. By inference, any University committee meeting on matters of appointment and removal may also declare executive session. An executive session must be formally declared, and the declaration must be recorded in the minutes; the declaration may be superseded by the subject of the meeting at her or his absolute election.
4.1.2 UNIVERSITY COMMITTEE MEETINGS
All votes at public meetings must be open, public votes. All nonprocedural votes must be recorded roll call votes, with the votes of each member being made public at the open meeting and recorded in the minutes. University committees must also follow the open meetings law.
UND Senate Minutes, 10-01-87, pp. 3053-3054
| III-5
OUTSIDE ACTIVITIES AND INCREASED INCOME FOR
FACULTY AND ADMINISTRATORS |
|
A. A full-time member of the University of North Dakota faculty and administration is first and foremost a member of the University staff. Therefore, any outside employment, including participation in continuing education activities, must be approved by the chairperson of the department and the college dean or by the appropriate administrative supervisor.
A faculty member or administrator's first obligation is to perform all services associated with his or her contract at the University. The unique demands for a faculty member at the University of North Dakota go beyond the traditional teaching, research/creativity, service triad to include activities that cannot always be programmed or clocked. For example, a faculty member is expected to be accessible to his/her students and to spend time counseling and advising them. He/she is expected to participate in continuing professional development. He/she is expected to serve on departmental, college, and University-wide committees.
1. The workload assignment of individual faculty with regard to teaching, research/scholarly activities, and service shall be de termined by department chairs/college deans according to UND college custom.
2. The assignment shall be adjusted to the individual based on the customary work period for the discipline, the individual's preferences as to teaching, research/activity, or service, and the needs and mission of the department, college, and institution.
B. When external support administered by the University is available for special activities commensurate with the mission of the University of North Dakota (research, teaching, service, or administration), an individual may have his or her assignment appropriately adjusted to reflect the effort devoted to the activity receiving the support.
1. Normally the University will not provide payment to the faculty in addition to their base contract salary rate from University-administered funds for such special activities.
2. Payment in addition to the base salary may be made for continuing education instruction which is beyond the assigned load.
3. The University recognizes that there may be instances where the adjustment in the workload assignment of a faculty member and corresponding responsibilities may justify an increase in the base contract salary. In cases where the department chairperson, the dean, and the Vice President for Academic Affairs approve of an adjustment in the salary rate of a faculty member, the President can authorize issuing a revised contract with an appropriately adjusted base salary. These special activities will involve teaching, research, administration, and/or service clearly in addition to the normal activities and responsibilities expected on these four dimensions through the regular base contract.
C. Professional activities which promote a faculty member's growth and competence in his or her discipline (such as consultant, workshop participant, judge, referee, etc.) and which are remunerated by funds not administered by the University will be regulated by the policy on consulting activities as published in the Faculty Handbook.
Approved: UND Senate, 01-15-81
5.1 RESEARCH GRANTS
Faculty having nine-month contracts may be employed for up to three full months' salary on research grants or other sponsored program activities provided the sponsoring agency's rules do not prohibit such salary payments and the total cumulative salary being paid to the faculty member from all University sources does not exceed the equivalent of three months salary.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
5.2.1 STATE BOARD OF HIGHER EDUCATION POLICY: CONSULTING PRACTICES
1. University system employees may be employed or engage in consulting activities or other services outside of their university system employment if the consulting activity or service or other outside employment does not interfere with university system job duties and does not constitute a conflict of interest.
2. Employees may not use institution or other state property, equipment, supplies or staff for political purposes. "Political purposes" means those activities defined in N.D.C.C. § 39-01-04
3. Employees may not use institution or system property, equipment, supplies or staff for remunerated consulting activities or other services for remuneration or for private or personal use, except as authorized under institution or system policies. Use of institution or system property, equipment, supplies or staff for remunerated consulting activities or other services for remuneration outside of university system employment is permitted only subject to written authorization and agreement establishing terms for payment or reimbursement to the institution for such use.
4. Each institution shall adopt policies or procedures implementing this policy, including rules governing payment or reimbursement for authorized use of institution or system property, equipment, supplies or staff.
State Board of Higher Education Policy Manual, 2-18-2000, Section 611.5
A full-time member of the University of North Dakota faculty and administration is first and foremost a member of the University staff. Therefore, any consulting must be approved by the chairperson of the department and the college dean or appropriate administrative supervisor. A request to accept a consulting assignment must be submitted in writing by the faculty member for review and approval prior to initiation of the activity.
A faculty member or administrator's first obligation is to perform all services associated with his or her contract at the University. The unique demands for a faculty member at the University of North Dakota go beyond the traditional teaching, research and creativity, service triad to include activities that cannot always be programmed or clocked. For example, a faculty member is expected to be accessible to his or her students and to spend time counseling and advising them. He or she is expected to participate in continuing professional development. He or she is expected to serve on departmental, college, and University-wide committees.
A faculty member's involvement in consulting, compensated or uncompensated, should not exceed four days in any one month and should be directly related to the faculty member's (1) area of professional expertise and (2) self-development in his or her profession. Any exceptions to this policy should be approved by the Academic Vice President.
Faculty are generally expected to provide their services to University activities and programs as part of their normal faculty duties. In unusual circumstances, regular University faculty and staff can serve as consultants to projects of activities supported with University administered funds provided all of the following criteria are satisfied: (1) The services of the individual are required and cannot be met by the utilization of the individual acting as a regular employee within the context of his or her employment contract with the University; (2) a selection process has been used to secure the most qualified individual available, considering the nature and extent of service to be required; (3) the services must be performed across departmental lines or disciplinary specialty or must involve a separate or remote operation within the University; and (4) the fee is appropriate considering the qualifications of the individual to be utilized, the individual's regular University salary rate, and the nature of the services to be rendered.
When the fee is to be charged to a sponsored project, it must conform to any limitation established by the grantor, and in no such case may the fee exceed the regular University base contract salary rate for an equivalent time period, although it may be less. In addition, the Office of Grants and Contracts may require a separate certification and additional information at the time the payment authorization is processed justifying the necessity of hiring the consultant and the level of payment.
NOTE: Special arrangements have been made for the Clinical Departments in the School of Medicine for increased income, outside activities, and consulting activities of their clinical faculty.
Approved: UND Senate, 01-15-81
5.2.3 MEDICAL SERVICE PLAN - UND MEDICAL SCHOOL
A. The Medical Service Plan of the University of North Dakota School of Medicine is formulated in keeping with the following purposes and principles:
The purposes of the plan are:
1. To aid the Medical School financially with income generated by full-time faculty physicians
2. To promote the growth of each department by income generated by full-time faculty physicians within that department
3. To assure adequate allotment of time for academic pursuits by decreasing the incentive to earn excessive amounts of practice income at the expense of academic time
4. To provide participating physicians with financial rewards proportional and appropriate to their clinical endeavors
The principles are:
1. The major professional commitment of full-time faculty must be to the Medical School.
2. In their communities, the full-time faculty must not compete unfairly with private practitioners.
3. Except for the Student Health Center and except for the purpose of student postgraduate teaching in the Family Practice Centers, full-time faculty shall be discouraged from engaging in primary continuing patient care except as is necessary to maintain skills and to provide for effective teaching. Consultative and concurrent care is permitted.
B. The plan is applicable to all full-time faculty in clinical departments. The respective chairman of departments will decide which faculty are full-time and thereby obligated to participate in the plan.
C. The plan has no ceiling. Excessive amounts of time spent in clinical practice for financial reward are discouraged by the declining financial incentive.
D. The first obligation to the plan is to provide the financial support necessary to administer the plan (hereinafter referred to as overhead).
E. Aside from base salary, all professional income earned is subject to the schedule shown below. The figures represent net income after deduction of the Medical Service Plan overhead. Overhead expense is expected to be variable and must be adjusted to fit actual experience.
|
NET INCOME
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PERCENTAGE RETAINED BY PHYSICIAN
|
|
| First |
$5,000
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80%
|
| Second |
5,000
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70%
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| Third |
5,000
|
60%
|
| Fourth |
5,000
|
50%
|
| Fifth |
5,000
|
50%
|
| Sixth |
5,000
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40%
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| Seventh |
5,000
|
25%
|
| Above 7th |
5,000
|
25%
|
F. Funds retained by the Medical Service Plan are to be distributed as follows:
1. 75% to the appropriate department
2. 25% to the Medical School through the Dean's office
These funds are unencumbered and are available for discretionary use. Departmental use of funds generated by the plan is subject to review by the Medical Service Plan Committee, at the discretion of the committee.
G. Additional fringe benefits allocated by the Medical Service Plan Committee are to be deducted as part of the overhead expense. Departmental fringe benefits out of the Departmental allotment may be granted at the Departmental level without further obligations of the plan.
H. Monies earned from royalties, honoraria, publications, and non-clinical consultations are not subject to the Medical Service Plan. However, when such income is initiated while the earner is a member of the faculty and the total exceeds $2,500 per year for any year, the total amount for that year must be reported to the chairmen of the departments of which the physician is a member.
I. The private practice income of all full-time faculty who have entered into contractual financial arrangements for billing and collection with agents other than the plan is subject to review by the committee at least once a year. Except for plan fringe benefits of which the faculty member is a beneficiary; no overhead will be charged against such income, and the funds so generated will be distributed according to E and F of this section.
J. All full-time faculty in clinical departments must agree to participate in the plan and to follow its rules and regulations as a condition of new or continuing employment. Signed agreement is required in every case.
K. The plan is to be established as a nonprofit organization in a manner acceptable to and approved by IRS so that money can be transferred to departments and to the Medical School without taxation.
State Board of Higher Education Policy Manual, 11-05-82, Section 611.1
5.3.1 Patents by Institutions of Higher Learning
All patents resulting from research sponsored by a state institution of higher learning and conducted by faculty officials or employees of a state institution of higher learning shall be assigned to the respective state institution of higher learning in accordance with a general policy established by each institution with the approval of the State Board of Higher Education. Ownership, control, management, and disposal of such inventions or discoveries by faculty, officials, or employees of each institution of higher learning shall be vested in each respective institution, or in an independent foundation at the respective institution.
North Dakota Century Code 47-28-01
Each faculty member, official, or employee of a state institution of higher learning who conceives any invention or makes any discovery as a result of research sponsored by the faculty members's, official's, or employee's respective institution, and discharges any obligations to the institution is entitled to share in any net proceeds that may be derived from the assignment, grant, license or other disposal of invention or discovery. The amount of the net proceeds must be computed by or with the approval of the State Board of Higher Education, with reasonable promptness after collection thereof, and after deducting from gross proceeds the costs and expenses as may be reasonably allocated to the particular invention or discovery. The amount of the net proceeds paid to the faculty member, official, or employee of the institution must be determined by the institution as a general policy determination with the approval of the State Board of Higher Education. A minimum of thirty percent of the net proceeds must be paid to a faculty member, official, or employee of a state institution of higher learning who solely conceived or made the invention or discovery, and must be paid in shares of two or more faculty members, officials, or employees who jointly made the invention or discovery in such respective proportions as each institution may determine.
North Dakota Century Code 47-28-02
5.3.2 STATE BOARD OF HIGHER EDUCATION POLICY: PATENTS
A. The North Dakota Board of Higher Education encourages the faculty, staff, and others to seek patents on inventions as a method of bringing recognition and remuneration to all parties involved. Each institution shall establish a "patent review procedure" to define the institution's processing of such inventions or discoveries, consistent with Board policy. The inventor(s) shall submit to the institution the conception and/or reduction to practice of all potentially patentable discoveries prior to public "enabling" disclosure.
B. A patentable discovery may arise from the development of a new and useful process, device or apparatus, article of manufacture, composition of matter (including chemical compounds, microorganisms, and the like), plant, or related improvement, or a new use for a known material or device. A public "enabling" disclosure is one which will enable others in the same or a related field to fully understand and practice the invention. The institutional "patent review procedure" shall assure provision of guidelines to the inventor(s) in defining what constitutes a public "enabling" disclosure.
C. The institution shall have the right of first refusal to the title of all patentable discoveries derived with the use of facilities, gifts, grants, or contract funds through the University, subject to restrictions arising from the overriding obligations of the institution pursuant to gifts, grants, contracts, or other agreements with outside organizations. The inventor(s) shall provide all necessary declarations, assignments, or other documents as may be necessary in the course of invention evaluation, patent prosecution, or protection of patent rights to assure that title in such inventions shall be held by the institution or other parties as may be appropriate under the circumstances.
D. The institution shall have six months in which to assess the technical and commercial viability and patentability of the discovery in accordance with institutional procedures. If the institution judges the discovery not to be patentable, or decides not to pursue a patent, and in the absence of overriding obligations to outside sponsors of the discovery, all rights will revert to the inventor. In no instance, and regardless of ownership of the patent, may the institution's name be used in connection with the marketing of the invention.
E. Subject to restrictions arising from overriding obligations of the institution pursuant to gifts, grants, contracts, or other agreements with outside organizations, the institution agrees, for and in consideration of the assignment of patent rights, to pay annually to the named inventor(s), or to the inventor's (inventors') heirs, successors, or assigns, a minimum of 30% of the net royalties and fees received by the institution. Net royalties are defined as gross royalties and fees less the expenses incurred by the institution in conducting the research and in procuring, protecting, preserving, maintaining, and licensing the patent and related property rights, and such other costs, taxes, or reimbursements as may be necessary or required by law.
F. When there are two or more inventors, each inventor shall share equally in the inventors' share of royalties, unless all inventors have agreed in writing to a different distribution of such share. The institution will have final authority over any agreement purporting to share rights and/or royalties between participating parties.
G. In addition to the inventor's (inventors') share, the net royalties shall be dispersed by negotiated agreement with allocations to the originating department, the originating college/school, and the institution. In the disposition of any net royalty income accruing to institutional parties, other than the inventor(s), support of research shall receive first consideration. The "patent review procedure" shall outline the negotiation and distribution mechanism at each institution.
State Board of Higher Education Policy Manual, 04-25-89, Section 611.2
The University of North Dakota encourages the transfer of technology from the University to the private sector via appropriate commercialization strategies. Accordingly, all employees of the University who create patentable technologies (hereafter the Inventor(s) through the use of University facilities, time or materials assume obligations and rewards commensurate with this Procedure and the State Board of Higher Education policy (Art. 4.3.1). UND vests the principal responsibility for initiating, developing, commercializing, and administering patents with the University Inventor(s) and his/her respective College/School/Research/Service Agency (hereafter the "Administrative Unit").
Patentable University Innovations may be derived through university activities such as sponsored projects, internal University assignments, or personal design/development projects which utilize University resources. Funding may come from cooperating agencies such as federal and/or state government agencies or private/industrial sponsors, or the work may be performed with University resources or some combination thereof. In accordance with ND Century Code 47-28-01, all such inventions "shall inure to and be taken out by or assigned to the respective state institution of higher learning in accordance with a general policy established by each institution of higher learning with the approval of the state board of higher education."
Subject to overriding obligations of the institution pursuant to gifts, grants, contracts, or other agreements with cooperating agencies, the University of North Dakota encourages their Administrative Units to transfer University-derived patent rights to independent foundations (ND Century Code 47-28-01) or private sector entities in order to facilitate commercialization while protecting the rights of the Inventor.
Each Administrative Unit significantly engaged in patentable activities shall establish a management process for facilitating the patenting and commercialization of technologies. The University President, or designee, shall delegate the responsibility for facilitating the review and commercialization of those patents coming out of administrative units where no formal management process for patents has been established.
Two assistance organizations are available to facilitate the handling of patents and their commercialization. The Center for Innovation and Business Development (CIBD) is an independent not-for-profit North Dakota foundation offering technology commercialization services to both University and private parties. CIBD can assist in patent disclosure evaluations, market assessment, and commercialization strategy development. The University also has a non-exclusive contract for patent development services with Research Corporation Technologies (RCT) of Tucson, Arizona. RCT is available to University inventors and administrators as a technology brokerage and investment company. RCT will take on patent assignments from the University under a royalty-sharing agreement to facilitate commercialization of select technologies. RCT is active in the development of pharmaceuticals, materials, chemicals, and biotechnologies.
The Office of Research and Program Development (ORPD) serves as the University's contact for interpretation of University patent policy review procedure and records maintenance.
The following checklist shall serve as a guide to University Inventor(s) and Administrative Units in meeting the reporting requirements of cooperating agencies and the requirements of the North Dakota State Board of Higher Education Patent Policy. Each Administrative Unit shall maintain a permanent file referencing the pertinent steps of this process and shall be responsible for all background correspondence necessary to secure a patent and for its defense in a court of law.
1.Contract Review. Prior to executing a contract award, the ORPD and the Administrative Unit shall ascertain that intellectual property clauses in sponsored projects are acceptable to the Principal Investigator(s), the Administrative Unit, the University and are consistent with policies of the State Board of Higher Education. The University's Principal Investigator and Administrative Unit shall verify that the terms of a contract will not willfully or knowingly infringe on any background technology on which the University has previously secured a patent or on any proprietary agreement which the University may have with another party.
2. University Patent Searches. The UND Chester Fritz Patent & Trademark Depository Library offers a preliminary review of active U.S. patents at no cost to Inventors. Principal Investigators and/or Inventor(s) are encouraged to use this resource in proposal preparation and early in a research program to document current patent coverage in an area of interest.
3. Documentation and Tracking. University Inventor(s) are responsible for recording and maintaining the discovery records of all potentially patentable discoveries derived through University activity. Bound, dated, witnessed documentation is the encouraged procedure.
4. Enabling Disclosure. A University Inventor(s) shall make an "enabling disclosure" to the appropriate Administrative Unit at the earliest possible time after recognizing a potentially patentable discovery. Such a disclosure consists of 1) a description of the discovery, 2) citation of publications containing partial or complete descriptions, 3) an overview of the advantages of the discovery over other known competitive technologies, 4) identification of all individuals to which this discovery is known, 5) verification of the first documentation of the discovery, 6) the actual Inventor(s), and 7) a citation of any cooperating agencies funding the development of the discovery.
5. Internal Evaluation. The Administrative Unit shall review each discovery before committing University or other funds in the pursuit of a patent. Such an evaluation should consider the discovery's market potential, potential licensees, financial return, obligation to sponsoring parties, and other factors impacting the investment of time and funds to complete the patent application process. Subsequent to a decision to proceed with a patent application, (1) the official University patent file shall contain documentation identifying the source of funds used to cover the patenting costs; (2) the Administrative Unit shall notify the Office of Grants and Contracts of its intent to pursue a patent application, and (3) the Office of Grants and Contracts, or its designee, shall implement any obligatory patent filing notices to cooperating agencies.
6. Formal Patent Search. The Administrative Unit shall secure the necessary professional services to conduct and evaluate a formal parent search based on the "Enabling Disclosure."
7. Second Internal Evaluation. Upon receipt of a patent search evaluation, the Inventor(s) and the management of the Administrative Unit shall determine if additional funds will be committed to pursue a formal patent application. If at any time, the decision is made to halt the patent application process, ownership of the discovery shall revert to the Inventor via a letter of release of all University rights and obligations subject to any University obligations to a cooperating agency.
8. Patent Application. The Administrative Unit shall track the process of the patent application and see that all necessary technical, assignment, and contractor acknowledgement information is provided to the patent attorney during the application and examination period by the Patent and Trademark Office. The office of Grants and Contracts, or its designee, shall provide a copy of the patent application to all pertinent cooperating agencies.
9. Patent Assignment. The University authorizes Administrative Units to establish a means of administering and managing patent assets which (1) expedites their commercialization, (2) provides means for defense of a patent, and (3) provides financial returns to the Inventor(s), the Administrative Unit, and the University. This may typically involve the assignment of patent titles to commercialization organizations such as independent foundations, private companies, and technology development corporations. The University President, or designee, shall sign appropriate documentation acknowledging the assignment of a University patent to another organization.
10. Fund Distribution Agreement. Documentation of the distribution of funds to the Inventor(s), Inventor(s) Department, Administrative Unit, University via President's Office or designee, any cooperating agencies, and other parties should be prepared and signed by all parties at the earliest possible time, typically at the time of a patent assignment or at the time the patent issues. The Inventor(s) shall receive no less than 30% of the net proceeds of an invention. (ND Century Code 47-28-02.)
11. The Patent Document. Each Administrative Unit shall maintain a permanent filing and storage system for the original patent document. A copy of the document should be provided to any cooperating agency and Inventor(s).
12. Commercialization. The Administrative Unit shall outline a commercialization plan in cooperation with the Inventor(s). A copy of this plan and annual progress reports shall be provided the Inventor(s), the University, and any applicable cooperating agency. The principal elements of this plan shall be incorporated into any commercialization agreement between the University of North Dakota and any commercialization organization.
Filing and Reporting Requirements
As necessary to protect the interests of the Inventor(s), the Administrative Unit, and the University, the records supporting a patent application and appropriate documents with any commercialization organization may be maintained confidential under ND Century Code 15-10-17 and the policy of the State Board of Higher Education. At the minimum, the official University patent file should contain copies of the following documents. The Inventor(s) shall be provided copies of each.
1. Any obligatory contract or grant terms and conditions under which the discovery was conceived or developed.
2. Initial records of invention (i.e. notebook references, drawings, sketches, etc.).
3. Any formal records of invention required by sponsors.
4. Disclosure documents submitted by the Inventor(s).
5. Disclosure documents submitted to a patent attorney.
6. Documentation of an Administrative Unit's decision to proceed in securing a patent, the source(s) of funds used in covering the costs, and the patent attorney or other professional service involved in securing the patent.
7. The patent attorney's findings and assessment from a preliminary patent search.
8. The final draft of a patent application as filed.
9. Any patent assignment.
10. A disbursement of funds agreement identifying financial returns to the Inventor(s), Inventor(s)' University department, Administrative Unit, and any patent development/commercialization entity.
11. The patent document.
12. Any licenses, equity positions, or other commercialization documents which determine financial returns to the Inventor(s) and the Institution and its entities.
13. Obligatory confirmatory licenses to any sponsor.
14. Documentation of any abandonment of the patent by the Administrative Unit, any agreements transferring title back to the Inventor(s) or any obligatory transfer of title to the sponsor.
Fox, Director, Office of Research and Program Development; approved by UND Senate 04-02-92.5.4.1 STATE BOARD OF HIGHER EDUCATION POLICY: COPYRIGHTS
A. Employees who write articles and books in the course of pursuit of their scholarly discipline are encouraged to seek and retain copyright ownership of these works.
B. If the institution directly supports the production of a copyrightable work, the ownership of which is vested in the individual employee, the institution shall be reimbursed out of the royalties, in accord with an agreement between the employee and the institution, up to the amount of the institution's direct support. The institution will be reimbursed for the fair market value of the use of any facilities, personnel, or resources, except those considered part of the normal academic environment including library facilities.
C. If employees are employed or commissioned by the institution or agencies of the institution for the production of materials, or if by prior agreement they are assigned to produce or develop materials as educational or instructional aids in the course of their regular duties, and if such materials are deemed appropriate for copyright, they must be reported to the Faculty Research Committee. (Educational materials may include video and audio recordings, study guides, tests, syllabi, bibliographies, and tests. Instructional aids may include films, filmstrips, charts, transparencies and other visual aids, programmed instructional materials, and video or audio broadcasts.)
1. In such instances, the Faculty Research Committee shall have the first option to secure copyrights on behalf of and in the name of the institution. Should the committee decide it would not be appropriate to secure copyrights, the employee then may proceed to personally secure the copyright.
2. Royalties received as a result of copyright ownership by the institution will be dispersed at least 30 percent to the originator and the remainder to the support of the Faculty Research Program.
State Board of Higher Education Policy Manual, 06-26-87, Section 611.3SEE ALSO: North Dakota Century Code 47-21 (Copyrights)
5.4.2 COPYRIGHT POLICY: UNIVERSITY OF NORTH DAKOTA
I.Introduction
The University of North Dakota supports and encourages members of the University community to develop creative and scholarly works; to publish, perform, and exhibit those works; and to secure copyright protection whenever appropriate and possible. This statement denotes University policy regarding ownership of copyrights, copyright procedures, the respective rights of the University and its members, copyright royalties, and disposition of other income derived from copyrightable works. All materials and works subject to copyright under the Copyright Laws of the United States and produced by members of the faculty, staff, administration, students, or other employees of the University of North Dakota, as a part of their employment, are governed by this policy.
Renewals of copyrights that were originally obtained under previous University of North Dakota copyright policies shall follow the original copyright agreement between the University and the creator unless the copyrightable works involve changes that were assisted or assigned by the University after July 1, 1995.
II. Definitions
A. Copyrightable Works
Copyright eligible works include but are not limited to the following:
1. Literary works: books, journal articles, texts, glossaries, bibliographies, study guides, and laboratory manuals.
2. Lecture/instructional materials: lectures, unpublished lecture notes, syllabi, programmed instruction and testing materials.
3. Audiovisual materials: films, slide programs, film strips, charts, transparencies, pictorials, graphics, and other visual aids.
4. Audio materials: audio tapes and cassettes.
5. Live video or audio broadcasts.
6. Musical works including any accompanying words.
7. Dramatic works including any accompanying music.
8. Pantomimes or choreographic work.
9. Pictorial, graphic and sculptural works.
10. Research materials: survey instruments.
11. Computer software programs and documentation.
B. Normal Support
"Normal support" means the various benefits or facilities that are provided an employee and includes but is not limited to: salary, secretarial and research assistance; office space, supplies and equipment; and access to libraries, laboratories and studios.
C. Creator
"Creator" means any full-time or part-time faculty or staff member or student of the University of North Dakota who creates copyrighted works.
D. Software
"Software" means any program, language, or procedure for a computer system or portion thereof, and any accompanying documentation. Software includes but is not limited to computer programs, internal programs, subroutines, assemblers, generators, subroutine libraries, compilers, operating systems, and application programs.
E. Disclosure
"Disclosure" means the formal act of reporting a creation subject to protection under the Federal Copyright Act.
F. Sponsored Works
"Sponsored works" is defined as works which are produced as the result of a sponsored agreement, research or otherwise, between the University of North Dakota and a third party.
G. Works Made for Hire
"Works made for hire" means works prepared by a University of North Dakota staff member, faculty member, or student within the scope of their employment by the University. The works may also be specifically ordered or commissioned by a third party through a sponsored agreement with the University, and the creator may be remunerated for the activity.
III. Determination of Equity in Copyrighted Materials
Copyrighted works may be produced through 1) individual creative activity, 2) University-assisted creative activity, 3) extramurally sponsored creative activity, 4) University-assigned creative activity, and 5) works performed by students in pursuit of a degree.
A. Individual Creative Activity
The University recognizes the right of faculty, staff and students to prepare and publish, through individual initiative, works that are then copyrighted by the creators or their publishers and may generate royalty income for the authors. This policy recognizes the long-standing custom and tacit understanding that faculty members own copyrights to their individual scholarly work. A member of the University is entitled to ownership of a copyright and royalties or other income derived from those individual scholarly works. Individual works for members of the faculty are defined as those scholarly works, including the products of teaching, which are generally expected of faculty and are incorporated into the regular recognition and rewards processes of the University but are not specifically assigned by the University. Individual scholarly works, so defined, are automatically exempt from the formal review procedures of this policy.
Individual scholarly works in which the University provides specific and non-routine support for the works, shall be governed by Section III.B of this policy. Non-routine support, as determined by departmental, administrative, or University policy, is defined as support not considered normal support, and may include binding or other production costs and/or staff salaries for performing duties not within their normal job description.
B. University-Assisted Creative Activity
This category encompasses works produced by employees of the University in which the a) works are subject to copyright by the employee and/or the University as co-authors, b) production costs are specifically shared by the employee and the University, and c) works are not prepared in accordance with the terms of a contract or grant in which the University was a party. In cases of University-Assisted Creative Activity in which the University assistance is less than 50 percent of the costs of production, the individual employee shall retain the copyright and the University may share in the division of royalty and other income up to the total of the reimbursement costs for the University assistance. Copyrightable works developed using the resources of the University above those resources considered as routinely provided by the University, and where copyrights have been retained by the author, shall be licensed to the University. The minimum terms of such license shall grant the University the right to use the work in its administration and operation, teaching, research, and public service on a royalty-free, nonexclusive basis. All expenses incidental to such licensed use shall be borne by the University.
In cases in which the University assistance is 50 percent or greater, the University shall retain the copyright, and the division of royalty and other income shall be based on percentage of sponsorship. The percentage distribution shall be determined in accordance with the procedures in Section IV of this policy.
Normal support, as determined by departmental, administrative unit, or University policy, by provision of the Library, office space, equipment, supplies, facilities, and personnel does not constitute University assistance for the purposes of this policy.
C. Extramurally Sponsored Creative Activity
Rights to works subject to copyright and developed as a result of work supported partially or fully by an outside agency through a contract or grant shall be determined in accordance with the terms of the contract or grant. In those cases where copyrights are vested in the University or shared between the sponsor and the University, the creator may share in the income within the provisions of this policy and State Board of Higher Education policy.
D. University-Assigned Creative Activity
Copyrightable works produced by employees of the University shall be subject to copyright exclusivity by the University, if the University assigned the employee to write or produce the specific works. Sharing of royalty or other income with the creator may be authorized by the Vice President for Academic Affairs as an incentive to encourage further development of copyrightable materials. A faculty member’s general obligation to produce scholarly works and/or the receipt of a developmental leave, unless there is a specific agreement to the contrary, do not constitute University-Assigned Efforts as defined in this policy.
E. Works Performed by Students in Pursuit of a Degree
Unless subject to other provisions in Sections III A, B, C, or D, or provided otherwise by written agreement, copyrightable works produced by students as a part of a University requirement for a degree are deemed to be the property of the student, subject to the following provisions: 1)The original records of an investigation for a graduate thesis or dissertation are the property of the University but may be retained by the student at the discretion of the student’s major department; and 2) The University shall have, as a condition of the degree award, the royalty-free right to retain and use a limited number of copies of the thesis or dissertation, together with the right to require its publication for archival use.
IV. Remuneration
An employee of the University of North Dakota may receive royalty and other incomes resulting from the net profit earnings from copyrighted works. No limit shall be set on the amount of royalty income an individual may earn, except that it shall be in keeping with the State Board of Higher Education policy. Determination of the relative amounts of royalty and other income earned or projected shall be negotiated with the Vice President for Academic Affairs and shall be made at the time of copyright application, or at such prior time as deemed appropriate, and within the provisions set forth in this policy. All remuneration agreements shall be in writing.
V. Procedures
A copyright application resulting from copyrightable works produced by University of North Dakota employees, as a part of or related to their employment, may be initiated whenever appropriate. The employee shall submit the UND Copyright Agreement form for review and approval through the department or unit head, the dean or administrative unit head, and the Vice President for Academic Affairs. The agreement proposal shall comply with the provisions stated in the University Copyright Policy and be signed by the Vice President for Academic Affairs.
Disputes and questions arising from the copyright policy shall be submitted to the Faculty Research and Creative Activity Committee for informal resolution. If a dispute continues, it shall be submitted to the Standing Committee on Faculty Rights. Appeals shall be brought to the President for final dispensation.
VI. Responsibilities
The University shall be responsible for copyright registration of works owned by the University, and for administering contracts with its authors, including the responsibilities associated with maintaining records for copyright registration, royalty collection and distribution, marketing, and such other actions as are appropriate.
Creators of works for which ownership vest in the University shall warrant that such works do not infringe any preexisting copyright and shall cooperate with the University in the pursuit of copyright protection.
Approved by University of North Dakota Senate, 03-04-99
5.5.1 STATE BOARD POLICY ON CONFIDENTIAL PROPRIETARY INFORMATION
1. Pursuant to N.D.C.C. section 44-04-18.4, trade secret, proprietary, commercial and financial information is confidential and not subject to the state’s open records law if it is of a privileged nature and has not been previously publicly disclosed. Institutions shall adopt necessary policies or procedures to protect confidential information, including such information received or generated in connection with grants or contracts. The existence of a confidential grant, contract or proposal and non-confidential grant or contract terms, the name of the funding entity or the general nature of the research shall not be proprietary or confidential.
2. No policy shall limit or affect the applicability or implementation of any rule or regulation of the State Health Department.
3. Confidential information shall be identified by the sponsor as such at the time of disclosure to the institution. Such information shall not mean: (1) information already in the public domain at the time of disclosure; (2) information rightfully received by the institution for a third party without obligation of confidence; (3) information publicly disclosed either prior to or subsequent to the institution’s receipt of such information by the sponsor or a third party; or (4) information which the institution can demonstrate to have been known prior to receipt from the sponsor.
4. Upon receipt of information identified as confidential by the sponsor in accordance with the above exclusions, employees and others granted access to the information shall use a reasonable degree of care to prevent the unauthorized disclosure or use of such information. Students may not be assigned academic or research work which involves confidential information unless the work may be completed in a timely fashion to meet the requirements of the student’s academic program without unauthorized disclosure of confidential information.
5. An institution that receives information identified as confidential by the sponsor or notice of a grant or contract involving confidential information shall report the grant or contract in its next report of grants and contracts to the Board.
6. Institution policies shall allow the free dissemination of data from knowledge creation efforts while maintaining confidential information and preserving the intellectual property rights resulting from such programs. The right to publish the results derived from research and development programs shall be vested at all times in the university, its faculty, staff, students, and associates. However, the sponsor may request: (1) a limited time period in which the sponsor may examine potential publications to provide advisory comments and to identify its proprietary information; and (2) a time period in which public "enabling" disclosures of research results or discoveries should be withheld to allow the preservation of intellectual property rights. Other restrictions may apply within the context of local institutional policy and state law.
C. Publication of Research Data
1. Publication and dissemination of information are integral to the purpose of an institution of higher learning. Local institutional policies should allow the free dissemination of data from knowledge creation efforts while maintaining the confidentiality of proprietary information and preserving the patent rights resulting from such programs. The right to publish the results derived from research and development programs shall be vested at all times in the university, its faculty, staff, students, and associates.
2. In certain instances, the sponsor may request (a) a limited time period in which the sponsor may examine potential publications to provide advisory comments and to identify its proprietary information and (b) a time period in which public "enabling" disclosures of research results or discoveries should be withheld to allow the preservation of patent rights. Other restrictions may apply within the context of local institutional policy and North Dakota state law.
State Board of Higher Education Policy Manual, 01-15-98, Section 611.6
5.5.2 CONFIDENTIALITY OF COMPUTER PROGRAMS, TRADE SECRETS, AND COMMERCIAL AND FINANCIAL INFORMATION
Any computer software program or component of a computer software program contracted, developed, or acquired by a public entity or state agency, institution, department, or board and for which the public entity or state agency, institution, department, or board acquires a license, copyright, or patent is exempt from section 44-04-18 and section 6 of article XI of the Constitution of North Dakota. After receiving written approval from the governor, a state agency, institution, department, or board may enter in agreements for the sale, licensing, and distribution of its contracted, licensed, patented, or copyrighted computer software programs. A state agency, institution, department, or board may take any needed action, including legal action, to protect the state’s interest in the computer software against improper or unlawful use or infringement and may collect and enforce the collection of any sums due for the licensing or sale of the computer software. A public entity may enter into agreements for the sale, licensing, and distribution of its licensed, patented, or copyrighted computer software programs.
North Dakota Century Code 44-04-18.5 (1997)
1. Trade secret, proprietary, commercial, and financial information is confidential if it is of a privileged nature and it has not been previously publicly disclosed.
2. "Trade secret" includes:
a. A computer software program and components of a computer software program which are subject to a copyright or a patent, and any formula, pattern, compilation, program, device, method, technique, or process supplied to any state agency, institution, department, or board which is the subject of efforts by the supplying person or organization to maintain its secrecy and that may derive independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, other persons or organizations that might obtain economic value from its disclosure or use; and
b. A discovery or innovation which is subject to a patent or a copyright, and any formula, pattern, compilation, program, device, method, technique, or process supplied to or prepared by any public entity which is the subject of efforts by the supplying or preparing entity, person, business, or industry to maintain its secrecy and that may derive independent economic value, actual or potential, from not being generally known to, and not being readily ascertainable by proper means by, any person who might obtain economic value from its disclosure or use.
3. "Proprietary information" includes information received from a sponsor of research conducted by a public entity, as well as any discovery or innovation generated by that research, technical, financial, and marketing information and other documents related to the commercialization, and any other discovery or innovation produced by the public entity which an employee or the entity intends to commercialize.
4. This section does not limit or otherwise affect a record pertaining to any rule of the state department of health or to any record pertaining to the application for a permit or license necessary to do business or to expand business operations within this state, except as otherwise provided by law.
5. Unless made confidential under subsection 1, the following economic development records and information are exempt:
a. Records and information pertaining to a prospective location of a business or industry, including the identity, nature, and location of the business or industry, when no previous public disclosure has been made by the business or industry of the interest of intent of the business or industry to locate in, relocate within, or expand within this state. This exemption does not include records pertaining to the application for permits or licenses necessary to do business or to expand business operations within this state, except as otherwise provided by law.
b. Trade secrets and commercial or financial information received from a person, business, or industry that is interested in or is applying for or receiving financing or technical assistance, or other forms of business assistance.
North Dakota Century Code 44-04-18.4 (1997)
5.6 STATE BOARD POLICY: CONFLICT OF INTEREST
1. An officer of the North Dakota State Board of Higher Education authorized to sell or lease any property or make any contract in the officer's official capacity is subject to the provisions of N.D.C.C. Section 12.1-13-03 and may not be interested in any such sale, lease or contract.
2. Pursuant to N.D.C.C. Section 48-02-12, employees of the Board may not have any interest in a public construction or repair contract.
3. An employee of the Board may not have an interest in any contract involving the expenditure of public or institutional funds entered into by the institution that the employee serves or by the Board unless:
a. N.D.C.C. Sections 12.1-13-03 and 48-02-12 do not apply; and
b. The contract is approved by the institution’s chief financial officer or, if the employee in question is the chief financial officer or president of an institution or an officer of the Board, by the Board, following full disclosure of the employee’s interest.
4. All employees involved in projects receiving federal funds shall consult applicable federal laws and regulations and comply with conflict of interest rules which may govern federal grants or other sponsored agreements.
5. An office or other employee who violates this policy is subject to dismissal or other disciplinary action.
State Board of Higher Education Policy Manual, 06-24-93, Section 611.4
5.6.1 UNIVERSITY OF NORTH DAKOTA CONFLICT OF INTEREST POLICY
I. PREFACE
The University community is increasingly aware of the potential for conflicts of interest in academe and the need for policies and procedures to prevent or manage this issue. These concerns are gaining prominence as University personnel increasingly involve themselves in technology transfer, consultation, and the provision of public services. University personnel have developed spin-off companies to transfer technology developed in their laboratories to the public arena. Others are involved in collaborative research with industries and for-profit corporations. Concerns about intellectual property and proprietary rights have resulted in increased interest in maintaining the confidentiality of research activities. A consequence may be the placement of restrictions on the free and timely publication of research findings, a value strongly held in the academic community.
These developments are perceived by some as contrary to the traditional values espoused within academe; they are welcomed by others who point to the evolving nature of higher education and the need for greater involvement by University personnel in economic development and community service. This policy statement seeks to achieve balance between these competing interests while enhancing objectivity in the conduct of research/creative activities and in the performance of administrative duties and governance activities.
Several federal departments have expressed concern that conflicts of interest may emanate from these activities, especially as they relate to federally sponsored research and scholarly endeavors. Personal financial interests of University personnel may compromise the objectivity with which federally sponsored research is designed, conducted or reported. The Public Health Service (PHS) and the National Science Foundation (NSF) have promulgated regulations regarding conflicts of interest; other federal agencies will likely publish similar regulations. Universities, as a condition for federal funding, must develop, publish, and enforce institutional conflict of interest policies which are in accord with these requirements.
II. PRINCIPLES
Central to an effective conflict of interest policy is agreement on the following guiding principles.
A. Flexibility
Trust, good faith, and open discussion of controversial issues among colleagues is central to the life of this University. The activities of University personnel must be governed by thoughtful and shared consideration of individual circumstances, rather than rigid rules.
B. Disclosure and Management
While certain activities are not permitted, a conflict of interest is not necessarily inappropriate or prohibited; what is inappropriate is the failure to disclose a conflict and, once disclosed, the failure to provide appropriate supervision and management of the identified conflict.
C. Commitment to the University
The University expects full-time personnel to grant primary professional commitment to the University during the terms of their appointments. A commitment to serve another institution, agency, or industrial organization other than the University of North Dakota should be made only after giving serious consideration to the amount of time and effort that can be given to the other entity while satisfying a primary commitment to the University of North Dakota. In addition, University personnel are expected to be selective in assuming outside commitments in order to avoid impairment of the University's reputation as an academic institution. University personnel should avoid commitments that compromise the basic scholarly independence and freedom of action central to university life.
D. Enhancement of Professional Skills/Public Service Activities
Consultation, research, or service interaction between University personnel and external entities for reasonable periods of time and for personal remuneration is acceptable and encouraged when the relationship enhances the professional skills of the University employee or constitutes public service activities. These activities should be authorized and administered through University entities whenever University policy so requires.
E. Incompatible Obligations
When arranging relationships with external entities, University personnel should avoid creating incompatible obligations and should make their University obligations known to any external entities with which they contract. If appropriate, in light of the nature of the relationship, university personnel engaged in such relationships should provide copies of relevant University policies.
F. Benefit to the University/Society
It is recognized that the participation of University personnel in the activities of government, professional associations, industry, and other private institutions may serve the academic interests of the University. The donation of professional services to outside organizations and participation in the activities of professional societies, including service as officers of such societies, for reasonable periods of time and without substantial allocations of University resources, is encouraged. The experience and enhanced national status that such participation brings to the person is shared indirectly by the University. Further, society may benefit from the dissemination of the knowledge and technology that has been developed.
G. Academic Freedom
University personnel must remain free, within budgetary and programmatic constraints, to choose the subject matter and strategies of their individual research and creative activities on the basis of scientific or scholarly criteria, unencumbered by external commitments.
H. Freedom to Publish
The free and open dissemination of information, including the right to publish (except for short periods of delay that permit a sponsor to comment on a proposed publication or to permit the filing of a patent application), should not be restricted, unless the University enters into a confidentiality agreement with a sponsoring entity whereby the University agrees to waive or restrict this right.
I. Use of University Resources
The use of University facilities, supplies, equipment, or personnel for outside-the-University activities is permitted only if an agreement has been reached which adequately compensates the University for such use.
J. Confidentiality of Disclosure Information
Personal financial disclosure statements and supporting documents filed by University personnel in compliance with this policy will be maintained as confidential to the extent possible under applicable state and federal requirements and/or the North Dakota Open Records Act.
K. University Review of Formal Agreements
Any sponsored program agreement between the University and an external sponsor must be sanctioned in advance through established University review procedures to ensure that the proposed activity conforms to the academic, administrative, fiscal, and other policies of the University. Further, it must not conflict with the rights of other University scholars, or other University commitments, or with the basic academic values of the institution.
L. Misuse of University Positions
University personnel, through the use of their University positions or by their conduct, must not dilute or divert their attention from their University responsibilities in order to seek financial interest or advantage for themselves or for others.
III. DEFINITIONS
A. University Personnel or Employee
University employees 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. For purposes of this policy, these terms also refer to the spouse or dependent children of the University employee.
B. Conflict of Interest
A conflict of interest occurs when a University employee is involved in an activity, commitment, or interest that adversely affects, compromises, or is incompatible with the obligations that the employee has to the University of North Dakota. It includes influencing the University in such a way as to lead to improper financial gain for the University employee or the University employee's spouse or dependent children. It also includes involvement in and commitment to outside-the-university activities which interfere with the University employee's obligations to students, colleagues, and the primary mission of the University.
C. Incompatible Obligation
An incompatible obligation means any obligation between a University employee and an external entity which is incompatible with the employee's obligations to the University, or which unduly restricts or impairs the employee's ability to perform research or other activities at the University.
D. Executive Head of a Unit
The executive head of a unit means a Dean, Director, or other officer of the University, in whom primary authority resides for administering an administrative unit. If a conflict exists for an executive head of a unit, the matter shall be referred to the next level of administrative authority in the normal reporting lines.
E. Sponsored Activity
A sponsored activity means research, creative activity, training, instructional, construction, and service projects involving funds, materials, or other compensation from outside sources (sponsor) under agreements which include any of the following conditions:
1. The agreement binds the University to a line of scholarly or scientific inquiry or service that is specified to a substantial level of detail, generally including a statement of deliverables.
2. A line-item budget is involved which details expenses by activity, function, or project period. The
designation of overhead (indirect costs) qualifies a budget as a line-item budget.3. Financial reports and/or technical reports are required.
4. The award is subject to external audit.
5. Unexpended funds must be returned to the sponsor at the conclusion of the agreement.
6. The agreement provides for the disposition of either tangible or intangible properties which may result from the activity. Tangible properties include buildings, equipment, records, technical reports, theses, or dissertations. Intangible properties include rights in data, copyrights, or inventions.
7. Prior approval for changes in budget or project activities are required by the sponsoring entity.
8. Cost sharing is required by the sponsoring entity.
9. The recipient will enter into a sub-contract for partial performance of the award.
10. The award is subject to special conditions such as human subjects or animal care approval.
11. The award involves federal funds, federal flow-through funds or the donation of federal equipment, commodities or services.
F. Investigator
The term "Investigator" means the principal investigator, co-investigators, and any other person who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for funding by an external sponsor. For the purposes of this policy, as it relates to financial interests, "Investigator" includes the Investigator's spouse and dependent children.
G. 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 or honoraria); equity interests (e.g., stocks, stock options or other ownership interests); and intellectual property rights (e.g., patents, copyrights, and royalties from such rights). The term does not include:
1. salary, royalties, or other remuneration from the University of North Dakota;
2. income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities;
3. income from service on advisory committees or review panels for public or nonprofit entities; or
4. an equity interest that when aggregated for the Investigator and the Investigator’s spouse and dependent children, meets both of the following tests: 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; or
5. salary, royalties or other payments that when aggregated for the Investigator and the Investigator's spouse and dependent children over the next twelve months, are not expected to exceed $10,000.
H. Financial Disclosure
Financial disclosure means the formal filing of information with a designated University administrator disclosing any direct and indirect financial interests that the University employee, or spouse, or dependent children have in a sponsor or potential sponsor of a funded activity.
I. Intellectual Property
Intellectual property means any ideas, inventions, technology, biological organisms, software, creative expression (and derivatives thereof), in which a proprietary interest may be claimed including, but not limited to, patents, copyrights, trademarks, data sets, know-how and biological materials.
J. Consulting
Consulting is a professional activity related to the University employee's field or discipline and involves a fee-for-service or equivalent relationship with a third party. In consulting, the University employee agrees to use his or her professional capabilities to further the interests of a third party, in return for compensation.
K. Technology Transfer
Technology transfer includes any license, assignment, or conveyance of any legal or equitable interest in intellectual property that is owned by the University of North Dakota, including but not limited to, the right to make, market, copy, sell, or use such property in any way.
IV. CONFLICT OF INTEREST SITUATIONS
This section identifies situations that present possible conflicts of interest and categorizes these activities according to whether they are acceptable, acceptable with approval, or not acceptable.
A. Classification System
1. Acceptable. This category identifies situations that are defined as acceptable activities by this policy since they have no or only a minimal potential for constituting an actual conflict of interest. However, approval to proceed with the activity may still require approval by administrative entities.
2. Acceptable with Approval. This category includes situations that represent a substantial potential for, or an actual conflict of interest, but may be acceptable if approval is received. The approval may be subject to imposed conditions or supervision/ management provisions.
3. Not Acceptable. These situations present such serious violations of University policy or such a high potential for abuse that they are not acceptable under any circumstances. No disclosure or approval mechanism is set forth since engaging in these activities is prohibited and may result in University disciplinary action in accordance with University policies.
B. Examples of Possible Conflicts of Interest
The following is a representative but non-inclusive list of situations that may result in potential conflicts of interest. These classifications are not intended to serve as a rigid or a definitive code of conduct; they are illustrative and are grouped by headings that represent common areas in which conflicts of interest situations may occur.
1. University resources and facilities.
a. Acceptable. The use of University resources is acceptable, if the use of such property or facilities has a legitimate relationship to the University employee's responsibilities and such use causes no more than a trivial cost to the University. No disclosure or approval is required in these situations by this policy, although individual administrative units may have their own approval or scheduling procedures. Examples include using institutional resources to author a book, to host a meeting, to conduct research, or to serve a professional organization as an officer.
b. Acceptable with Approval. The use of University resources and facilities, outside usual work responsibilities, that results in clearly identifiable additional costs to the University is classified as acceptable with approval. Approval of such situations will generally be conditioned on reimbursement of costs. Exceptions to therequirement for reimbursement must be approved by the executive head of the administrative unit in which the activity occurs. Examples include writing a book for outside compensation, hosting a conference, giving private lessons, performing research utilizing University research instruments for an external entity, or serving as an editor for a journal. The key issue is not involvement in these activities, which is usually to be applauded, but the potential additional costs to the University.
c. Not Acceptable. The use of University facilities or resources for personal financial gain or for activities outside the mission of the University is not acceptable under any circumstances. This includes using University facilities or resources to conduct a private business.
2. University Employees
a. Acceptable. It is acceptable to utilize institutional employees (e.g., research assistants, secretaries, work study students) to provide work assistance provided the activity is in keeping with the responsibilities of both parties, does not interfere with the performance of their primary activities, and does not result in other than trivial additional costs to the University. This policy does not require any disclosure or approval process, although individual administrative units may require reporting and approval. For instance, it is permissible, provided the above conditions are met, for departmental secretaries to type book chapters for individual faculty members and for work study students to assist an editor in preparing proofs for a journal, even though these services may personally benefit an individual University employee.
b. Acceptable with Approval. If a University employee wishes to use the services of another employee for an activity that will personally benefit the recipient of the services, and the costs are more than trivial, approval of the executive head of the administrative unit is required. This approval shall only be granted if the requested services are in keeping with the usual University activities of both employees and the activity is in keeping with the mission of the University. For instance, a faculty member may request the assistance of a departmental secretary in entering an extensive database for a research project. This activity would be permissible with approval even though it would benefit a single faculty member and would require extensive secretarial involvement.
c.Not Acceptable. It is not acceptable to use the services of University employees for personal gain such as answering telephones for a private business, typing reports or conducting research activities for a privately compensated, outside the University activity, or accepting outside the University personal compensation for work performed by University employees.
3. University Affiliation
a.Acceptable. It is acceptable to use the University's name whenever the University employee wishes to acknowledge affiliation with the University, provided this identification is accurate and in keeping with the employee's actual role and responsibilities at the University. University personnel may use University stationery for activities that are related to their assigned University responsibilities.
b.Acceptable with Approval. Approval is required to use the University's name and stationery for activities that may imply University endorsement or sponsorship of an activity that is outside the usual responsibilities of a University employee, e.g. endorsing candidates for public office, lobbying for legislation, endorsing products, or soliciting funds.
c.Not Acceptable. It is not acceptable for a University employee to use the University's name in connection with private activities in a manner that inappropriately suggests that the University endorses, sponsors, or approves of the activities or views of the University employee. This prohibition is not intended to restrain any University employee from the exercise of any other right or privilege, the conduct of lawful activity, the expression of a viewpoint on any issue, or from the accurate identification of his or her affiliation with the University in connection with such activities as indicated in North Dakota Century Code Chapter 34-11.1, the Public Employees Relation Act.
4. Students
a. Acceptable. Students may be assigned to participate in research or creative activities as part of their academic requirements provided those activities have academic benefit, do not involve publication restrictions which may delay fulfillment of a degree requirement, and credit is given for the student's contribution to any intellectual property that results from their research/creative activity.
b. Acceptable with Approval. Restrictions on student rights to publication that may adversely impact the fulfillment of degree requirements are permitted only to the extent reasonably necessary to obtain protection of intellectual property rights and if they do not prevent publication of student research in a timely manner. Publication in a timely manner is usually the earlier of six months from the completion of the project or the completion of the student's degree requirements. Such provisions are classified as approval required. In such instances, the student must be informed of the limitations prior to commencing the work and must agree to those limitations.
Assignment of students, as part of their academic requirements, to research/creative activities that have the potential to substantially benefit a business entity in which a University employee has a significant financial interest is classified as acceptable with approval. Approval shall be granted only when there is a clear demonstration that students will receive appropriate academic benefit from their efforts and students freely agree to the activity.
c. Not Acceptable. It is not acceptable to assign students, as part of their academic requirements, to research or creative activities that involve secrecy or confidentiality requirements beyond the scope of the foregoing. The use of uncompensated student labor for outside-the-University research or creative activity that will result in personal gain for the executive head or supervising University employee is not acceptable.
5.Professional Activities
a. Acceptable. University personnel are encouraged to nurture their professional skills and perform public service by involvement in professional activities that relate to their discipline, area of research activity or interest in public service. This activity may involve compensated and non-compensated consulting, holding a public office, involvement in a private business, serving on review panels, or teaching in another institution. The critical determinants of the acceptability of this involvement is the degree to which the activity will benefit the University and the degree of negative impact that it will have on a full commitment to University roles and responsibilities.
b. Acceptable with Approval The following activities require approval:
- Involvement in research projects sponsored through the University by a business entity in which a University employee has a significant financial interest.
- Involvement of faculty, students, research associates, technicians or other staff supported by University administered funds, for work intended to benefit a business entity in which an involved University employee has a significant financial interest.
- Transfer of University technology to a business entity in which the University inventor has a significant direct or indirect financial interest.
- Submission of proposals for sponsored grants or contracts by a business entity in which a University employee has a significant direct or indirect financial interest, and the subject matter of the proposal is substantially related to the employee's University responsibilities, and where the University is qualified and eligible to apply.
- The provision of goods or services to the community by an employee which are related to the employee's University responsibilities, and which may be in actual or potential competition with the University.
- Referrals by University employees providing clinical services in the community (as a part of their University duties), to a business entity in which the employee has a significant direct or indirect financial interest.
c. Not Acceptable. The nonreimbursed and/or disclosed involvement of University employees and students, on University time, for work intended to benefit a business entity in which a University employee has a significant financial interest, is not acceptable.
6.University Transactions
a. Acceptable. This category of activities involves situations in which a University employee may be in a position to benefit financially from the University's purchase of goods or services. NDSBHE policy 611.4 states "An employee of the North Dakota State Board of Higher Education who knowingly or intentionally a) has a pecuniary interest in, or b) derives a profit from authorization of a contract or purchase by the institution that the employee serves, commits a conflict of interest and is subject to dismissal or disciplinary action." As long as a University employee works within the scope of his or her responsibilities and there is no conflict of interest as defined above, the activity is classified as acceptable.
b. Acceptable with Approval. Participation of a University employee in a transaction between the University and a business entity in which the University employee has a significant financial interest is classified as approval required. Participation includes any activity tending, directly or indirectly, to influence the selection of a vendor, including but not limited to the designation of possible vendors, the drafting of specifications or participation in the final decision process in connection with research proposals, purchase orders and the like. Approval should be granted only when competitive bidding can be used to select the vendor, or when the business entity in which the University employee has an interest is the sole vendor or one of only a few vendors that can supply the goods orservices in question and it can be assured that the acquisition is based on fair market value and involves, to the extent possible, a competitive bidding process. Independent technical and financial review of the specifications, the selection process, and the price, including the right to audit for "cost reasonableness," may be required as a condition of approval.
c. Not Acceptable. Solicitation or receipt by a University employee or a member of the immediate family of the University employee of a gift, compensation, loan of money, or a nonpecuniary gift, the value of which exceeds the amount permitted by state law, including remuneration from a person or business entity that is an actual or potential provider of goods or services to the University, in connection with any transaction between the University and any persons or business entity, or under circumstances where it would tend to influence the University employee's performance of his or her University duties, is not acceptable.
It is not acceptable for a University employee to participate in a University decision-making process when the decision has the potential to benefit or injure significantly, directly or indirectly, a business entity in which the University employee has a significant direct or indirect financial interest. The preferred procedure is for the University employee to withdraw from participation in the decision-making process. In no event should the involved University employee be the final decision-maker for the University.
7.Governance Activities
a. Acceptable. University employees are expected to participate in University governance, including serving on personnel-related or resource-allocating decision-making bodies. Involvement on University committees, hearing panels and appeal panels that involve personnel matters or the allocation of University resources must involve objective decision-making procedures.
b. Acceptable with Approval. The mere fact that a University employee is acquainted with a person who will be affected by a committee decision does not automatically disqualify the employee from participating in the committee deliberations. The key issue is the ability to be objective and non-biased in the decision-making process. If a University employee questions whether she or he has sufficient objectivity to perform a decision-making duty, the employee should disclose the nature of the relationship and request the committee to determine a recommended amount of continued involvement in the decision-making process. The recommendation of the committee should be seriously considered by the employee.
c. Not Acceptable. It is not acceptable for a University employee to participate in a personnel-related or resource-allocation decision-making process if the employee lacks sufficient objectivity to make a fair and impartial decision. The employee may choose to abstain from involvement in the decision or, if appropriate, resign from the committee.
V. PROCEDURES
University personnel are expected and required to take the initiative to report promptly, with sufficient detail, all activities or situations which may involve, or appear to involve, a conflict of interest. Any principal investigator listed in a project proposal or potential contract which is to be submitted to a federal agency (or to any funding entity requiring compliance with the federal guidelines on conflict of interest) for financial support, and any other persons who are responsible for the design, conduct, or reporting of the project, shall file, at least annually, a financial interests disclosure statement as defined by this policy. This report shall be made to the executive head of the unit in which the involved person is employed, or to such other person as University policy requires. Those employees who are authorized to enter into financial transactions on behalf of the University or who are in a position to influence those transactions, shall file a Notification of Business Interests form with the Director of Purchasing. This form shall detail ownership or significant financial interests that the employee has in companies or organizations that conduct business with the University. The involved person shall respond to inquiries from the executive head of the unit in connection with any such report. The mere existence of a conflict, real or potential, will not necessarily rule out a particular activity, since conflicts span a wide spectrum, from minor and inconsequential to those that have such a serious consequence that they cannot be permitted.
Executive heads of units have the duty and responsibility to evaluate carefully all potential conflict situations that are reported or known to them before acting to approve or disapprove the same. As a public institution, the University is entitled to possess sufficient information to discharge its obligations of public accountability. Accordingly, in a specific conflict situation, it may be appropriate for the executive head of the unit to inquire into a number of factors, including the extent of time commitment, the extent of financial or other interests that the University employee, the employee's spouse, or dependent children have in external entities over which they have sufficient influence to affect general policy or specific decision-making.
A. Financial Disclosure
This policy uses disclosure as the key mechanism to bring conflicts of interest to light for further evaluation and, where necessary, for oversight. Examples of situations that require disclosure, or review and approval, are identified in Section IV. Those University personnel specifically required by this policy to do so must disclose any actual or potential conflict of interest situations at least annually, and at other times when real or apparent conflicts arise, on Section I Financial Interests Disclosure Statement (Appendix A). The form requires:
1. A listing of any consulting relationship, managerial role, or significant financial interest in a company that does business with the University.
2. A listing of any consulting relationship, managerial role, or significant financial interest in a company which is involved in activities related to the University employee's field of research or service.
3. A listing of any consulting relationship, managerial role, or significant financial interest in a company that sponsors or may sponsor the University employee's research or service activities.
4. A listing of any intellectual property interests assigned or to be assigned to a party other than the University of North Dakota.
5. A listing of any income-producing activities involving University of North Dakota personnel or students that constitute a significant financial interest.
6. A listing of any other commitments, activities (including uncompensated activities) or financial or fiduciary relationships that may present a conflict of interest.
University personnel shall file the disclosure statement, along with a Description of Financial Interest Activity form for each reported entity or activity with the person designated within each college or other major administrative unit to receive and review the disclosure form, usually a Dean or Director, in keeping with the timetable established by that unit. If an actual or potential conflict of interest is not believed to exist, the reviewing authority will complete Section II of the Financial Interests Disclosure Statement form. A copy of the form will be returned to the University employee and a copy will be retained by the reviewing authority. The requested action may then take place, provided it is in compliance with other University policies and procedures.
If an actual or potential conflict of interest is determined or believed to exist, there are three options. The first option is to permit the requested action or activity; the second option is to attach conditions to the approval; and the third option is to prohibit the activity. Potential conditions include:
1. public disclosure of significant financial interests;
2. monitoring of research by independent reviewers;
3. modification of the research plan;
4. disqualification from participation in that portion of a project that would be affected by the significant financial interests;
5. divestiture of significant financial interests; or
6. severance of relationships that create conflicts of interest.If the person appointed to receive and review the disclosure statement believes that a conflict of interest situation may exist, that person shall refer the matter, along with a recommendation, to the Vice President who supervises the administrative unit considering the matter.
The designated Vice President shall have the authority to approve, disapprove, or approve with conditions any conflicts of interest. The Vice President may also refer the matter to the Conflict of Interest Committee (CoIC), for their recommendation. If the respective Vice President determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that might arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the Vice President may allow the research to go forward without imposing such conditions or restrictions.
The Vice President shall indicate a decision on Section III of the Financial Interests Disclosure Statement form. A copy of the form will be returned to the person submitting the disclosure, a copy will be forwarded to the initial reviewing authority, and a copy will be retained in the file of the Vice President.
The official file for all disclosure and approval/disapproval documents shall be located in the offices of the executive heads of the respective units.
B.Other Situations Subject to Review and Approval.For situations subject to review and approval but not involving a financial conflict of interest (e.g. nontrivial use of University facilities or resources, student involvement in research with a publication restriction, technology transfer, etc.), the University employee shall submit a request in writing, explaining all pertinent circumstances, to the executive head of the appropriate administrative unit.
The executive head of the unit shall provide a decision and reasons for the decision in a timely fashion. The executive head shall have the option of referring the matter for consultation or final decision-making to another unit, such as a Vice President, if it is felt appropriate to do so or as required by University policy. The executive head of that unit shall then have final authority to approve, disapprove, or approve with conditions any requests for approval.
The official file for all requests and determinations shall be located in the offices of the executive heads of the respective units.
C.Conflict of Interest Committee
A Conflict of Interest Committee (CoIC) shall be established. The Committee shall be comprised of five members elected by the University Senate. The Committee shall serve as both an advisory and decision-making body regarding conflict of interest issues. Administrative services shall be provided by the Office of Research and Program Development.
D.Appeals
Appeals of any decisions regarding either financial disclosure issues or requests for approval, will be considered by the CoIC. Appeals may be initiated by the effected University employee. In the event of an appeal, the CoIC shall make a determination.
E.Sponsored Projects
Review and approval of actual or potential conflicts of interest that are related to sponsored projects and technology transfers shall utilize the process prescribed in sub-sections A and B in Section V of this policy. The Principal Investigator and any other person who is responsible for the design, conduct, or reporting of the research proposed for funding shall submit copies of a completed Certification of Filing of Financial Interests Disclosure Statement form to the Office of Research and Program Development (ORPD) at the time that the proposal, grant, or contract is submitted for review by ORPD.
If a conflict of interest exists, it is incumbent on the investigator to have the approval of the appropriate reviewing authority, with any attached conditions, prior to submission to ORPD. Time constraints will generally make it impossible to deal with conflict of interest issues at the same time that a proposal, grant, or contract is under review for University endorsement.
As an option, potential investigators of multiple proposals, grants, or contracts may file a copy of their completed and approved Certification of Filing of Financial Interests Disclosure Statement form with the Director of ORPD, on an annual basis. That document will be reviewed for compliance with this policy whenever a proposal, grant, or contract is submitted for University endorsement. It will be the responsibility of the investigator to update the Financial Interests Disclosure Statement, to receive a new written determination, and to file a new Certification of Filing of Financial Interests Disclosure Statement form with ORPD whenever new reportable significant financial interests are obtained.
Special conditions apply to sponsored grants and contracts involving federal funds. An actual or potential conflict of interest exists when the reviewing authority reasonably determines that a significant financial interest could affect the design, conduct, or reporting of the research or educational activities funded or proposed for funding to a federal agency. If a conflict of interest is believed to exist, the reviewing authority may choose to prohibit involvement in the proposed project or to attach conditions which will provide management of the conflict or oversight of the project. Prior to expenditure of any funds, and if required to do so by funding agency policy, the University shall notify the funding agency regarding the conflict of interest and provide assurance that the conflict of interest is being managed, reduced or eliminated in accordance with agency requirements.
In the event restrictions or conditions are imposed relative to a federal grant, the University shall inform the federal agency of any inability to manage satisfactorily a conflict of interest. The University of North Dakota will maintain records of all financial disclosures and of all actions taken to resolve conflicts of interest until at least three years after the later of the termination or completion of the award to which they relate, or the resolution of any government action involving those records.
F.Conflicts Involving Executive Heads of Units
The procedures in this section govern the review and approval of actual or potential conflicts of interest involving administrators at the level of dean, director, or higher. Initial disclosure shall be made to the respective Vice President who shall make a recommendation consistent with this policy. As an option, the Vice President may refer the matter to the CoIC for its recommendation. The respective Vice President shall have final decision-making authority unless the matter is referred to the CoIC on appeal; in that case, final determination will rest with the President of the University. Disclosures for Vice Presidents shall be filed with the President who shall have final approval authority and may consult with the CoIC for their recommendation.
VI. SANCTIONS
Violations of this policy shall be subject to disciplinary procedures as provided for in other University policies and procedures. Compliance with this policy may also be enforced through the exercise of administrative supervision of funded research and the management of University facilities and other University property. Such enforcement measures shall include, but not be limited to:
1. freezing research funds or accounts,
2. rescinding contracts entered in violation of this policy or state law, and
3. bringing legal action to recover the amount of financial benefit received by the University employee as a result of the employee's violation of this policy.
University Senate , 11-03-94; modified 09-21-95 and 05-16-96 .5.7 ETHICAL CONDUCT IN RESEARCH, SCHOLARSHIP AND CREATIVE ACTIVITY
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I.
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INTRODUCTION |
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II.
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ETHICAL STANDARDS |
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III.
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DEFINITIONS |
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IV.
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GENERAL PROVISIONS |
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V.
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ALLEGATION OF MISCONDUCT |
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VI.
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INQUIRY PHASE |
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VII
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INVESTIGATION PHASE |
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VIII.
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DISPOSITION PHASE |
I.INTRODUCTION
The integrity of the research process is an essential aspect of a university's intellectual and social structure. Research is defined as all research, scholarship, and creative activity that supports the intellectual endeavors of the University. Although incidents of misconduct in research may be rare, those that do occur threaten the entire research enterprise.
The integrity of the research process must depend largely upon self-regulation. Formalization of the rights and responsibilities of the University of North Dakota and faculty\staff members in conducting research and producing creative activity are imperative. The University is responsible for promoting practices that prevent misconduct and also for developing policies and procedures for dealing with allegations or other evidence of fraud or serious misconduct. All members of the University community, including students, staff, faculty, and administrators, share responsibility for developing and maintaining standards to assure ethical conduct in research and the detection of any abuse of these standards.
It is important to create an atmosphere that encourages openness and creativity. Good and innovative research cannot flourish in an atmosphere of oppressive regulation. Moreover, it is particularly important to distinguish misconduct in research, scholarship, and creative activity from the honest error and the ambiguities of interpretation that are inherent in the research/creative process and that are normally corrected by further research and study. The following policies and procedures apply to faculty, staff and students, in certain circumstances (see Section IV.A). They are not intended to address all academic issues of an ethical nature such as discrimination and affirmative action which are covered by other University policies.
II. ETHICAL STANDARDS
The primary way to encourage appropriate conduct in research and scholarship at the University of North Dakota is for the faculty and staff to promote and maintain a climate consistent with high ethical standards. To reduce the likelihood of misconduct and promote high quality in research, scholarship and creative activity, the faculty and administration should promote and facilitate the following:
A. Encouragement of Intellectual Honesty
Because of the importance of a climate of intellectual honesty in a university community, a commitment to the ethical responsibilities of academia by all of its members is essential. This commitment is evidenced by adherence to such common practices as submission of work to peer review, avoidance of conflict of interest, scholarly exchange of ideas and data, and self-regulation. Mentor relationships between academic leaders and new practitioners serve to enhance the transmission of ethical standards.
B. Acceptance of Responsibility by Research Supervisor
University policies must define a locus of responsibility for the conduct of research and must ensure that the individual(s) charged with the supervision of researchers can realistically execute the responsibility. These supervisors of research should be experienced academicians who serve as mentors in transmitting the ethics and responsibilities underlying scientific and humanistic research. The larger the research team, the more critical the role of the supervisor in promoting open communication and scholarly exchange of ideas, data, and results and in assuming responsibility for the conduct and outcomes of the research process. It is also the responsibility of the supervisor to review and publish as much primary data as possible.
C. Establishment of Well-Defined Research Procedures
Well designed and strictly adhered to research methods are a deterrent to fraud. Bias in data analysis and interpretation can be avoided by following practices that are common to the disciplines.
D. Appropriate Assignment of Credit and Responsibility
Authors or creators should recognize the contributions of others through adequate citation and/or acknowledgment. They should also name as authors or creators only those who have had a genuine role in the research or creative activity and who accept responsibility for the quality of the work being reported or presented.
III. DEFINITIONS
A. Misconduct in Research and Scholarship
Misconduct in research and scholarship means any form of behavior which entails research fraud, scientific misconduct, or an act of deception whereby one's work or the work of others is misrepresented. Misconduct in research, scholarship and creative activity is distinguished from honest error and from ambiguities of interpretation that are inherent in the research/creative process. The principal element of misconduct in research, scholarship and creative activity is the intent to deceive others or misrepresent one's work. Misconduct involves significant breaches of integrity which may take numerous forms such as, but are not limited to, those outlined below:
1. Falsification of Data. Falsification of data means activities ranging from fabrication to deceptive or selective reporting of findings and includes the omission of conflicting data, the willful suppression of data and/or the distortion of data with the intent to falsify results.
2. Plagiarism. Plagiarism means the misappropriation of the work of another and its misrepresentation as one's own original work.
3.Improprieties of Authorship. Improprieties of authorship means the improper assignment of credit, such as excluding other authors; inclusion of individuals as authors who have not made a definite contribution to the work; or submission of multi-authored publications without the knowledge of all authors.
4.Misappropriation of the Intellectual Property of Others. Misappropriation of the intellectual property of others means the unauthorized use of proprietary or private information (such as violation of confidentiality in peer review), however obtained.
5.Violation of Generally Accepted Research Practices. Violation of generally accepted research practices includes deceptive practices in proposing, conducting, or reporting research. For NSF funded awards only, this definition is expanded to include all activities funded by the NSF, not just research activities.
6.Inappropriate Behavior in Relation to Misconduct. Inappropriate behavior in relation to misconduct includes unjust and malicious accusation(s) of misconduct; failure to report misconduct; withholding or destruction of information relevant to a claim of misconduct in research and scholarship; or retaliation against persons involved in the allegation or investigation of misconduct in research and scholarship who have not acted in bad faith.
B. Complainant
Complainant means an individual who brings an allegation(s) of misconduct.
C. Respondent
Respondent means an individual against whom an allegation(s) of misconduct is made.
D. Members of the University Community
Members of the University community means all faculty, staff, and students, both full and part time, who are affiliated with the University of North Dakota.
E. Inquiry
Inquiry means information gathering and initial fact finding to determine whether an allegation or apparent instance of misconduct warrants an investigation.
F. Investigation
Investigation means the formal examination and evaluation of all relevant facts to determine if misconduct has occurred.
IV. GENERAL PROVISIONS
Misconduct in research and scholarship is inappropriate behavior by members of this University community. Allegations of misconduct in research, scholarship, and creative activity will be handled according to the policies and procedures included herein.
A. Allegations Involving Students
Allegations of misconduct against students will be handled according to policies in the University of North Dakota Code of Student Life, with the following modification: if a student against whom an allegation is lodged serves in a research assistant capacity and is supported in that position by University administered funds, the allegation must be reported to the Vice President for Academic Affairs, who will make the decision as to whether the complaint should be handled in accordance with the procedures as stipulated in the Code of Student Life or the procedures as provided for in this policy. If the decision is to proceed utilizing the Code of Student Life process, each step of the process must be coordinated with the Vice President for Academic Affairs or a designee in order to assure compliance with the procedures for time lines, decisions, and sanctions as prescribed in this policy.
B. Principles
The following principles shall guide the review of allegations of misconduct in research, scholarship, and creative activity at the University of North Dakota:
1. The process must avoid damage to research, scholarship, or creative activity.
2. The University will provide vigorous leadership in the pursuit and resolution of all charges.
3. Due process will be provided to all parties in keeping with applicable state and federal law and University of North Dakota and State Board of Higher Education policies. All parties will be fairly treated and their reputations guarded by providing confidentiality to the extent possible under applicable state and federal requirements and/or the North Dakota Open Records Act.
4. The integrity of the process will be maintained by painstaking avoidance of conflicts of interest.
5. Charges will be resolved as expeditiously as possible.
6. The University will document the pertinent facts and actions at each stage of the process.
7. The University will pursue allegations within the scope of this policy without regard to whether related civil or criminal proceedings have been initiated. The University may, at its option, suspend the inquiry/ investigation temporarily but is not under obligation to do so, as the standards of the University may differ from the courts.
8. To the extent feasible and reasonable, the University will pursue the allegation of misconduct to its conclusion, even if the accused individual leaves or has left the University before the matter is resolved.
V. ALLEGATIONS OF MISCONDUCT
A. Reporting Allegations
Initial allegations, in writing, may be reported to any faculty member or administrator. All such allegations must then be reported to the Vice President for Academic Affairs or a designee. (The term "the Vice President for Academic Affairs" in the balance of this document shall mean "the Vice President for Academic Affairs or a designee.") If the Vice President for Academic Affairs has a possible conflict of interest, the allegations will be referred to the President of the University.
B. Pre-Inquiry Review
The Vice President for Academic Affairs shall review, during the pre-inquiry stage, any allegation of misconduct in research, scholarship and creative activity and then determine whether:
1. the allegation is within the purview of this policy;
2. whether other policies and procedures, such as those relevant to employment grievances, should be invoked;
3. the allegation is outside the purview of the University;
4. the allegation is clearly without substance.
If an inquiry is determined to be not warranted, the Vice President for Academic Affairs shall prepare a memorandum-for-file including a statement of the allegation and the rationale for not conducting an inquiry. This memorandum shall be kept secure and destroyed three years after completion of the matter. A copy shall be given to the respondent.
If an inquiry is determined to be warranted, the Vice President for Academic Affairs will counsel the individual(s) bringing the allegation as to the policies and procedures to be used. If the reporting individual chooses not to make a formal allegation but the Vice President for Academic Affairs believes that reasonable suspicion exists to warrant an inquiry, the inquiry process will be initiated.
C. Notification of Respondent
In the event the Vice President for Academic Affairs determines that the allegation is appropriately reviewed according to these policies and procedures, the Vice President for Academic Affairs shall, within 15 working days of receipt of an allegation, complete the pre-inquiry review, notify the respondent of the allegation, and appoint a Committee of Inquiry. Under extenuating circumstances, the Vice President may extend this review time to 30 working days. The respondent shall be notified of the Vice President's decision within five working days of the date of a decision.
VI. INQUIRY PHASE
A. Purpose
Whenever an allegation or complaint involving the possibility of misconduct is made which is within the purview of this policy, the Vice President for Academic Affairs will initiate an inquiry which is the second step in the review process. In the inquiry phase, factual information will be gathered and expeditiously reviewed to determine whether a further investigation of the charge (investigation phase) is warranted. The inquiry phase is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations.
B. Structure
1. The Vice President for Academic Affairs will, after a decision has been made to proceed with an inquiry and after consultation with the chair of the University Senate, appoint either an individual or a committee to conduct the inquiry. If an individual is appointed, that person must be a tenured faculty member at the rank of associate or full professor who is without conflict of interest and has appropriate expertise to evaluate the information relative to the case. If a Committee of Inquiry is appointed, it will be comprised of no more than three members, all without conflict of interest. At least two members must be tenured faculty members at the rank of associate or full professor who have appropriate expertise to evaluate the information relative to the case. A third member may be appointed from outside the University of North Dakota if, in the judgement of the Vice President, the circumstances justify such an appointment. Otherwise, the third member shall be appointed from within the University and must meet the requirements listed for the first two members. Every effort will be made, following initial administrative review of the allegation, to appoint the person conducting the inquiry or the Committee of Inquiry within 15 working days of the decision by the Vice President to proceed with an inquiry. (The term "Committee of Inquiry" in the balance of this document means "a Committee of Inquiry or a person appointed to conduct an inquiry.") The Committee of Inquiry must be appointed within 30 working days.
2. At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters.
3. Records of the inquiry are to be kept and any records are to be transferred to a Committee of Investigation if the investigation phase is invoked. The records are to be kept secure, and if no misconduct is found, the records should be destroyed three years after completion of an inquiry. At the option of the Committee, proceedings will be tape-recorded or transcribed and will be made available to involved parties upon request. All committee members are voting members.
4. The inquiry phase will be completed within 60 calendar days of its initiation unless the Committee determines that circumstances clearly warrant a longer period. In such circumstances, the Committee will advise the Vice President for Academic Affairs who will advise all relevant parties. The record of the inquiry will include documentation explaining the reasons for exceeding the 60-day period.
5. As the inquiry is intended to be expeditious, principals are expected to speak for themselves but may be accompanied by a representative for advice and counsel.
C. Process
1. The Vice President for Academic Affairs shall notify all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, they will be informed of the proposed membership on the Committee of Inquiry for the purpose of identifying in advance any real or potential conflicts of interest.
2. Information, expert opinions, records, and other pertinent data may be requested by the Committee. All involved individuals are expected to cooperate with the Committee of Inquiry by supplying such requested documents and information.
3. All parties shall have access to copies of all documents reviewed by the Committee during the inquiry. During the inquiry, the Vice President for Academic Affairs and the members of the Committee of Inquiry will be responsible for the security of relevant documents. Copies of all documents and related communications are to be securely maintained in the Office of the Vice President for Academic Affairs.
4. All parties to the matter, including the Committee of Inquiry itself, shall have the opportunity to present evidence and to call witnesses.
D. Findings
1. The completion of an inquiry is marked by a determination of whether or not an investigation is warranted, thus invoking the investigation phase. The Committee shall not recommend that an investigation occur unless a majority of the members conclude, based on the preponderance of evidence for each allegation, that the allegation(s) have sufficient merit to call for an investigation. The report of the Committee of Inquiry will be conveyed in writing to the Vice President for Academic Affairs who will be responsible for communicating the findings to the respondent within 10 working days of receipt of the report. The report of the Committee of Inquiry shall state the evidence that was reviewed, summarize relevant interviews, and include the conclusions of the inquiry. The respondent shall be given the opportunity to comment in writing upon the findings and recommendations of the Committee. If the respondent chooses to comment, such comments shall be forwarded as soon as possible but must be forwarded within 10 working days of the date of notification of the findings by the Vice President for Academic Affairs.
2. If the outcome of the inquiry indicates need for a formal investigation, the Committee will communicate its findings to the Vice President for Academic Affairs. If the Vice President for Academic Affairs concurs with the recommendation of the Inquiry Committee, the Vice President will, after notification to the appropriate Dean(s) and legal counsel, initiate the investigation phase. Under certain circumstances, as defined by federal regulations, the institution may notify the sponsoring agency or funding source at a point prior to the initiation of an investigation. Factors to be considered in determining the timing of such notification include the following:
a. There is an immediate health hazard involved.
b. There is an immediate need to protect Federal funds or equipment.
c. There is an immediate need to protect the interests of the person(s) making the allegations or the individual(s) who is the subject of the allegations as well as co- investigators and associates, if any.
d. It is probable that the alleged incident will be reported publicly.
e. There is a reasonable indication of possible criminal violation.
3. If an allegation is found to be unsupported but has been submitted in good faith, no further action, other than informing all involved parties, will be taken. Reasonable efforts will be taken to protect the standing and the reputations of both the person(s) making the allegation(s) and the respondent(s).
4. If the Committee finds the allegations to be unjust and malicious, the Committee will report those findings to the Vice President for Academic Affairs. At that time, the Vice President may take such actions, or impose such sanctions, as are appropriate to the situation. The University will take reasonable steps to restore the academic reputation of the person whose conduct was the subject of the inquiry.
VII. INVESTIGATION PHASE
A. Purpose
An investigation will be initiated when a Committee of Inquiry issues a finding that an investigation is warranted and the Vice President for Academic affairs concurs with that recommendation. The purpose of investigation is to explore further the allegations and determine whether misconduct in research and scholarship has been committed. The investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. In the coursean vestigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent will be informed in writing when significant new directions for investigation are undertaken.
B. Structure
1. The Vice President for Academic Affairs will, after making a decision to proceed with a formal investigation, and after consultation with the chair of the University Senate, appoint an Investigating Committee of no less than three persons, all without conflict of interest. At least two members must be tenured faculty at the rank of associate or full professor and have appropriate expertise for evaluating the information relative to the case. The third member may be appointed from outside the University of North Dakota community if, in the judgement of the Vice President for Academic Affairs, the circumstances justify such an appointment. Otherwise, the third member shall be appointed from within the University and must meet the same requirements as those listed for the first two members. No member of the Committee of Inquiry shall also serve on the Investigating Committee. Every effort will be made, following the receipt of the report of the Committee of Inquiry, to appoint an Investigating Committee within 15 working days of the Vice President for Academic Affair's decision to proceed with the investigation phase, but the Committee must be appointed within 30 working days.
2. At its first meeting, the Committee will elect a chairperson to handle procedural and administrative matters. All committee members will be voting members.
3. Written notification of hearing dates and copies of all pertinent documents in the possession of the Vice President for Academic Affairs will be provided by the Vice President for Academic Affairs in advance of scheduled meetings. At the option of the Committee, proceedings will be either tape-recorded or transcribed and will be made available to involved parties upon request.
4. Every effort shall be made to complete the investigation phase within 120 days; however, it is acknowledged that some cases may render this time period difficult to meet. In such cases, the Investigating Committee must prepare a progress report for the Vice President for Academic Affairs that includes the reasons for the delay and notifies the Vice President for Academic Affairs of the additional time necessary for the investigation. As related to the investigation, the Vice President for Academic Affairs shall convey to any affected funding agency such information as may be required by the funding agency, and at intervals as required by the agency.
5. Both the principals and the Committee of Investigation may discuss the issues personally, have a representative act in her/his behalf or have a representative accompany him/her.
C. Process
1. The Vice President for Academic Affairs shall be responsible for notifying all parties in writing of the allegations and of the procedures that will be used to examine the allegations. Further, all parties shall 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.
2. All parties to the case, including the Committee of Investigation, may present evidence, and call and examine or cross-examine witnesses. The investigation normally will include examination of all documentation, including but not necessarily limited to relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. The Committee will make every attempt to interview all individuals involved either in making the allegation or against whom an allegation is made, as well as other individuals who might have information regarding key aspects of the allegations. Complete summaries of these interviews will be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file. Additional hearings may be held and the Committee may request the involvement of outside experts. The investigation must be sufficiently thorough to permit the Committee to reach a decision about the validity of the allegation(s) and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result. In addition to making a judgment on the veracity of the charges, the Committee may recommend to the Vice President for Academic Affairs appropriate sanctions, if warranted.
3. As the University is responsible for protecting the health and safety of research subjects, students and staff, interim administrative action prior to conclusion of either the inquiry or the investigation may be indicated. Such action ranging from slight restrictions through complete suspension of the respondent or the respondent's research and notification of external sponsors, if indicated, will be initiated by the Vice President for Academic Affairs.
4. All parties in the investigation are encouraged to cooperate by producing any additional data requested for the investigation. Copies of all materials secured by the Committee shall be provided to the respondent and may be provided to other concerned parties as judged appropriate by the Committee.
5. The respondent shall have an opportunity to address the charges and evidence in detail.
6. After all evidence has been received and the hearings completed, the Committee of Investigation shall deliberate and prepare its findings and recommendations. The Committee shall find no academic misconduct unless a majority of the members conclude beyond a reasonable doubt that the allegation(s) have been substantiated.
7. All significant developments during the investigation, as well as the findings and recommendations of the Committee, will be reported by the Vice President for Academic Affairs to any affected research sponsor, if appropriate.
D. Findings
1. Upon completion of the investigation, the Committee will submit to the Vice President for Academic Affairs a full written report which details the Committee's findings and recommendations.
2. The report shall also be sent to the respondent by the Vice President for Academic Affairs within 10 days of receipt of the report.
VIII. DISPOSITION PHASE
A. If No Academic Misconduct Is Found
All research sponsors and others initially informed of the investigation will be informed in writing that allegations of misconduct were not supported. If the allegations are deemed to have been maliciously motivated, the Committee will report those findings to the Vice President for Academic Affairs. If the allegations, however incorrect, are deemed to have been made in good faith, no additional measures are indicated and efforts will be made to prevent retaliatory actions. In publicizing the findings of no misconduct, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. Usually, such decision will rest with the respondent.
B. If Academic Misconduct Is Found
1. The Vice President for Academic Affairs shall consider the recommendations of the Committee of Investigation and shall be responsible for determining and implementing any sanctions. Within 20 days of receipt of the report from the Committee on Investigation, the Vice President for Academic Affairs shall notify the respondent and the President, in writing, of the recommended sanctions, if any.
2. The University must impose sanctions that are appropriate to the seriousness of the misconduct, including, but not limited to, one or more of the following:
a. Private letter of reprimand in personnel file
b. Removal from particular project
c. Special monitoring of future work
d. Letter of reprimand with public notice
e. Probation for a specified period with conditions
f. Suspension of rights and responsibilities for a specified period, with or without salary
g. Financial restitution
h. Termination of employment/enrollment
3. If the sanctions involve a recommendation for termination of employment, University academic termination procedures will be invoked.
4.The Vice President is responsible for notification of all federal agencies, sponsors or other entities initially informed of the investigation, regarding the outcome. Consideration should be given to formal notification of:
a. Sponsoring agencies, funding sources
b. Co-authors, co-investigators, collaborators, department, campus University publications
c. Editors of journals in which fraudulent research was published
d. State professional licensing boards
e. Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated
f. Professional societies
5. Sanctions shall not be imposed during the appellate process that prevent the respondent from fulfilling his/her obligations as an employee of the University. A suspension shall only be invoked during this period if necessary to prevent harm to the respondent or to others.
D. Appeal
Respondents may appeal the findings of the Committee of Investigation and/or the sanction imposed by the Vice President for Academic Affairs.
1. A written statement of the grounds for the appeal must be submitted to the President within thirty days of written notification to the respondent of the sanctions. Grounds for appeal include lapses in due process and sanctions not commensurate with the findings. Upon receipt of a written appeal, the President will evaluate the evidence and make a determination.
2. The President shall reopen the investigation if new, previously unconsidered material evidence so warrants, evidence that through no fault of any party was not available to the process. The President may reopen the investigation if other circumstances so dictate.
3. The President's decision will be binding on all parties and will be conveyed to all involved parties in a timely fashion, but must be conveyed within 30 working days of completion of the period for appeal.
4. This action concludes review of the allegations under this policy. However, respondents may pursue further review through invoking appropriate University and Board of Higher Education policies and procedures pertaining to the imposition of sanctions and termination.
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COMPENSATION |
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The following have been approved providing funds are required and available:
1. Annuities
State Board of Higher Education Policy Manual, 06-08-84, Section 703.5
SEE ALSO: North Dakota Century Code 54-52.1 (Uniform group insurance programs)
2. Social Security
State Board of Higher Education Policy Manual, 06-08-84, Section 704.4
3. Developmental Leave
State Board of Higher Education Policy Manual, 12-17-92, Section 701.2
4. Sharing of income from patents
State Board of Higher Education Policy Manual, 04-25-89, Section 611.2
SEE ALSO: North Dakota Century Code 47-28-02 (Sharing of income from patents)
5. Medical Care Insurance, including Major Medical Insurance
State Board of Higher Education Policy Manual, 06-08-84, Section 704.2
SEE ALSO: North Dakota Century Code 54-52.1 (Uniform Group Insurance Program)
6.Teachers' Insurance Annuity Association (TIAA-CREF)
SEE ALSO: State Board of Higher Education Policy Manual, 01-20-94, Section 703.3 (TIAA-CREF); State Board of Higher Education Policy Manual, Appendix (TIAA-CREF Retirement Plan for ND State Institutions of Higher Education)
7. State supported group life insurance
State Board of Higher Education Policy Manual, 06-08-84, Section 704.3
8. UND supported group life insurance
9. Workers' Compensation
State Board of Higher Education Policy Manual, 05-11-84, Section 704.1
10. Total Disability Benefits Insurance
State Board of Higher Education Board Minutes, May 21-22, 1987
11. Severance Pay
State Board of Higher Education Policy Manual, 12-16-88, Section 707
12. Employee Assistance Program
Hanson, Payroll Office, 1-8-99
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SALARIES |
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The State Board of Higher Education authorizes the payroll departments at each of the colleges, universities, and other agencies of the Board to deduct various payments from the paychecks of its employees, and on behalf of the employees.
The deductions allowed are as follows:
1. applicable federal, state, and local taxes.
2. assignments, levies, and garnishment mandated by legal judgment.
3. participation in PERS or TIAA-CREF group retirement programs.
4. participation in PERS group health insurance programs.
5. participation in a specific employee insurance and tax deferred annuity plan when a plan provider has been requested by a minimum of 50 University System employees and approved by the Chancellor or Chancellor’s designee. Campus officials may on an individual basis consider an alternate provider of tax deferred annuities, when requested by a new employee who is currently participating in another plan through a previous employer.
State Board of Higher Education Policy Manual, 02-01-93, Section 702.1
7.2 UND SALARY PROCEDURESNew faculty members should receive a New Faculty packet from their departments or the Payroll Office. Mandatory forms, (e.g., I-9 and personal data forms) must be completed prior to receiving a paycheck. A New Employee Orientation is held on a weekly basis to assist employees in completion of their mandatory forms. Call the Payroll Office for time and place.
Faculty members who are appointed on an academic year basis receive eighteen checks; the first one will be issued the last work day of August for one-half month's salary and the last one May 15 for one-half month's salary. Checks are distributed on the 15th and last working day of each month. Unless a faculty member authorized the Payroll Department to send the checks directly to a local bank for deposit, they will be delivered to the "intra-campus" exchange box or the department box.
Deductions automatically made from the salary check are withholding tax, federal social security tax, and TIAA-CREF premiums. Since the deductions for Social Security (based on a calendar year) are made only until the maximum amount required by law has been taken from a faculty member's gross salary, this deduction may not appear on all checks received during the calendar or academic year. With proper authorization from a faculty member, deductions from salary checks may also be made for the following items: Savings bonds, deposit or loan payments to the University Federal Credit Union, United Way, American Association of University Professors' dues, season athletic tickets and such other authorizations as approved by the Board of Higher Education.
Hanson, Director, Payroll and Risk Management, 1-8-99
7.3 SEVERANCE PAYSubject to the approval of the Commissioner, institutions and entities governed by the Board may provide severance pay to any employee who is released due to reduction-in-force requirements. Severance pay is subject to the following provisions:
a. The maximum payment is the equivalent of the individual's salary and benefits (retirement and health) for two weeks per completed year of service, up to a maximum of one year of salary and benefits.
b. The number of employees in the institution, agency, or entity must be reduced by one for each individual awarded severance pay.
c. Individuals may not receive severance pay if they are awarded early retirement, developmental leave, or other forms of special compensation when they leave.
d. Individuals receiving severance pay must release the institution from liability and all employment rights under Board policy and written agreement.
e. The severance pay agreement with an employee must provide that he or she shall reimburse the institution on a pro rata basis if salary compensation is received from another North Dakota state agency or institution for services rendered during the time for which severance pay was received. The amount to be reimbursed shall be equal to the hourly rate of severance compensation or subsequent state compensation, whichever is less, multiplied by the number of hours subsequent state employment during the severance pay period.
f. All actions under this policy must comply with North Dakota Century Code 54-14-04.3 (severance pay).
State Board of Higher Education Policy Manual, 12-16-88, Section 707
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INSURANCE |
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Faculty members have the option of participating in a medical plan of either single or family coverage provided by the University. The University pays the entire premium for either option. Faculty members must enroll for the medical plan within 30 days of hire date to receive a waiver of existing medical conditions. The insurance will become effective the first day of the month following the date of employment. After 30 days of hire, employees must wait until the annual open enrollment or have a qualifying event under the special enrollment process to apply for health coverage.
Long Term Care Insurance, Cancer/Intensive Care Insurance, and dental insurance may also be purchased by faculty members through payroll deductions. Information and application forms are available in the Payroll Insurance Office.
Robertson, Payroll Office, 12-1-98
Faculty members eligible for medical insurance are also provided with basic life insurance through both the State and the University. State Life provides $1300 of term insurance. Faculty members have this benefit whether or not they have chosen to participate in medical insurance. Additional amounts of term insurance are available through payroll deduction, and faculty members may also purchase insurance for their spouse or dependents.
University Life provides $5000 of term insurance to eligible faculty members. Applications for this insurance must be filed with the Payroll Office within 30 days of hire date to eliminate the need to prove insurability. Faculty members may also purchase additional amounts of term insurance for themselves or spouse/dependents through payroll deduction. Full information concerning this additional coverage is available at the Payroll Office.
For those who are interested, individual employees of the University are eligible to apply for TIAA life insurance policies from TIAA.
Robertson, Payroll Office, 12-1-98
8.3 LONG TERM DISABILITY INSURANCE
Eligible faculty members and research personnel are covered by disability insurance through TIAA, paid in full by the University. Additional information concerning disability protection may be obtained from the Payroll Office.
Robertson, Payroll Office, 12-1-98.
SEE ALSO: State Board of Higher Education Policy Manual, 06-08-84, Section 704.2 (Medical Care Insurance); North Dakota Century Code 54-52.1 (Uniform Group Insurance Program)
8.4 EMPLOYEE ASSISTANCE PROGRAM
All employees of the University of North Dakota and their immediate families are eligible to participate in the Employee Assistance Program, which is a confidential assessment/counseling/referral service staffed by trained professionals. All services provided by EAP are confidential. For more information, contact the Personnel Office.
Robertson, Payroll Office, 12-1-98
All institutions are to include extraterritorial coverage in their Workers’ Compensation protection. Those institutions having staff members who are licensed pilots and who pilot either their own or rented planes while transporting institutional personnel on business trips are directed to ascertain that adequate Workers’ Compensation protection has been provided.
State Board of Higher Education Policy Manual, 05-11-84, Section 704.1
All employees at the University are protected by the North Dakota Workers Compensation Act against accidental injury or occupationally-incurred illness in the performance of their official duties. All accidents must be reported to the Payroll Office insurance clerk as soon as possible, and an incident report must be filed with the Safety Office within 24 hours of the incident. A Workers’ Compensation claim should be submitted to the Payroll Office for forwarding to the Workers’ Compensation Bureau at Bismarck as soon as possible, and must be submitted within one year after the accident occurred. Employees receiving Workers' Compensation payments for time loss benefits must notify the Payroll Office.
Hanson, Director, Payroll and Risk Management, 12-01-98
SEE ALSO: UND Administrative Manual; North Dakota Century Code 65 (Workers' Compensation)
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RETIREMENT |
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The 1983 Legislature enacted legislation permitting the State Board of Higher Education, institutions, and tenured faculty greater flexibility in negotiating early retirement buy outs, phased retirements, and reversible retirements. For further information, contact the Office of the Vice President for Academic Affairs.
The UND early retirement agreement form can be obtained from the Office of the Vice President for Academic Affairs or the Payroll Office.
9.1.1 STATE BOARD OF HIGHER EDUCATION POLICY: EARLY RETIREMENT
1. GENERALa. Early retirement is for the mutual benefit of the employee and the colleges and universities. Employees will be able to plan their retirement with increased options and benefits and with less fear of the unknown. The colleges and universities can use early retirement as a cost saving tool but, more importantly, as a vehicle for the infusion of new thoughts, ideas, and skills by the opening up of positions. Early retirement is not to be used as a devise to circumvent the due process procedures for dismissals under the Board's rules and it is available only when the institution has documented the benefits resulting from the agreement.
b. Early retirement is not a right but requires mutual agreement and consent of both the employee and the administration. This policy applies to tenured faculty, the chancellor, vice chancellors and other system office professional staff, and presidents, executive deans, vice presidents, provosts, deans and other officers responsible for a major unit of an institution who report directly to a president, vice president, provost, or executive dean who are members of TIAA-CREF, TFFR, or TIRF.
2. DEFINITIONSa. "Annuity" means an insurance policy providing for monthly payments to the insured to begin at a fixed date and continue throughout the insured's life.
b. "Current or present gross salary" means the salary at the time the retirement plan is executed.
c. "Employee" means those persons employed by an institution or in the system office to which this policy applies pursuant to section 1.
d. "Retirement Plan" is the formal document describing the retirement agreement between the employee and the institution.
e. "Faculty" means instructors, assistant professors, associate professors, and professors with recognized tenure pursuant to the Board's Regulations on Tenure, Section 605.
3. EARLY RETIREMENT PLANS
a. General Rules
i. By agreeing to a retirement plan, the employee waives all tenure rights unless the individual is on a reversible retirement plan and returns to work or on a phased retirement plan in which case the due process rights of the Tenure Policy would apply in case of dismissals.
ii. A voluntary and coordinated retirement counseling program is considered essential to the success of the early retirement program. Such program will be developed by the Board and will be available to employees for informational purposes. Employees are responsible for seeking their own tax advice.
iii. The following options of tenure or contract purchase, phased retirement, and reversible retirement are mutually exclusive options which means a retirement plan cannot consist of more than one of the options.
iv. Retirement plans may retain the individual on the applicable group health and life insurance plans. Payment by the institution of premiums is negotiable. Early retirement/buyout payments shall not include employer contributions to TIAA-CREF retirement accounts.
v. Additional benefits not provided for in these rules will be left to local implementation. However, any item which is regarded as a substantial inducement to early retirement or a condition of early retirement must be on the retirement plan. Items not on the retirement plan will not be regarded as binding on the institution or Board but will be handled informally at the local level.
vi. Should an individual be dismissed from employment or become disabled so as to qualify under any college or university group disability program, the provisions of any early retirement agreement shall be null and void.
b. Tenure or Contract Purchase
i. Use of this option will preclude other employment with colleges or universities within the North Dakota Higher Education System unless this restriction is waived by the Board in exceptional circumstances.
ii. The applicable sum for eligibility for this option is the sum of the age of the employee and total years of employment in the North Dakota University System or member institution. An agreement may be negotiated providing for payment of up to 100% of the employee's final year contract salary if the sum of the employee's age and total years of employment equals 70 or greater.
iii. Payments will be paid pursuant to the terms of the agreement. No cash payment may be made until at least 90 days after the date of the Early Retirement Agreement.
iv. Payments may be to the individual or in the form of an annuity purchase at the individual's option. This option must be included in the Early Retirement Agreement and is irrevocable. Annuity purchases with TIAA/CREF are subject to the rules of TIAA/CREF. A decision by an employee to take payment in the form of an annuity is irrevocable.
c. Phased Retirement
i. Phased retirement is retirement over a period of time. The percentage of work load each year is to be negotiated.
ii. The institution may pay all or any part of the retirement contributions on the current salary or any part of the individual's salary. Thus, if an individual makes $30,000 a year and contributes 6 percent to retirement and the institution contributes 6 percent, the institution could agree to pay up to twelve percent on the $30,000 salary or any part thereof for any number of years up until the individual has terminated all employment.d. Reversible Retirement
i. Reversible retirement is an option for an employee to basically test retirement to see if he or she finds retirement satisfactory and, if not, to have the option to return to full employment until normal retirement. If reversible retirement is chosen as an option, the individual will not be allowed to subsequently enter into a retirement plan involving severance pay or phased retirement.
ii. There is a maximum 2 year time limit from the contract date for the individual to elect to return to work.
4. PROCEDURE
a. Institutions shall use the approved standard form contract which will allow specifics to be added as they apply to individual cases.
b. The Early Retirement Agreement for tenured faculty and other eligible employees of the institutions shall be approved by the president. Early Retirement Agreements for presidents and system office staff shall be approved by the Chancellor, and an Early Retirement Agreement for the Chancellor shall be approved by the Board. The Early Retirement Agreement must be accompanied by a statement of the benefit to the institution or to the system resulting from the Early Retirement and whether the agreement is pursuant to a reduction in force or whether the position will be eliminated or downgraded, a copy of the employees' current contract with the school or the system, and a statement of the employee's birthdate.
c. Institutions may adopt procedures to implement this policy and file such rules with the Board Office.
State Board of Higher Education Policy Manual, 04-17-98, Section 703.1
UND employees should consider several matters in preparation for retirement. Employees should be aware of North Dakota State Board of Higher Education and UND policies regarding retirement.
Employees should contact the following agencies during the months preceding retirement. The current addresses and phone numbers are listed following the list of agencies.
Contact the Social Security Office two or three months before retirement. Within two or three months of reaching age 65, contact Social Security. Even if retirement is not planned, contact Social Security to find out about Medicare.
Contact TIAA-CREF or NDPERS one to three months before retirement, requesting illustrations of benefit options and the forms necessary to being receiving payments.
Contact the Payroll Office one to three months before retirement.
TIAA-CREF
730 Third Avenue
New York, NY 10017
(800) 842-2776Social Security Admin.
www.ssa.gov
(800)772-1213
(701) 772-5518ND Public Employees Retirement
P.O. Box 1214
Bismarck, ND 58502
(800) 803-7377UND Payroll Office
Box 7127
Twamley Hall, Room 314
Grand Forks, ND 58202
(701) 777-4226
9.2.1 TEACHER'S INSURANCE AND ANNUITY ASSOCIATION AND COLLEGE RETIREMENT EQUITIES FUND (TIAA-CREF)The faculty of the institutions of the North Dakota State Board of Higher Education, and the professionals and administrators excluded from the classification system as defined in Section 606.1(2) shall participate in the TIAA-CREF plan adopted by the Board unless otherwise excepted by legislation or previous agreement. Other employees of the institutions are eligible to participate in the TIAA-CREF plan as permitted by such plan adopted by the Board.
TIAA-CREF contract contained in the appendices of the State Board of Higher Education Policies and Procedures manual shall govern participation in this plan.
TIAA-CREF PLAN CONTRIBUTIONS AS A PERCENT OF REGULAR SALARY
CLASS I
| Years of service | 0 - 10 | over 10 |
| Your contribution | 1.5% of salary | 2.0% of salary |
| Institution contribution | 9.5% of salary | 10.0% of salary |
| Total | 11.0% of salary | 12.0% of salary |
CLASS II
| Years of service | 0 - 2 | 3 - 10 | over 10 |
| Your contribution | 0.5% of salary | 1.5% of salary | 2.0% of salary |
| Institution contribution | 4.5% of salary | 9.5% of salary | 10.0% of salary |
| Total | 5.0% of salary | 11.0% of salary | 12.0% of salary |
Contributions are vested and belong to the employee the day the institution begins to make them.Class I - Teaching and research faculty with ranks of professor or associate professor, research personnel with equivalent rank, and executive and administrative staff.
Class II - Teaching and research faculty with ranks of assistant professor or instructor, research personnel and lecturers with equivalent rank, and professional staff.
SEE ALSO: UND Administrative Manual; State Board of Higher Education Policy Manual, 01-20-94, Section 703.3 (TIAA-CREF), Appendix (TIAA-CREF Retirement Plan for ND State Institutions of Higher Education)
9.2.2 TAX DEFERRED ANNUITIES (TDA)
Tax Deferred Annuities (TDA) allow employees to contribute a part of their salary to retirement savings and defer the taxes until the time of withdrawal. There are several TDAs available through Payroll including the Supplemental Retirement Annuity (SRA) from TIAA-CREF. TDAs are available to all employees at UND.
SEE ALSO: State Board of Higher Education Policy Manual, 06-08-84, Section 703.5 (Deferred Compensation)
9.2.3 RETIREMENT INCOME OPTIONS
TIAA-CREF offers many annuity options to choose from. All of them provide lifetime income for the participant and all but one provide lifetime income for a spouse or other annuity partner. The participant can also receive up to 100% of CREF accumulation in a lump sum at retirement or termination of employment in or after the year the participant reaches age 55. The participant may also receive a lump sum distribution if they are no longer employed at this institution and have less than $2000 in TIAA and less than or equal to $10,000 total between TIAA and CREF.
Douthit, Payroll Office, 12-14-98
The University provides the following courtesies to retired personnel:
- Personal ID card. Please retain your UND ID card for use during retirement.
- Chester Fritz Library privileges, similar to regular employee privileges (for details contact the library).
- A faculty/staff parking permit at no cost. Contact the Traffic Division for details.
- Season tickets to UND athletic contests as available at the same cost as for active employees.
- Computer privileges similar to regular employees. Contact the Computer Center for details.
- Office space if available (check with the academic department before retirement)
- A free season pass to Ray Richards Golf Course (check with the Golf Course office)
- Use of recreational facilities. For available times, please check the schedule of the facility you wish to use.
- All persons over age 65 may audit one class each semester, free of charge. Check with the Office of Admissions.
- Discounts on certain events sponsored by Chester Fritz Auditorium are offered to all persons age 55 and over (for further information contact the auditorium).
- Retired personnel are guests of the University at special occasions during the year. Invitations will be sent to your current address. Please retain your listing in the annual campus directory so that you may be contacted.
- All courtesies are subject to change without notice.
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LEAVES |
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POLICY
1. Upon approval by the president, a member of the faculty or staff at an institution and, upon approval by the chancellor, an officer of the Board or Board staff member may be granted a developmental leave for retraining and/or professional development providing:
a. institutional resources are available;
b. workload is absorbed within the existing staff resource allocations.
c. a written proposal describing the planned use of the leave and its anticipated benefits to the institution, to the state, and to the individual is presented and approved. The proposal shall also include the detail of the source of funds for the total stipend.
d. Except as provided in section e, the individual presents a signed agreement to return to the system upon completion of the leave for a period of time at least equal to the leave time or refund the institution's stipend payment.
e. To assist in retrenchment efforts, developmental leave may be granted without a signed agreement to return. The employee must execute a resignation effective at the termination of the developmental leave.
2. Developmental leave shall not be longer than 12 months and the base stipend shall not exceed 75% of the salary scheduled for the leave period, except that during the period January 1, 1993 through June 30, 1995, developmental leave granted under section §1(e) to assist in retrenchment efforts may, with the approval of the chancellor, provide for a base stipend not exceeding 100% of the salary scheduled for the leave period.
3. An institutionally funded developmental leave stipend may be supplemented with non-appropriated funds which may bring the total stipend to an amount equal to but normally not to exceed the budgeted salary for the leave period. Funds providing for extensive travel expenses, relocation expenses, and/or educational cost incurred during the leave shall not be considered as part of the base stipend.
State Board of Higher Education Policy Manual, 12-17-92, Section 701.2
10.2 SICK LEAVEA faculty member is granted sick leave without loss of salary, provided arrangements can be made to have his or her classes taught by other members of the department, and provided the University program does not suffer because of his or her absence.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-10-98
SEE ALSO: Approved: UND Senate: 10-03-85; UND Senate Minutes, 04-03-86, p. 2842 (State Board approval of UND sick leave policy); State Board of Higher Education Policy Manual, 07-09-91, Section 2000 (Staff Personnel Policy Manual)All full-time, 12-month administrative and professional personnel such as the President, vice presidents, deans, and other chief administrative officers responsible for a major division of the institution, as designated by the President, are entitled to 24 working days of annual leave each year to be taken at the convenience of the administration.
State Board of Higher Education Policy Manual, 07-09-91, Section 2000 (Staff Personnel Policy Manual)
1. Faculty, administrators, and professional personnel are eligible for a leave without pay after two (2) years of continuous employment. Leave without pay shall generally not exceed two consecutive years; however, the term may exceed two years if there are special or unique circumstances and the extended term is consistent with the purposes for which leave is authorized. Such leave shall not be deemed earned leave time, shall not become a vested right or interest, nor an express or implied provision of any contract.
2. Leave may be granted for purposes such as education, research, temporary employment with another university, governmental or private agency when such employment will contribute to the employee’s expertise in his or her field and make the employee more effective upon return to employment, literary pursuits, or any other purpose that will improve the employee professionally and will directly or indirectly benefit the institution or system.
3. Requests for leave without pay for presidents or the Chancellor shall be approved by the Board. Requests for leave without pay for institution employees shall be approved by the institution president, and requests for system office staff shall be approved by the Chancellor.
4. An employee who is on an approved leave of absence without pay may continue to be covered by employer health, life, or disability insurance, provided: the employee remits the appropriate premium to the applicable business office, such coverage is not inconsistent or contrary to insurance, and such coverage would not be contrary to State law.
5. Institutions shall establish procedures for implementing this policy.
State Board of Higher Education Policy Manual, Section 701.1, 05-16-96
SEE ALSO: State Board of Higher Education Policy Manual, Section 2000 (Staff Personnel Policy Manual), 07-09-91
Faculty members seeking leave under this policy should discuss their requests for leave without pay with their department chairperson, dean, and the Vice-President for Academic Affairs. Consideration will be given to staffing concerns as well as personal circumstance. Faculty members on probationary appointments should also consult the Handbook section II - 8.1 regarding extensions to the normal time spent on probation, as appropriate.
Ettling, Interim Vice-President for Academic Affairs and Provost, 12-31-98
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STUDY OPPORTUNITY |
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11.1 STATE BOARD OF HIGHER EDUCATION POLICY: EMPLOYEE TUITION WAIVER1. An institution shall waive tuition, the student government activity fee and the university/college fee for regular employees of the North Dakota University System.
2. The waiver is limited to no more than three academic classes per calendar year.
3. Employees may be released from work for regular class sessions for one academic class per semester with approval of the employee's supervisor or department head. Approval shall be granted so long as it does not interfere with the essential work of the institution.
4. The waiver does not apply to self-supporting or continuing education programs.
Employee tuition waivers, including student activity fees, for University system employees employed on at least a half-time basis. The waiver shall be limited to three academic classes during each academic year. Employees may be released from work for one class each academic term with approval of the employee's supervisor or department head; approval shall be granted if it does not interfere with completion of the employee's essential job duties and the essential work of the institution. This waiver does not apply to continuing education or other self-supporting programs, except as provided by institution policy. Each institution shall adopt a policy defining circumstances under which the institution will grant employee tuition waivers, within the limits of this policy, for credit courses offered through continuing education or other self-supporting programs. Institutions shall record tuition waivers as a reduction of estimated income and prepare an annual report showing the number and type of tuition waivers and dollar amounts.
State Board of Higher Education Policy Manual, 4-4-2000, Section 820e
11.2 UND FACULTY EDUCATION OPPORTUNITY
The following is a summary of the procedure which will be followed at UND to implement Board policy on employee tuition waivers (Section 820.4):
A. The faculty member requests permission from his/her department chairperson to enroll in a specific course related to his/her profession.
B. The department chairperson decides with the faculty member whether class attendance will interfere with his/her performance of University commitments to teaching, service, and/or research and creativity activities.
C. If the department chairperson approves the request, the faculty member determines if there is space available in the specified class.
D. If space is available, the department chair submits the attached fee waiver request to the dean of the college/school for final approval.
E. The dean of the College/School indicates approval or disapproval to the department chairperson. If approved, the faculty member goes to the Admissions Office to be formally admitted prior to registering.
F. Registration is limited to three courses per year.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
11.2.1 FACULTY STUDYA faculty member with the rank of instructor may take course work toward a degree at the University if he or she has the approval of the dean of his or her college and the Dean of the Graduate School. Any other member of the faculty may, with the approval of the dean and of the instructors concerned, take courses for credit but may not become a candidate for a degree. Arrangements to audit classes or to take courses for credit are made at the Registrar's office.
Ettling, Interim Vice President for Academic Affairs and Provost, 12-21-98
A faculty member who comes to the University from out-of-state is required to pay nonresident tuition for any courses for which tuition is not waived (see e.g., UND Faculty Handbook III-10.1 [State Board of Higher Education Employee Tuition Waiver Policy]) taken during his or her first year of residence. Dependents of faculty members, however, are eligible for the resident tuition rate from date of arrival.
State Board of Higher Education Policy Manual, 06-26-95, Section 504
SEE ALSO: North Dakota Century Code 15-10-19 (Nonresident student for tuition purposes defined --Exceptions), 54-01-26 (Residency--Rules for determining)
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TRAVEL |
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12.1 STATE BOARD OF HIGHER EDUCATION POLICY: TRAVEL AUTHORIZATION AND REIMBURSEMENT
POLICY
Board members, the Board's staff, and all institutional personnel shall be eligible to receive reimbursement for authorized travel, both in-state and out-of-state, as provided by the North Dakota Century Code.
Employees may also be reimbursed for institutional expenses incurred within their "community" while on official institutional business.
PROCEDURE
Requests for travel reimbursement shall be submitted to the Board's office, or to the institutional fiscal office as is appropriate.
POLICY
1. Payment of travel expenses, per diem allowances and travel advances are governed by the provisions of N.D.C.C. ch. 44-08 and N.D.C.C. Section 15-10-25.1.
2. Each institution shall adopt policies and procedures governing authorization and approval of in-state travel.
3. Pursuant to N.D.C.C. Section 15-10-25.1, presidents must obtain written approval from the Board prior to any out-of-state travel and all other employees of an institution must obtain written approval from their supervisor and the president. The Chancellor is authorized to grant, on behalf of the Board, the required written approval for out-of-state travel by presidents. The institutions are authorized to adopt policies and procedures delegating to an institution officer or officers designated by the president authority to grant the required written approval for out-of-state travel by institution employees.
4. All out-of-state travel by system office staff must be authorized, in writing, by the Chancellor or the Chancellor's designee.
5. All out-of-state travel by Board members must be authorized, in writing, by the president of the Board.
State Board of Higher Education Policy Manual, 06-21-91 and 01-20-94, Section 706.2-706.3
SEE ALSO: North Dakota Century Code 15-10-25.1 (Out-of-state travel by persons employed by institutions)
No person, officer, or employee of the state or any department, board, bureau, commission, institution, industry, or other agency of the state, shall use or drive any motor vehicle belonging to the state or to any department, board, bureau, commission, institution, industry, or other agency of the state for private use, or while engaged in any political activity.
State Board of Higher Education Policy Manual, 06-08-84, Section 1910.2
SEE ALSO: North Dakota Century Code 39-01-03 (State-owned vehicles)
12.3 UND TRAVEL REGULATIONS
Travel expenses associated with attending conferences or other University-related business are normally reimbursable by the University. Faculty members are expected to submit required Out-of-State Travel Authorization requests to the Accounting Services Office at least ten days prior to expected travel.Transportation costs associated with travel are normally reimbursed as follows:
- employees who use their personal vehicle will be reimbursed on a per-mile basis according to the rate established by the state. State vehicles should be utilized whenever possible.
- Airline tickets will normally be reimbursed at face value; employees are encouraged to obtain an American Express Corporate card (available through the VP for Finance & Operations Office). When using the corporate card, airline tickets for business purposes are direct-billed to the university. Employees are encouraged to purchase E-Tickets (rather than the hard copy of the ticket).
- Meals are reimbursed on a per-diem basis. For out-of-state travel, the rate can vary depending upon the location and ranges from $30 to $46 per day (subject to change), broken down as follows:
OUT-OF-STATE TRAVEL:
| First quarter: | 6:00 a.m. to noon | 20% |
| Second quarter: | Noon to 6:00 p.m. | 30% |
| Third quarter: | 6:00 p.m. to midnight | 50% |
| Fourth quarter: | Lodging | Actual cost |
IN-STATE TRAVEL: (subject to change)
| First quarter: | 6:00 a.m. to noon | $4 |
| Second quarter: | Noon to 6:00 p.m. | $6 |
| Third quarter: | 6:00 p.m. to midnight | $10 |
| Fourth quarter: | Lodging | $42, plus applicable taxes |
Per-diem expenses reimbursed for travel which does NOT include an over-night stay are taxable and are subject to withholding.Please refer to the Administrative Manual for information regarding required documentation that must be attached to the Travel Expense voucher.
Detailed policies and instructions for completing the travel reimbursement forms are in the Administrative Manual. Faculty members are encouraged to consult the Accounting Services Office for information regarding travel reimbursement.
Heher, Accounting Services, 2-18-99
SEE ALSO: UND Administrative Manual; North Dakota Century Code 44-08-04 (Expense account), 44-08-04.2 (Travel advances), 44-08-04.4 (Prepayment of travel expenses), 54-06-10 (Out-of-state travel authorization necessary), 54-06-09 (Mileage travel expense of state officers and employees)
12.4 TELEPHONE CALL REIMBURSEMENT WHILE IN TRAVEL STATUS
Effective for travel on or after March 1, 2000, employees may be reimbursed for personal telephone calls made to their city of residence while in travel status, subject to the following provisions and limitations:
1. Reimbursement will be limited to one call per day to their city of residence, up to a maximum of:
Calls within the continental U.S. $5 per day Calls made from Canada, Alaska, Hawaii, or Puerto Rico $10 per day International calls, including Mexico $20 per day Allowance for calls not made on one day cannot be carried forward and used on another day.
2. An overnight stay is required to claim this expense. A claim for reimbursement may only be made when an employee can claim the forth quarter.
3. A claim for this expense may not be made for "free minutes" used on a personal cellular phone.
4. In order to claim this expense, the charge must appear on the receipt submitted for lodging or on a separate receipt.
5. Emergency phone calls will be considered on an individual case basis.
12.4.1 STATE BOARD OF HIGHER EDUCATION POLICY: PAYMENT OF MEALS FOR STAFF AND GUESTS
Staff members must pay for their own meals in the community in which they are employed. Exceptions to this policy are provided for functions attended at the request of and on behalf of the institution, including recruiting of staff and faculty, and including staff retreats limited to one retreat per year for any one unit. Activities are subject to the following:
a. The primary purpose must be business related.
b. The employee must have either been required to attend or attendance was approved by his or her supervisor or employer.
c. Reimbursement rates shall be at in-state per diem rates unless prior approval is obtained for the actual costs.
Entertainment expenses associated with hosting receptions, employee recognition functions, and other institutional functions are allowed. Food and beverage expenses are also allowed when hosting an institutional event or meeting with participants from outside the hosting unit. These expenditures are not allowed on state appropriated funds resulting from general fund allocations or institutional collections not from funds restricted by external funding sources.
Alcoholic beverages are not to be paid for from institutional funds regardless of the source of funds.
The institution may require prior approval of such expenditures by the president or designee.
State Board of Higher Education Policy Manual, 06-21-91, Section 806.1.
12.4.2 UND POLICY: EXPENSESA. Food Purchases
Food Purchase Approval Requirements
Food Purchase Approval policies apply to all food purchases for university-related functions. Even though prior approval may not be required, all purchases of food must follow university policies.
Food Purchase Approval forms are available in Accounting Services. Please be sure to complete all sections and forward to Accounting Services at least three days in advance of the event. Accounting Services will review, approve/disapprove and return the form to the department. Additional information is available in the Business and Finance section of the Administrative Manual.
1. Food Purchase Approvals are required for:
a. all charges through Dining Services;
b. all charges to Grant and Contract funds (funds 4000-5499);
c. to receive prior approval for out-of-state rates.2. Food Purchase is not required for:
a. charges to Alumni funds (dept. no. 8183);
b. charges to Student Organization funds (dept. 0066);
c. charges to Agency funds (funds 9000-9999);
d. if only requesting in-state rates and criteria in section 1 above does not apply.3. Unallowable Functions
a. food or beverages for regular departmental staff meetings, coffee breaks, or other departmental activity;
b. entertainment is not allowed on appropriated funds (funds 3000-3999) or grant and contract funds (funds 4000-5499).B. Entertaining Guests
Meal expenses are allowed when hosting an institutional event or meeting with participants from outside the hosting unit. These expenditures are not allowed on state appropriated funds nor from funds restricted by external funding sources (grant and contract funds). Reimbursement rates shall be at in-state per diem rates unless prior approval is obtained from Accounting Services (Food Purchase Approval Form) for reimbursement of the actual costs not to exceed out-of-state per diem rates.
C. Retreats
If the President or appropriate Vice President considers it desirable to have a staff retreat off campus where staff members may consider problems, new programs, etc., such costs are acceptable. Such retreats will be limited to one per year for any one organized unit. Advance approval for retreats must be obtained from the President. Reimbursement for meals will be at in-state per diem rates unless authorization is received from the President to exceed those rates.
D. Recruitment
Staff members may be reimbursed for meal expenses incurred in the city where they are employed while recruiting staff and faculty. Reimbursement rates shall be at in-state per diem rates unless prior approval is obtained from Accounting Services (Food Purchase Approval Form) for reimbursement of actual costs not to exceed out-of-state per diem rates. Costs covered under this policy are not allowable on government sponsored projects unless specifically provided for in the grant budget.
Stipends or consultant fees may be issued to potential candidates for positions when such persons give on-campus lectures, colloquies, seminars, demonstrations, or formal consultations in a manner not significantly different from that of visitors who are not candidates for positions.
When approved by the appropriate Vice President or their designate, the prospective candidate's travel expense may be authorized, not to exceed the receipted amount for transportation, room, and board. For senior administrative and faculty positions travel expenses for the spouse may be authorized for a prospective candidate upon authorization of the President.
E. Dues and Memberships
Whenever possible, membership in a business, technical, or professional organization should be carried in the name of the University and not of an individual. This approach promotes transferability of the benefits of the membership. Membership in the name of the individual will be allowed if the institutional membership is not available or if it can be demonstrated that the individual membership is cost effective.
Memberships are an unallowable cost on federal grants or contracts unless they are specifically identified and approved in the budget (contact Budget & Grants Administration). Memberships in community organizations or social clubs are an unallowable expense on any source of funds. Payment of individual memberships, with the approval of the departmental chairperson, may be made from appropriated or local funds, including indirect cost rebate funds. Department are encouraged to review all memberships prior to renewal to ensure there is a proven benefit for the University to justify the expenditure of funds.
F. Payment for Services of Nonresident Aliens
The 105th Congress passed and the President signed legislation which amended Section 212(8 U.S.C. 1182), as amended by section 105, to allow payment of fees and associated incidental expenses (travel expense) for usual academic activity performed by non-U.S. residents (alien as referred to in the legislation) at a qualified
institution entering the U.S. in B visa status. Although federal regulations have not been drafted, UND has decided to provide such payments in accordance with the legislation. This included the following requirements:
- the alien enters the U.S. in B-1 Visitor for Business status;
- the activity lasts no longer than nine (9) days at any single institution; and
- the alien has not accepted such payment or expenses from more than five (5) institutions in the previous six month period.
As a pro active measure, it is recommended that the following be discussed with any non-resident guest before they enter the U.S.:
1. Canadian citizens entering the U.S. must acquire B-1 visa status at the port of entry in order to receive travel reimbursement and/or payment of fees. Proof of entry in this status is an INS (Immigration & Naturalization Service) document I-94. The fee for this document is $6 U.S. This cost can be included in the reimbursement amount to the non-employee. Departments should provide the visitor a memo outlining the purpose and dates of the trip and should indicate that proof of entry in B-1 status is required by the INS in order for UND to provide payment. The visitor should present this memo to the official at the port of entry. Once the visitor arrives at UND, a copy of the I-94 must be attached to the payment voucher in order for the payment to be processed.
2. Citizens of most other countries must acquire a B-1 visa at a U.S. consulate in their home country if they will receive travel reimbursement and/or payment of fees.
3. Accounting Services has drafted a statement which must be completed by all visiting non-U.S. resident scholars upon request for payment of fees or reimbursement of expenses attesting to meeting the requirements that the activity lasts no longer than nine (9) days at any single institution and the alien has not accepted such payment or expenses from more than more than five (5) institutions in the previous six month period.
In addition, if fees will be paid, IRS Form W-7 must be completed to obtain a tax identification number (TIN). It takes approximately 14 days to receive the TIN after the W-7 form is submitted to the IRS. An IRS Form 8233 must also be completed if they are claiming a tax treaty exemption from withholding. The exemption from withholding is effective for payments made at least ten (10) days after UND properly mails form 8233 to the IRS.
4. These rules do not apply when a regular employment contract is involved.
5. Citizens of designated countries are eligible to enter the U.S. without a visa, under what is called the Visa Waiver Program. However, if visitors from any of the eligible countries are to be reimbursed, they must acquire a status and be documented on an I-94 as B-1 or WB when being processed by the INS at a U.S. airport.
This practice may be modified as federal regulations are finalized. For questions regarding non-resident employees, contact Cheryl Osowski, (7-4361) in Personnel Services. For questions regarding non-resident alien fee and travel reimbursement payments, contact Allison Peyton (7-2968) in Accounting Services.
Peyton, Accounts Payable Manager; Heher, Cash & Investments Manager, 02-26-99
SEE ALSO: UND Administrative Manual, Business and Finance Section
12.5 MOVING EXPENSESUpon approval of the President or designee, moving expenses may be reimbursed when staff are initially hired from outside the University system, and when permanent staff employed for one year are transferred to a new work location within the system at the direction of the employer.
Personal travel for the employee and immediate family while in transit, and while in temporary living quarters (both not to exceed 10 days total) may be reimbursed at the actual per diem rates and mileage rates applicable under the employee travel reimbursement policies.
Personal travel may also be reimbursed for one round trip to the new work location for the employee and spouse for up to three days to arrange for living accommodations.
Transportation expenses for personal items and household goods may be reimbursed at the actual expenses incurred.
The total reimbursement for transporting personal items, household goods, and person travel shall be limited to the invoice costs plus the current per diem and mileage limits. In addition, the total reimbursement limit for permanent employees transferred within the system is limited to $5,000.
State Board of Higher Education Policy Manual, 05-19-94, Section 806.3
SEE ALSO: North Dakota Century Code 44-08-04.3 (Moving expenses)
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ENVIRONMENTAL HEALTH AND OCCUPATIONAL SAFETY |
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13.1 UND OCCUPATIONAL SAFETY AND ENVIRONMENTAL HEALTH POLICY
The University strives to provide a safe and healthy environment for its students, faculty, staff, and visitors. All faculty, supervisors and other persons in authority are enjoined to provide for safety in the environment and operations under their control. The University subscribes to recognized national standards of safety and health as defined in published materials from organizations such as the North Dakota Worker’s Compensation Bureau, the State Fire Laws, the Environmental Protection Agency, the Department of Transportation and the Occupational Safety and Health Act (OSHA). The Occupational Safety and Environmental Health Office (OSEHO) has been assigned the responsibility of administering the University’s safety program.
Safety Policies, Programs and Standard Practices - In addition to the information contained in this policy, the University has implemented several policies, programs and standard practices through the work of the University Loss Control Committee, as well as other committees. These publications detail the required procedures for many activities having specialized hazards. Department heads and supervisors must be familiar with the policies, programs and standard practices relevant to the activities under their supervision. This additional policy, program and standard practice information is available from the OSEHO. This office will also be available as a resource to insure that all departments achieve compliance.
Reporting of Injuries, Accidents or Hazards - Whenever a situation poses a threat to person, property or process emergency assistance should be requested by dialing 911. All serious accidents occurring on campus, resulting in personal injury, a fire, an explosion or damage to University property must be reported immediately by phone to the OSEHO. Phone 777-3341 (day) or 777-3491 (night). Follow-up written reports will be required. A person receiving any injury must report this without delay to the person in charge, or see that he/she is advised. When notified of the injury/accident, the person in charge shall immediately set any accident preventive measures in motion and shall be responsible for seeing that a written report is filled out by the injured (or on his/her behalf) and is sent to the OSEHO.
Injury Forms Required - (1) If the person having an accident is an employee of the University and his/her accident results in an injury that requires medical treatment, the injured employee should fill out a Worker’s Compensation Accident Report form, which is obtained from the University’s Payroll Office, designated medical provider (DMP) or treating physician. Completed forms should be returned to the Payroll Office for processing. One copy will be sent to the OSEHO after processing. If the injured person is prevented from filling out the form by the seriousness of the injury, the person in charge must have the form prepared. In addition, "Incident Report" and Supervisor "Incident Investigation" forms must be completed and sent to the OSEHO within 24 hours. (2) If the accident results in an injury that does not require medical treatment, the employee, along with their supervisor, must fill out "Incident Report" and Supervisor "Incident Investigation" forms only. Blanks can be obtained from the OSEHO. The injured employee gives the completed form to the person in charge who must add his/her comments, sign the form and forward it to the OSEHO for processing, within 24 hours. (3) If an accident involves a student, family member or visitor, the affected individual must fill out an "Incident Reporting Form" for Student/Family/visitor. Once completed, this form must be submitted to the OSEHO within 24 hours.
Accident/Worker’s Compensation Claims Investigations - All accidents must be investigated to determine the cause so as to avoid any future accidents. Accidents involving minor damage or injuries requiring only first aid must be investigated by the person in charge. After the investigation, the Supervisor "Incident Investigation" form must be completed and submitted to the OSEHO. In the case of more serious property damage or injury requiring medical attention, the OSEHO will conduct an investigation in addition to that done by the Supervisor. The OSEHO, in conjunction with the Affirmative Action and Payroll Offices, will review all claims submitted to the Worker’s Compensation Bureau in Bismarck.
Reporting and Eliminating Unsafe Practices and Hazardous Conditions - Near accidents, hazardous conditions and practices must also be promptly reported to the person in charge. If the person in charge cannot resolve the problem, advice from the OSEHO should be requested. It may appear that some near accidents, hazards and hazardous practices are of such a trivial nature that no report on them is necessary. If the report of the near accident or hazard can be of service in detecting and eliminating an unsafe condition, a report must be made.
Occupational Safety and Environmental Health Office, revised 05-98
13.2 STATE BOARD OF HIGHER EDUCATION HAZARDOUS SUBSTANCES INFORMATION PROGRAM
Institutions and entities under the control of the Board having hazardous substances shall implement and employ (1) an information program in compliance with North Dakota Century Code chapter 65-14 (Right-to-Know Law) and (2) a hazardous waste management program in accordance with federal and state laws and regulations.
State Board of Higher Education Policy Manual, 02-06-87, Section 614
SEE ALSO: North Dakota Century Code 65-14 (Employee Information Program on Hazardous Substances)
13.3 HAZARDOUS SUBSTANCES: EMPLOYEE RIGHT-TO-KNOW, TRAINING
Faculty and staff who have authority over any University personnel must provide their employees with all health and safety information regarding any hazardous substances required to be used on the job. The specifics on how to implement this hazardous substances information program are contained in UND's Employee Right-to-Know Manual available from the Occupational Safety and Environmental Health Office (OSEHO).
Department heads and supervisors must also be aware of the required Safety and Environmental Health training required in their respective work areas. They must also ensure that the proper training of the employees under their supervision is conducted. The OSEHO and the Environmental Training Institute (ETI) are available as resources to departments to identify and provide necessary training.
Uhlir, Occupational Safety and Environmental Health Office, 05-98SEE ALSO: UND Employee Right-to-Know Manual
13.4 RADIATION SAFETY PROGRAM
The University has established a Radiation Safety and Hazardous Chemical Waste Committee to assist users of radioactive material and/or radiation producing machines with compliance to all federal, state, and University regulations which pertain to ionizing and non-ionizing radiation. The primary responsibility for radiation safety rests with the individuals utilizing radiation. The Radiation Safety Officer (RSO) for the University has the responsibility of administering the radiation safety program.Any member of the University who desires to acquire, use, or possess radioactive material and/or radiation producing machines, must be authorized and licensed by the University. Application to obtain a license can only be acquired through the RSO.
Revised 05-98
13.5 LASER SAFETY PROGRAMThe University of North Dakota has a Laser Safety Program that is administered through the Radiation Safety and Hazardous Materials Committee. The Program outlines procedures for the safe use of lasers on campus including labeling, training of personnel, protective measures, and approval of procedures using certain categories of lasers. A Laser Safety Officer (LSO) is appointed by the University of North Dakota Radiation Safety and Hazardous Materials Committee. The LSO will implement the Laser Policy on campus. The LSO will receive appropriate training in laser use and safety and will be responsible for the training of other personnel on campus. Activities requiring laser use must receive prior approval by the LSO following the submission of an application by the researcher outlining the use of a specific laser and procedures to be employed.
Krause, Radiation Safety Officer; Fivizzani, Chair, Radiation Safety Committee, 1-25-99
13.6 HAZARDOUS CHEMICAL WASTE DISPOSAL POLICYThe Radiation Safety and Hazardous Chemical Waste Committee also assists users of hazardous materials and their wastes. Faculty and staff who use toxic chemical compounds and have hazardous chemical waste must follow specific federal, state and University policies regarding safe usage and proper disposal. The OSEHO is designated the coordinating agency for all hazardous material and chemical waste activities. A guidebook is available from this office that outlines the required procedures for hazardous waste disposal at UND.
All hazardous materials are to be procured, stored, and handled in compliance with applicable regulations/policies. The OSEHA is available for consultation in the proper use, storage, and disposal of all chemicals and to assure compliance with the University’s Chemical Hygiene Plan (CHP).
Revised 05-98
13.6.1 ASBESTOS/LEAD-BASED PAINTAll issues pertaining to asbestos and lead-based paint at the University are handled through the Physical Plant. The OSEHO serves as a resource for the Physical Plant’s Asbestos and Lead-Based Paint Teams, and maintains the required records relating to asbestos waste disposal.
The Environmental Training Institute (ETI), a branch of the OSEHO, is an accredited Asbestos, Lead-Based Paint and Hazardous Materials Training Center. The ETI also assists the OSEHO in the coordination of all other training opportunities related to Safety and Environmental Health at the University.
Revised 05-98
The University of North Dakota has prepared a Severe Weather Plan to provide guidance for proper actions required by any severe weather endangering life and property. In addition, the Severe Weather Plan also outlines proper response procedures for other emergencies such as: bomb threats, ammonia leaks, natural gas leaks, hazardous material incidents, radioactive material incidents and biohazardous material incidents. Master copies of the Severe Weather Plan are located at the UND Police Department and the Physical Plant Communication Desk. A pocket version of the Severe Weather plan is available by contacting the OSEHO.
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RESEARCH UTILIZING HUMAN SUBJECTS |
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14.1 STATE BOARD OF HIGHER EDUCATION POLICY: RESEARCH ON HUMAN SUBJECTS
A.The conduct of research involving humans as subjects, including humans as sources of information, raises unique concerns which have motivated the promulgation of specific regulations to safeguard the subjects and their right to maintain their privacy. Institutional policies shall define regulations which include requirements of confidentiality regarding subject identity and informed consent to the release of data or other information produced by the research.
B. Use of human subjects includes not only the manipulation of humans and their behavior under controlled circumstances, but also collection of information from humans by survey or observation. The institutional regulations shall require precommencement review by an assigned institutional review board or its representative. Researchers whose work uses human subjects shall be required to comply with these regulations.
C. Institutional review boards shall establish their own policy for the protection of proprietary and confidential information contained in proposals and protocols submitted to them. Institutional policies shall specifically address situations in which breach of confidentiality may result in social or economic harm to the subject and in which the publication format of educational and scientific data may lead to identification of a single subject.
State Board of Higher Education Policy Manual, 04-25-89, Section 611.8
14.2 UND POLICY: USE OF HUMAN SUBJECTS IN RESEARCHIt is the policy of the University of North Dakota to protect the rights and welfare of those individuals who are involved as human subjects in biomedical or behavioral research, development, or related activities which are conducted or supervised by faculty, staff, students, or other University-affiliated personnel when such individuals are conducting the research projects or activities as members of the University community.
To insure adequate protection and discharge the responsibility of the institution, no research, development, or related activity involving human subjects may be undertaken unless and until the University Review Process has taken place and the proposed activity has been approved.
This policy applies to all biomedical or behavioral research, development, or related activities or projects involving human subjects and carried out or conducted by individuals affiliated with or sponsored by the University of North Dakota. Projects or activities which do not provide the required safeguards to the rights and welfare of the subjects shall not be performed at UND facilities or under UND auspices.
Approved: UND Senate, 01-17-80
14.3 INSTITUTIONAL REVIEW BOARD PROCEDURAL STATEMENTThe University of North Dakota Policy and Principles on the Use of Human Subjects as passed by the University Senate in January of 1980 requires that any biomedical or behavioral research, development, or related activities or projects that involve the use of human subjects be subjected to a University Review Process and approved prior to initiation of the project or activity. The President has appointed an Institutional Review Board (IRB) that has the responsibility to develop procedures to accomplish the required review in accord with University policy and applicable federal, state, or local government requirements. The IRB is the only authorized University committee which can give approval to projects involving human subjects. The IRB will provide an explanation of any decision not to approve a project and any project not approved can be revised and resubmitted to the IRB for reconsideration.
If individual departments or colleges desire to become involved in the review process, they can establish departmental or college review committees which can give preliminary review and, under certain circumstances, approval to projects involving human subjects. To act on behalf of the IRB and give approval, departmental/college committees must meet the following criteria:
1. Their proposed operating procedures and membership must be approved by the IRB.
2. They must have at least one member of the IRB, designated by the IRB Chairperson, in attendance at meetings at which approvals are given, who concurs with the approval.
3. They must report their decisions on reviewed projects at the next regularly scheduled meeting of the IRB.
4. Any projects which involve physical risk or potential for harm or injury to a subject’s dignity or well being must be submitted to the full IRB for approval. However, the departmental or college committee can append recommendations or suggestions for modifications to these proposed activities.
The IRB has recommended the following procedures to accomplish the required review:
A. All faculty, staff, or students who plan on using human subjects in research or development projects must complete a Human Subjects Review Form unless the human subjects are enrolled in a course in which the research or development is part of the routine teaching procedures, in which case the responsibility for review of risks to human subjects will ordinarily be that of the academic department involved. Copies of the University’s policies and principles as to the involvement of human subjects in research, the Review Form, guidelines for completing it, and descriptions of the three categories of review are available from the Office of Research and Program Development (ORPD) or on ORPD’s homepage at http://www.und.nodak.edu/dept/orpd/main.htm. The policies, principles and procedures should be reviewed by all faculty who contemplate utilizing human beings as subjects, either in their own research or in research performed by students under their supervision.
B. The Human Subjects Review Form is the basic document in the University’s review process. ORPD is the office responsible for keeping all records and documents pertaining to the review process; therefore, all completed Review Forms must be submitted to ORPD. The number of copies required of the Review Form and the subsequent review process steps depends on the nature of the project and the potential for risk to the subject. The following paragraphs describe the procedures for review:
1. Federal guidelines stipulate three categories (Exempt, Expedited, and Full) to be used in the review of research protocols: Individual IRB members may review and approve projects which fall into the "Exempt" and "Expedited" categories; projects involving physical risk or potential for injury or harm to the subject’s dignity or well being require a "Full" review before the entire IRB. An IRB member may not be designated to act as the single reviewer of a project in which he/she is personally involved.
2. Many student projects and much of the anonymous survey research, including longitudinal surveys, fall into the "Exempt" and "Expedited" categories. If the project director believes a project fits either an "Exempt" or "Expedited" category, he/she must provide one copy of the completed Review Form to ORPD. For activities involving applications for extramural funding, a copy of the application for funding must be attached to the completed Human Subjects Review Form.
If the reviewer of a proposed "Exempt" or "Expedited" project decides that the project requires review by the full IRB, the project director will be asked to supply an additional fifteen copies of the completed Review Form to ORPD, so the proposal can be evaluated by all members of the IRB at their next regularly scheduled meeting.
A department or college with an approved review process (as described earlier) may approve project proposals that fall in the "Exempt" or "Expedited" categories. The original reviewed proposal must be submitted to ORPD for filing. ORPD will retain the original of the completed Review Form and send the IRB approval form to the principal investigator.
3. In cases where there is clearly a physical risk or potential of harm to the subject’s dignity or well being, or where "Full" review of a proposal is required by the organization that would fund the proposed research or development, the original and fifteen copies of the Review Form and all accompanying documents must be submitted to ORPD for presentation to the full IRB. In addition, in cases where the proposed work is part of a proposal to a potential funding source, one copy of the completed proposal to the funding agency must be attached to the completed Review Form.
A Subcommittee of the IRB provides preliminary review for clinically oriented medical projects. This Subcommittee reviews all such projects prior to their review by the full IRB so that changes or modifications required in protocols or consent forms can be discussed with the project director prior to the full IRB meeting. In all cases, projects requiring full IRB review can only be approved at a convened meeting of the IRB where a quorum is present.
ORPD will notify appropriate individuals concerning and the outcome of the review.
C. The full IRB meets monthly to consider all pending applications and to perform periodic reviews of previously approved projects as required by federal law. Announcements of IRB meeting dates are published in the University Letter. The meetings are open to the public.
D. A list of projects given "Exempt" or "Expedited" review as well as the recommendations of the Clinical Medical Subcommittee are presented to the full IRB at each regularly scheduled meeting. Any IRB member can request further discussion on any of the approved "Exempt" or "Expedited" review projects or recommendations of the Subcommittee.
E. Any projects involving human subjects, whether receiving "Exempt," "Expedited," departmental, or "Full" review, are to be initiated only after the project director or principal investigator receives a written notice of approval from the IRB.
F. All projects receiving "Expedited" or "Full" review will be reviewed by the IRB at least annually. The IRB will also review any project whenever a project may expose human subjects to risks that have not been previously considered by the IRB. It is the responsibility of the principal investigator to inform the IRB of any such new or increased risks. In general, those activities receiving "Exempt" review will not be subject to periodic review, unless the reviewing individual or the IRB determine otherwise. At the time of the requested review, the principal investigator must submit to ORPD the "Research Project Review and Progress Report" (available from ORPD).
G. The IRB shall have the authority to immediately suspend or terminate approval of research that is not being conducted in accordance with the IRB’s decisions, conditions and requirements, or that has been associated with serious harm to subjects.
H. Human Subjects Research as Coursework Policy (Approved by the IRB 2/11/94). Any IRB review of student research that is required as part of coursework should be limited to such research that involves use of primary or private data from human subjects. These data are defined to include research which potentially intrudes on or creates risks for other people outside the classroom. This definition includes interviews, experiments that either make demands on people or change the situations in which they normally participate, invasive medical procedures, use of confidential records, or observation of otherwise private or confidential behavior. Secondary analysis of anonymous survey data, analysis of public records or published information, and observation of public behavior would not be included in the definition as types of student research the IRB generally reviews.
Using the concept of "primary or private data" as defined above, the following are the policies for IRB review of student research:
Any research by UND students involving collection and use of primary or private data from human subjects should be reviewed by the IRB. However, sometimes the brief time frames of coursework research will lead instructors and students to bypass IRB review. In view of this circumstance, the IRB will apply the following policies:
1. If all the students collecting and using primary or private data from human subjects in a particular course will follow the same research design, the instructor should submit to the IRB a single proposal describing the research design in sufficient detail for the IRB to evaluate protection of human subjects. If this procedure is followed, individual students will not need to seek IRB approval for their assigned research, and the IRB will not need to review student projects individually. If the instructor's proposal is approved by the IRB, the instructor will have the responsibility to ensure that all students who collect and use primary or private data from human subjects will conform to the approved proposal.
2. If a course instructor requires students to complete research that collects and uses primary or private data from human subjects, but students design their research individually following no single format, the instructor has two options for IRB review: a) students can individually submit such proposed research for IRB approval, or b) the instructor can request that the IRB appoint a representative to review all such proposed research for the course.
3. If none of the options listed above are used, or if the IRB cannot have a representative review course research on human subjects before it is carried out, the IRB cannot be responsible for protecting the rights of the human subjects involved in the research.
4. Consistent with established IRB policy, any student research involving human subjects, proposed in a particular course, must be reviewed either by a representative of the IRB who is not a member of the department in which the course is taught, or by the full IRB with any member from the department abstaining.
(Filed: UND Senate, 10/6/83; Revisions Approved by the IRB 7/1/98.)
UND Senate Minutes, 10-03-85, p. 2776SEE ALSO: UND Faculty Handbook VII-4.1 (North Dakota Century Code 15-10-17(17) [Specific powers and duties of board of education])
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SMOKING IN PUBLIC PLACES |
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POLICY
1. Except as provided by subsection 2, smoking is prohibited in all North Dakota University System buildings and enclosed structures.
2. Institutions may establish smoking and nonsmoking residential buildings, including family housing dwellings or apartments and residence halls or dormitories, and outdoor arenas, or smoking and nonsmoking sections or rooms in those buildings or arenas.
State Board of Higher Education Manual, 09-19-96, Section 917
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SUBSTANCE ABUSE POLICY FOR FACULTY AND STAFF |
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16.1 UND DRUG-FREE WORKPLACE POLICY STATEMENT
The University of North Dakota prohibits the unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance in the workplace and in any facility under the University's control. Employees who violate this policy shall be subject to disciplinary action such as reprimand, suspension, or dismissal.
Any employee who is convicted of unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance or other criminal drug statute is required to notify his/her department head not later than five working days after such conviction. Failure to notify the appropriate University official(s) of a drug-related conviction shall be grounds for disciplinary action up to and including dismissal.
UND shall make all good faith efforts to have and to maintain a drug-free workplace.
Baker, President, 10-97
UND policy prohibits the abuse of alcohol or use of illegal drugs, as well as reporting for work or engaging in work or other University-related activities under the influence of alcohol or illegal drugs. Behaviors which suggest alcohol/drug abuse include (but are not limited to) the following:
a.Repeated accidents (on or off campus)
b.Repeated illness absences
c.Chronic lateness or early departures
d.Significantly diminished task performance (with no other explanation)
e.Odor of alcohol, slurred speech, unsteady gait, disorientation, paranoia, hallucinations, and other physical signs of impaired function, not caused by a known medical conditionA faculty or staff member who suspects that a colleague or coworker is under the influence of alcohol or illegal drugs should contact his/her department chair or supervisor immediately. A faculty or staff member who suspects that a supervisor or department head is under the influence of alcohol or other illegal drugs should contact the next level of supervision or administration. If a department chair, supervisor, or administrator has been contacted or suspects that an individual is under the influence of drugs or alcohol, he/she should contact the Director of the Employee Assistance Program (Director of Student Health), Personnel Services, or the next level of administration for assistance. The individual will be given an opportunity to discuss the situation. A person suspected or found to be under the influence of alcohol or other drugs and/or who may be incapable of performing his/her job will be sent home. The individual will be taken home or be sent home in a taxi. Anyone who insists on driving while suspected of being under the influence of alcohol or other drugs will be reported to authorities.
If a person admits to being under the influence of alcohol or illegal drugs, drug or alcohol testing of the individual may not be necessary. In these cases, a mandatory referral will be made for evaluation by a licensed addiction counselor on or off campus. If it is determined that testing is necessary because of a critical incident in the workplace or because of safety concerns for the individual, colleagues, or coworkers, blood and/or urine testing procedures will be used. UND will pay the costs of all required drug or alcohol testings. Drug or alcohol testing may be conducted at the Student Health Service or other appropriate health agency with test samples sent to a certified laboratory for analysis. Random drug or alcohol testing is not explicit or implicit in this policy.
An individual suspected or found to be under the influence of alcohol and/or illegal drugs will be referred for evaluation to a licensed addiction counselor, and, if indicated, will be expected to participate in an appropriate treatment program for rehabilitation. If an individual refuses evaluation, refuses to participate in the appropriate treatment program if indicated, or does not successfully complete the program, he/she will be subject to disciplinary actions up to and including dismissal.
If the individual is able to continue working while involved in the treatment program, his/her supervisor, department head, or department chair will determine if the individual is capable of performing regular job duties. If it is decided that the person should not work at his/her regular job, a temporary alternate job may be offered if one is available for which the person is qualified, or he/she will be placed on leave of absence with or without pay based on the appropriate leave of absence policy.
A. Conviction of Criminal Drug Statute Violation
Any faculty or staff member convicted of violating a criminal drug statute in this workplace must inform his/her department chair or the supervisor of such conviction (including pleas of guilty and nolo contendere) within five working days of the conviction occurring. Failure to so inform will subject the individual to disciplinary action, up to and including dismissal for the first offense. Under the Drug-Free Workplace Act of 1988, the University of North Dakota will notify the federal contracting officer within 10 days of receiving such notice from a faculty or staff member on a federal grant or contract or otherwise receiving notice of such a conviction.
The University of North Dakota reserves the right to offer individuals convicted of violating a criminal drug statute in the workplace participation in an approved rehabilitation or drug assistance program as an alternative to discipline. If such a program is offered, and accepted by the faculty or staff member, then he/she must satisfactorily participate in the program as a condition of continued employment.
Aftercare - Upon completion of the initial alcohol/drug treatment program, the individual may be monitored for up to two years by the supervisor/department head as determined by the treatment program. As a part of the aftercare program, monthly reports from the licensed alcohol/drug treatment program will be submitted to the supervisor or department chair on the individual's progress while he/she is in the program. Reports of relapses and/or missed aftercare meetings also will be reported to the supervisor or department chair by the licensed alcohol/drug treatment program. Noncompliance in the above-stated elements of the aftercare program will result in disciplinary actions up to and including dismissal.
B. Prescription Drugs
Although prescription drugs and over-the-counter drugs are legal, their use may be unsafe under certain circumstances. A person who is using a drug which impairs mental or physical functioning should inform his/her supervisor or department chair. The supervisor will be responsible for evaluating the individual's ability to work. If necessary, the faculty or staff member may be requested to obtain a statement from the prescribing physician, authorizing the individual to work. If it is determined that it would be unsafe for an individual to work in the regular work setting, an alternative, temporary job may be offered if one is available for which the person qualifies. If no suitable job is available, the impaired person will be sent home.
C. Sale, Transfer, Possession of Illegal Drugs
Possession of illegal drugs is prohibited and anyone in violation shall be subject to discipline. Any person who sells, manufactures, distributes any illegal drugs on University property will be reported to the authorities and will be subject to dismissal.
D. Legal Sanctions
Under the North Dakota Century Code, persons in the workplace suspected of violating either alcohol or drug statutes may be referred to civil authorities for prosecution. Conviction of either state or federal alcohol or drug statutes will subject an individual (faculty or staff) to disciplinary action including, but not limited to, a required rehabilitation program, suspension, demotion, or dismissal.
E. Sources of Education and Counseling
UND offers an Employee Assistance Program (EAP) which can be used for referrals to appropriate support agencies or services. The Director of Student Health Services in McCannel Hall is the University Contact.
United Recovery Center, Medical Park in Grand Forks, offers educational programs for persons seeking assistance in drug and alcohol evaluation, intervention, treatment and aftercare.
Other agencies or licensed addiction counselors are listed in the yellow pages of the telephone book under "Alcoholism Treatment" and "Drug Abuse Information and Treatment".
F. Reporting Requirements and Records Retention
A department chair or supervisor who has disciplined a faculty or staff member for alcohol or drug-related workplace problems or who has knowledge of an alcohol or drug-related conviction, shall notify the appropriate vice president in whose area the faculty or staff member is employed. The following information will be retained: Faculty or staff member's name, department, date and type of offense, date and type of action taken, and any follow-up or aftercare required. Disciplinary reports on staff shall be submitted to Personnel Services, which shall be the official repository of these data. Disciplinary reports on faculty shall be placed in their official personnel file with copies to their dean and vice president. Referral data for evaluation, treatment or aftercare that are non-disciplinary or contain medical information shall be retained by the EAP director. The University will undertake, at a minimum, a biennial review of the program starting in 1991 to 1) determine effectness of, and changes in the program and 2) to ensure that disciplinary sanctions are consistently enforced.
G. Confidentiality of Records
According to North Dakota Century Code 44-04-18.1, any record of public employee's medical treatment or use of an employee assistance program is not to become part of that employee's personnel record and is confidential and may not be released without written consent of the employee.
Baker, President, 10-97
SEE ALSO: Drug-Free Workplace Act of 1988 (Public Law 100-690); North Dakota Century Code 12.1-32-01 (Classification of offenses), 5-01-09 (Delivery to certain persons unlawful), 39-08-01--03 (Alcohol-related traffic offenses), 39-08-18 (Open bottle law), 19-03.1 (Uniform Controlled Substance Act), 10-04-08 (Distribution of anabolic steroids prohibited), 12.1-31.1 (Drug Paraphernalia); UND Administrative Manual; UND Code of Student Life
1.No goods or funds may be donated to University-sponsored organizations by makers, dealers, or purveyors of alcoholic beverages.
2.Advertisements or promotions of alcoholic beverages by University-affiliated student organizations are not permitted.
3.The advertising and/or promotion of an event involving the nonalcoholic portion of a liquor license holder, whose primary business is not alcohol, is permissible.
Code of Student Life, 1998-99, Section 1-5, p. 7.
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CAMPUS SECURITY |
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There is ample evidence today of increasing violent crime on the nation's campuses. Students, faculty, and staff alike have been victims. The processes of discovering and transmitting knowledge may also suffer if, in response to this crisis, academic traditions of free movement and access are restricted. On the one hand, institutions need to attempt to make their campuses reasonably secure places for all members of their community. On the other hand, there are demonstrable tensions between an ideal academic environment and a completely secure campus. It is essential to work for an equitable balance between an open environment where academic inquiry can thrive and a reasonably safe environment where inquirers can feel secure. The concepts of reasonable security and of administrative responsibility provide direction in achieving this balance.
Each institution should review periodically its efforts to make its campus a reasonably secure place for all members of its community. It should marshal those forces within its control so as to provide that its students and employees are able to enjoy on campus at least that average degree of security enjoyed by similarly situated citizens of the surrounding community. The concept of "reasonable security" recognizes that there are demonstrable tensions between an ideal academic environment and a secure campus. The concept also recognizes that the risk of becoming a campus victim of violent crime must vary by factors such as the crime rate in the surrounding community.
Administrative responsibility for campus security should be assigned to specific officials. Each institution should also designate responsible individuals to be on call to respond to security emergencies. Responsibility for the campus security system includes the need to consider the following:
Security needs are taken into account in the design, maintenance, and operation of the institution's building, grounds, and equipment.
Students and other members of the institutional community are adequately informed about security risks and procedures.
Security personnel are adequately screened, trained, equipped, and supervised by the institution or its contractor.
The number of security personnel utilized is adequate to perform the functions assigned to the department. If no security personnel are utilized, the campus should be made reasonably secure by other means.
Data regarding security incidents are collected and receive periodic administrative review.
State Board of Higher Education Policy Manual, 10-27-89, Section 916
The Crime Awareness and Campus Security Act of 1990 requires institutions of higher education receiving federal funds to document specific crimes on campus. It also requires that the institution prepare, publish, and distribute this information to all current students and employees, and to any applicant for enrollment or employment upon request. The information includes current policies for reporting criminal action; policies concerning law enforcement; programs to inform students about security procedures; statistics concerning reported crimes on campus (murder, rape, robbery, aggravated assault, burglary, and motor vehicle theft); statistics concerning arrests (liquor law violations, drug abuse violations, and weapons possessions); and policies regarding possession, use, and sale of illegal drugs and alcoholic beverages.
Boyd, Vice President for Student and Outreach Services, 12-10-98
SEE ALSO: Crime Awareness and Campus Security Act of 1990 (Title II of Public Law 101-542)
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CLAIMS |
POLICY
1. Each institution shall appoint or designate a safety director or other employee with general responsibility for completing and filing incident reports and reporting potential liability claims, compliance with health and safety laws and regulations and liaison with the university system Safety and Risk Management Committee.
2. Each institution shall adopt procedures for reporting of all incidents resulting in injury to any person, property damage and other incidents or acts that may result in a liability claim against the state, an institution or an employee or agent of the state. The procedures shall provide that any employee who has knowledge of a reportable incident shall make a report to the institution's safety director or other employee appointed or designated pursuant to subsection 1 of this policy, and that the safety director or other employee shall see that a report is filed with the Office of Management and Budget (or other entity as provided by law) and the institution's legal counsel or other officials as provided by those procedures.
State Board of Higher Education Policy Manual, 05-31-95, Section 302.9
UND GUIDELINES REGARDING OCCUPATIONAL INJURY
UND employees who are injured on the job should follow this procedure:
1. If injury is an emergency, dial 911 immediately. Also, contact the Safety Office at 777-3341 immediately.
2. For all injuries except emergencies, report to ONE of the following:
- UND Family Practice Center, 1300 Columbia Road 780-6800
- UND Student Health Services, O’Kelly Hall 777-3963
- Altru Health Systems, Medical Park 780-6000
- Your designated Medical Provider
3. Complete an incident report and give it to your supervisor. This report, along with the supervisor’s investigation form, is to be sent to the Safety Office within 24 hours.
4. Worker’s Compensation Forms should be picked up and returned to the Payroll Office.
Questions regarding the Injured Worker Guidelines should be directed to the Safety Office at 777-3341.
Hanson, Risk Management; Uhlir, Safety Office, 12-01-98
See also UND Faculty Handbook III.7.5 (Worker’s Compensation).
18.2 ACTIONS AGAINST EMPLOYEESLegislation adopted by the North Dakota Legislative Assembly in 1995 established Chapter 32-12.2 of the North Dakota Century Code. This chapter governs personal liability, and exposure to liability, for state employees when sued regarding the performance of their duties as state employees. On June 24, 1996, the North Dakota Attorney General and the Director of North Dakota's Office of Management and Budget issued a memorandum to all state employees. The following is from that memorandum:
"Under N.D.C.C. ch. 32-12.2, if a State employee is sued individually for actions he or she took within the scope of employment:
1. The Attorney General's office will defend the State employee as long as he or she wants the service and cooperates in the defense; and
2. The State employee may not be held individually liable - in other words, be ordered to pay damages out of his or her own pocket - unless the State employee's actions or omissions constitute a gross deviation from acceptable standards of conduct, that is, extreme disregard of danger to others, intentional misconduct or positively unlawful conduct.
N.D.C.C. ch. 32-12.2 also provides that:
- the State and not the State employee is to be named as the defendant in a lawsuit based on the employee's job-related acts;
- if an employee is sued for job-related actions in a federal court action or in a court in another state, and that court finds the State employee personally liable for actions within the scope of employment and enters a judgment against the State employee personally, the State will pay that judgment;
- if the State pays a claim based on the actions of a State employee, the injured person cannot bring a claim for that injury against the State employee involved.
The Risk Management Fund was established by the N.D.C.C. ch. 32-12.2. The Fund administers all claims filed against the State, its agencies and employees. Your agency has a copy of the Risk Management Manual. For further information concerning this issue, I refer you to Section 2 of that Manual. You will find a copy of a Memorandum of Liability and Defense Coverage at page 2.1-1 and a copy of N.D.C.C. ch. 32-12.2 following page 2.5-1. If you have any questions concerning this issue, contact the Risk Management Division at (701) 328-1889."
PROCEDURES IN THE EVENT OF A LAWSUIT
If you are served with legal papers in which you are sued for something you did as a State employee or State volunteer:
- write down the specific date you received the legal papers and who gave them to you.
- contact your State agency supervisor and the Office of the Attorney General immediately.
- give written notice of the lawsuit to the head of your State agency [the President] and the Office of the Attorney General within ten days of being served with legal papers. You must do this in order to qualify for many of the benefits listed above.
- if you want to be represented by a lawyer employed or paid by the State to represent you, the law requires you to give a written request for defense to the head of your State agency [the President] and the Office of the Attorney General within ten days of being served with the legal papers. If you want this representation, it is best if you make this request immediately.
- be prepared to give your attorney the legal papers with which you were served and relevant background information.
- to qualify for representation by a State attorney and most other benefits listed above, you must provide cooperation and complete disclosure throughout the defense of the case.
For further information, please contact the Director of Risk Management in the Payroll Office.North Dakota Century Code, ch. 32-12.2; Office of Management and Budget, State of North Dakota, 06-24-96; Office of the Attorney General, State of North Dakota, 08-01-97.
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III-1.1