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 of Engineering and Mines, 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.

Vice President for Academic Affairs and Provost, 11-14-02

SEE ALSO: UND Faculty Handbook VII-4 (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

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 FILES

I. 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:

a. Full Name (last, first, middle)

b. Social Security Number

c. Date and Place of Birth

d. Current Address and Phone

e. Marital Status

f. Highest Degree with Date and Institution

g. Date of Initial Appointment

h. Current Rank and Date Achieved

i.Tenure Status (including any advance tenure credit)

j. 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 Education

4. 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).

Vice President for Academic Affairs and Provost, 11-14-02

SEE ALSO:  UND Faculty Handbook VII-4 (North Dakota Century Code 15-38.2 [Teachers' Personnel Files]), VII-4 ( North Dakota Century Code 54-06 [General Provisions, State Officers])

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 (North Dakota Century Code 44-04-18 [Access to public records], 44-04-19 [Access to public meetings], 44-04-21 [Open voting], 15-10-17(1) [Specific powers and duties of board of higher education])

4.1.1  Open Meetings

Any 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.

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, 10-1-87 , pp. 3053-3054

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 determined 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, 1-15-81

5.1 RESEARCH GRANTS

5.1.1 Positions Funded by Federal and Grant Money

Employment contracts for all positions established and funded with federal or grant funds must include a provision permitting termination of that employment upon loss or reduction of those funds.

State Board of Higher Education Policy Manual, 11-19-99 , Section 607.2

5.1.2 UND Policy – 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.

Grants and Contracts Administration, 11-14-02

5.2 CONSULTING PRACTICES

5.2.1 State Board of Higher Education Policy: Outside Employment or Consulting Practices; Use of Institution Property

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

5.2.2 UND Policy: Consulting

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, 1-15-81

5.2.3  Medical Service Plan – UND Medical School

The University of North Dakota School of Medicine and Health Services shall establish and maintain a medical service plan governing distribution of revenues generated by full-time School of Medicine faculty physicians.  All full-time faculty physicians shall participate in the plan.  School of Medicine officials shall establish a mechanism for input by faculty physicians in development and administration of the plan.  The plan shall:

1. Aid the Medical School financially with income generated by full-time faculty physicians;

2. Promote the growth of each Department by income generated by full-time faculty physicians within that Department;

3. 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; and

4. Provide participating physicians with financial rewards proportional and appropriate to their clinical endeavors.

State Board of Higher Education Policy Manual, 10-28-99 , Section 611.1

5.3  INTELLECTUAL PROPERTY

5.3.1  State Board of Higher Education Policy: Intellectual Property

1. General Principles.

The primary purposes of this policy are to encourage and promote research and scholarship based on the traditional principles of the academic profession. These products may constitute Intellectual Property that could be of financial benefit to the individuals involved and the Institution. This policy establishes guidelines to support faculty, staff, and students, in identifying, protecting and administering Intellectual Property and defining the rights and responsibilities of all involved. This policy governs unless a policy on specific Intellectual Property provides a different rule.

 2. Definitions.

a. "Author": Person who creates a Copyrightable Work.

b. "Copyrightable Work or Work": An original Work of authorship which has been fixed in any tangible medium of expression from which it can be perceived, reproduced, or otherwise communicated, either directly or with the aid of a machine or device, such as books, journals, software, computer programs, musical work, dramatic works, videos, multimedia products, sound recordings, pictorial and graphical works, etc. A Work may be the product of a single Author or a group of Authors who have collaborated on a project. A Work is created by an Author.

c. "Creator": Either an inventor in the context of an Invention, or an Author in the context of a Copyrightable Work.

d. "Institution": The individual colleges and universities and the North Dakota University System.

e. "Intellectual Property": Collectively, all forms of property created by the mind including, but not limited to, Inventions, Copyrightable Work, Trademarks, and Tangible Research Property.

f. "Invention": A process, method, discovery, device, plant, composition of matter, or other Invention that reasonably appears to qualify for protection under the United States patent law (including, but not limited to, utility patent, plant patent, design patent, certificate of Plant Variety Protection, etc.), whether or not actually patentable. An Invention may be the product of a single inventor or a group of inventors who have collaborated on a project.

g. "Mediated Courseware": Teaching aids created and/or deployed electronically. Mediated Courseware may incorporate text, graphics, video, and audio elements. Examples of such materials include, but are not limited to, hypertext modules, simulation software, web sites, and databases containing numbers, images, or text.

h. "Significant Use of University System or Institution Resources": Significant Use of Institution Resources means an Author's use of other employees' time or Institution facilities or equipment that appreciably increases the Institution's costs beyond those normally incurred in support of an employee in the Institution. Significant Use does not include the normal use of Institution employees, facilities, or equipment commonly available to faculty, staff, or the public, such as libraries, Internet access, office space, office equipment, computers, and/or office supplies. Unless otherwise agreed, Significant Use also does not include the use of Institutional developmental leave time, so long as it does not appreciably increase the Institution's costs beyond those normally incurred in support of an employee of the Institution.

i. "Tangible Research Property": Tangible items produced in the course of research including, but not limited to, such items as biological materials, engineering drawings, integrated circuit chips, computer databases, prototype devices, circuit diagrams, and equipment. Individual items of Tangible Research Property may be associated with one or more intangible properties, such as Inventions, Copyrightable Work, and Trademarks. An item of Tangible Research Property may be the product of a single Creator or a group of individuals who have collaborated on the project.

j. "Trademark" (including Service Mark): A distinctive word, design, or graphic symbol, or combination word and design, that distinguishes and identifies the goods and services of one party from those of another, such as names or symbols used in conjunction with plant varieties or computer programs, or the Institutional names, logos, or derivatives thereof.

k. "Work For Hire": Defined pursuant to Federal Copyright Law which includes a Work prepared by an employee within the scope of employment or a Work created pursuant to a written agreement identifying the Work as a Work for Hire.

3. General Patent Policy.

a. The North Dakota State Board of Higher Education encourages the faculty, staff, and others associated with the Institutions under its jurisdiction 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 over-riding 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.

1. 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)' heirs, successors, or assigns, a minimum of 30 percent 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.

2. When there are two or more inventors, each inventor shall share equally in the inventor's 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.

3. In addition to the inventor(s) share, the net royalties shall be disbursed 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.

4. The provisions of this section apply to plant variety protection unless inconsistent with Institution policy.

4. General Copyright Policy.

a. Except as otherwise explicitly provided under this policy or applicable law, an employee who creates a Work retains copyright ownership of the Work.  If there has been Significant Use of University System or Institutional Resources, the provisions of section 4b of this policy shall apply.

b. If there has been Significant Use of Institutional Resources, as defined in section 2 of this policy, to create 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 that amount that constitutes the Institution's Significant Use. The Institution shall be reimbursed for the Significant 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 creation of Work, or if by prior agreement they are assigned to produce or develop Work in the course of their regular duties, and if such Work is deemed appropriate for copyright, it must be reported to the Institution pursuant to its copyright review procedure. In such instances the Institution shall have the first option to secure copyright in the name of the Institution. Should the Institution decide, in writing, it would not be appropriate to secure copyright, the employee then may proceed to personally secure the copyright.

d. Royalties received as a result of copyright ownership by the Institution will be disbursed at least 30 percent to the employee(s) and the remainder pursuant to the copyright review procedure.

5. Mediated Courseware.

a. Self-initiated Mediated Courseware. When employees develop Mediated Courseware without specific direction by the Institution, unless otherwise agreed, the ownership of the courseware shall remain with the employee.  Normally, no royalty, rent or other consideration shall be paid to the employee when that Mediated Courseware is used for instruction at the Institution and such Mediated Courseware shall not be used or modified without the consent of the employee. While the Creator is under Institutional employment, the Mediated Courseware shall not be sold, leased, rented or otherwise used in a manner that competes in a substantial way with the for-credit offering of the employee's own Institution unless that transaction has received the approval of the chief academic officer of the Institution. The Institution shall have a perpetual, non-exclusive royalty-free right to use such courseware for archival research purposes. Should approval be granted to offer the course outside of the Institution, the provisions of section 4b of this policy shall apply.

b. Institution-directed Mediated Courseware. When the Institution directs in an employment contract the creation of a specific Mediated Courseware, the resulting Mediated Courseware belongs to the Institution and the Institution shall have the right to revise it and decide who will utilize the Mediated Courseware in instruction. The Institution may specifically agree to share revenues and control rights with the employee.

c. Institutions shall develop procedures for reporting the development of Institution-directed Mediated Courseware to the appropriate administrator at the Institution.

6. Copyrightable Software.

Unless a separate written agreement provides otherwise, software created by employees within the scope of their employment and not covered under Mediated Courseware in section 5 of this policy shall be treated as a Work for Hire, owned by the Institution and commercialized pursuant to the General Patent Policy, with the employee(s) getting a minimum of 30 percent of the net royalties and fees.

7. Student Work.

a. The ownership of copyrights in student Work is governed by the following:

1. Copyright ownership of student Work that is performed in whole or in part by the student with financial support in the form of wages, salaries, stipend, or grants from funds administered by the Institution shall be determined in accordance with the terms of the support agreement, or in the absence of such terms, shall become the property of the Institution.

2. Copyright ownership of student Work generated by research performed in whole or in part utilizing equipment or facilities provided by the Institution under conditions that impose copyright restrictions shall be determined in accordance with such restrictions.

3. Students will own the copyrights to their Work not within the provisions of (1) and (2) above; however, a student must, as a condition to a degree award, grant royalty-free permission to the Institution to reproduce and publicly distribute, including by electronic means, copies of the student's Work.

4. Where there is Significant Use of Institution Resources, copyright ownership shall be determined under section 4b of this policy.

b. Ownership of student Inventions shall be governed by the Patent Policy in section 3 of this policy.

8. General Trademark Policy

Each Institution may develop a Trademark policy that provides for the protection of the Trademarks and Service Marks of the Institution.

9. Institutional Procedures. Each Institution shall adopt procedures implementing this policy that include:

a. Procedures for required disclosure of Intellectual Property;

b. Procedures for review, evaluation, and protection of Intellectual Property;

c. Rules governing distribution of net royalties or fees;

d. A process for resolving disputes; and

e. A process for informing faculty, staff, and students of the rights and responsibilities of Intellectual Property.

10. Transfer of Rights

a. Institutions may assign or transfer ownership rights in Intellectual Property to independent foundations created for the purpose of obtaining or administering and marketing Institution Intellectual Property, receiving gifts, or supporting or promoting the Institution or Institution research.

b. It is the responsibility of employees to ensure that the terms of their consulting agreements with third parties do not conflict with their commitments to the Institution. Each employee shall make the nature of the employee's obligations to the Institution clear to any third party for whom the employee expects to consult. Specifically, the scope of the consulting services must be distinguished from the scope of research commitments to the Institution.

State Board of Higher Education Policy Manual, 6-20-02 , Section 611.2

SEE ALSO: North Dakota Century Code 47-21 (Copyrights)

            5.3.2        UND Intellectual Property Policy and Procedures:

1.         GENERAL PRINCIPLES

1.1       It is the policy of the University of North Dakota (UND) to encourage and promote research and scholarship.  Some scholarly works, discoveries, advancements, and innovative approaches (collectively defined as intellectual property or IP) have the potential to be further developed into products or services that need to be protected and disseminated.  Through this Policy, UND establishes a synergistic model of education, research, service, and economic development.

1.2       This Policy is enacted under the authority of, and is intended to comply in all respects with, Section 611.2 of the Policies of the State Board of Higher Education (SBHE).

1.3       The primary purposes of this Policy are to:

1.3.1    Encourage faculty, staff, students, and others associated with UND to pursue formal protection and/or commercialization of all IP. 

1.3.2    Provide clear direction for all involved in the creation, development, management, protection, and dissemination of IP.

1.3.3    Recognize all interests that may emerge with discoveries that have commercial or other valued outcomes. 

1.3.4    Facilitate the efficient delivery of technology into practical use for the public benefit, in a manner consistent with applicable law and policy.

1.3.5    Facilitate the creation of appropriate public-private partnerships to achieve commercialization, utilization, and economic development.

1.3.6    Encourage a broad array of mutually beneficial relationships with organizations outside UND to further develop discoveries made at UND.

1.3.7    Protect students’ academic progression by limiting the ability of UND to embargo research output longer than six (6) months.

1.4       Unless otherwise provided by law, this Policy applies to all IP produced by UND’s faculty, staff, students, trainees, volunteers, or others including IP resulting from:

1.4.1    Work performed by or under the direction of any faculty member, staff, or student, the cost of which was partially or wholly paid for with funds under the control of or administered by UND; and/or

1.4.2    An investigation utilizing UND’s facilities, laboratories, or other resources available to such persons because of their status within UND.

1.5       This Policy is a condition of employment at UND and each employee is required to execute a written assignment of intellectual property to UND.

1.6       This Policy shall be administered in accordance with UND’s Conflict of Interest Policy and the Ethical Conduct in Scholarship, Research, and Creative Activity Policy.

1.7       The Vice President for Research and Economic Development (VPRED) is responsible for the administration of this Policy.  The IP Commercialization Officer (IPO), appointed by the VPRED, is responsible for the creation and implementation of procedures, including dispute resolution procedures, which enable this Policy.  The IPO shall provide guidance in all matters related to IP at UND.  The Director of the Energy & Environmental Research Center (EERC) may appoint an Intellectual Property Coordinator (IPC) to coordinate IP management with the IPO and who will be responsible for IP consulting and IP disclosure preparation within the EERC.

1.8       UND shall have no less than a perpetual, non-exclusive, and royalty-free right to use, for research, education, and archival purposes, IP that is subject to this Policy and in which UND elects not to retain title.

1.9       While employed at UND, employees shall not use IP that is subject to this Policy in a manner that competes with UND.

1.10     Subject to restrictions arising from obligations pursuant to gifts, grants, contracts, or other agreements with outside organizations, UND shall, for and in consideration of the assignment of IP rights, distribute Cumulative Net Royalties as follows:

*Including all IP assigned to foundations other than the EERC Foundation, as well as IP generated by non-EERC UND personnel or a combination of EERC and non-EERC UND personnel regardless of the foundation to which such IP is assigned. 

**Excluding all IP generated by non-EERC UND personnel or a combination of EERC and non-EERC UND personnel.

“Cumulative Net Royalties” are defined as gross revenue produced by IP less the Costs of IP Protection.  Indirect costs, overhead, or other UND or affiliated foundation costs usually associated with the operation of UND or the affiliated foundation not directly attributable to the IP will not be deducted from gross revenue.

“Costs of IP Protection” are the unreimbursed expenses incurred by UND or an affiliated foundation in procuring, protecting, preserving, maintaining, licensing, and commercializing IP and related rights.  This includes, without limitation, the costs of securing patent, copyright, or trademark protection in the United States of America and any foreign jurisdiction, including legal fees associated with IP protection, fees for patentability and marketability searches, fees arising out of litigation, fess for legal advice, or any fees or costs directly attributable to the IP.  If significant expenses are anticipated for protection or litigation, gross revenue may be retained for a reasonable amount of time by UND in a reserve fund to cover such expenses, provided that if such reserves are not needed, the funds shall be distributed according to this Policy.

“Unit” is defined as an administrative, academic or research unit of UND.

1.11     When there are two or more creators, each creator shall share equally in the creator's share of Cumulative Net Royalties, unless all creators have agreed in writing to a different distribution of such share.  Likewise, where a Unit comprises two or more sub-units, such as a college and a department, each sub-unit shall share equally in the Unit share unless separately agreed to in writing.

1.12     When revenue from two or more pieces of IP is generated through concerted commercialization efforts, the creators shall work in cooperation with the IPO to arrive at an agreed upon allocation of the creators’ respective shares of the Cumulative Net Royalties. 

1.13     Cumulative Net Royalties received by UND and its Units shall be used to support UND’s research infrastructure and enterprise, and to further develop, commercialize, and/or protect UND’s IP.

1.14     The ownership of IP created under a sponsorship agreement, federal funding agreement, other agreement, or governed by a material transfer agreement, or other agreement shall be determined by the terms of the agreement.  If the agreement is silent on the issue of ownership of IP rights, ownership will be determined under applicable law and this Policy. 

1.15     UND may participate in projects with external entities that lead to the development of IP. Ownership rights pursuant to any collaboration or partnership shall, wherever practicable, be addressed in the collaboration or partnership agreement pursuant to this Policy. 

1.16     The rights, title, and/or interest in UND’s IP may be assigned or licensed to one or more third parties.  In the case of assignments, the assignees must be qualified under applicable law and policies to hold the IP and only the President of UND, or designee, may sign appropriate documentation to transfer IP. Unless approved by the President of UND, no other person or entity shall have joint or shared rights of ownership in UND’s IP.

2          RIGHTS AND OBLIGATIONS OF CREATOR AND UND

2.1       A creator has the right to:

2.1.1    Receive timely assistance and guidance from the IPO and/or IPC;
2.1.2    Receive notice within six (6) months of UND’s decision on the disposition of any IP disclosed;
2.1.3    Receive a share of Net Cumulative Royalties as set forth in this Policy;
2.1.4    Receive title to any IP subject to this Policy in the event UND elects not to retain its rights; and
2.1.5    Publish research findings in a timely manner provided that an IP disclosure has been made to UND.

2.2       A creator, without incurring undue hardship, is obligated to:

2.2.1    Promptly file a complete, thorough, and accurate IP disclosure for all IP subject to this Policy;
2.2.2    Formalize the assignment of ownership of the IP to the appropriate entity at the direction of UND;
2.2.3    Cooperate to delay publication of results as necessary to allow for IP protection;
2.2.4    Cooperate in the preparation and prosecution of all applications;
2.2.5    Promptly notify UND of potential infringement or infringing activities and participate in enforcement actions and proceedings;
2.2.6    Assist with licensing and marketing efforts related to the IP; and
2.2.7    Maintain current contact information with the IPO or IPC.

2.3       UND has the right to:

2.3.1    Assign to the creator rights, up to and including full ownership, of any IP subject to this Policy;
2.3.2    Assign to an affiliated foundation the rights or interests of any IP owned by UND;
2.3.3    Practice for itself any IP owned by UND, whether by making, using, licensing, selling, copying, or distributing the subject matter thereof, and/or exclude others from doing so, subject to any third party agreements; and
2.3.4    Reserve no less than a perpetual, non-exclusive and royalty-free right to use, for research, education, and archival purposes, IP that is subject to this Policy.

2.4       UND is obligated to:

2.4.1    Make faculty, staff, students, trainees, volunteers, and others aware of this Policy;
2.4.2    Provide timely assistance and guidance to the creator(s);
2.4.3    Determine the disposition of IP within six (6) months after disclosure;
2.4.4    Expedite formal IP protection procedures as needed;
2.4.5    Distribute, at least annually, revenue received by UND for any IP according to this Policy; and
2.4.6    Notify the creator(s) of significant developments regarding IP.

2.5       The mutual obligations set forth above shall not terminate upon separation of the creator’s employment from UND.

2.6       Creators shall not use UND’s name in connection with subsequent development, use, or marketing of IP.  Assignments, license agreements, and other transfers of rights or ownership in IP to third parties shall include this limitation.

3.         COPYRIGHT POLICY

3.1       Except as follows, it is the policy of UND that an employee who creates a work, including a work for hire, shall be deemed to acquire copyright ownership in the work.  

3.1.1    UND shall retain copyright ownership in works for hire created by an employee at the specific direction of UND. 

3.1.2    An employee shall assign to UND copyright ownership of works created at the specific direction of UND that do not otherwise qualify as works for hire.

3.1.3    UND shall retain copyright ownership in works for hire that are subject to restrictions in gifts, grants, contracts, or other agreements that require UND to retain or otherwise dispose of such copyright.

3.1.4    UND shall retain, or employees shall assign to UND, copyright for original works which are incidental to or necessary for the practice of an invention owned by UND under this policy.

3.1.5    Nothing in this Policy shall prohibit an employee from, in the case of a work that is not a work for hire, assigning copyright ownership of the work to UND or in the case of a work for hire, permitting UND to retain copyright ownership.

3.1.6    UND shall retain, or employees shall assign to UND, copyright in works used or intended to be used solely or primarily by the Department of Athletics.

3.2       UND shall be responsible for administering all rights in works in which copyright is owned by UND. 

3.3       Unless otherwise agreed, works in which copyright is owned by employees are the sole responsibility of the owners.

3.4       In the creation of a work in which UND does not own copyright, including a work for hire where ownership is vested in the employee by this Policy, the employee shall be obligated to reimburseUND out of any royalties earned thereon, up to the fair market value of any significant use of UND resources as defined by SBHE Policy.

3.5       UND may at any time decide to relinquish, or not to secure, copyright in a work that UND is otherwise entitled to own under this Policy.

3.6       All transfers of ownership in copyright shall be in writing.

3.7       Except as follows, UND shall not be entitled to reimbursement arising out of, or otherwise claim rights in works prepared by students. 

3.7.1    When there has been a significant use of UND resources, Section 3.4 of this Policy shall apply as if the students were employees.

3.7.2    As a condition of study or a degree award, each student shall grant to UND a non-exclusive, royalty-free license to reproduce and publicly distribute, including by electronic means, copies of the student’s work in which the student retains copyright. 

3.7.3    Ownership of copyright in works that are prepared by students, in whole or in part with financial support in the form of wages, salaries, stipend, or grants from funds administered by UND, shall be determined in accordance with the terms governing the financial support.  In the absence of such terms, copyright in such works shall become the property of UND.

4.         TRADEMARK POLICY

4.1       UND shall maintain a portfolio of trademarks and service marks that are used in any manner to identify the Institution in conjunction with good and services, including goods or services offered by one or more Units or in course of UND’s business activities.
4.2       UND shall be listed as the owner of any trademark or service mark for which an application for registration is filed.  Trademarks and service marks shall be filed, prosecuted, registered, and maintained by UND at the institution’s expense.  UND prefers to secure federal trademark and service mark registrations, but it reserves the right to secure one or more state registrations.

4.3       Any transfer of ownership in a trademark or service mark to or from UND must include all rights in the mark, including good will.

4.4       UND may license to a third-party rights in one or more trademarks or service marks owned by the institution.  Any such license must, at a minimum, reserve to UND the express right to monitor and supervise the use by licensee of the mark(s).

4.5       Except in the case of trademarks and service marks used or intended to be used solely or primarily by the Department of Athletics, trademarks and service marks developed by faculty, students, and staff of UND shall, where practicable, be treated in the same manner as other forms of IP. 

4.6       The IPO shall establish a procedure in which the creator(s) of a trademark or service mark owned by UND are recognized and identified for purposes of complying with this Policy.

5.         PATENT POLICY

5.1       All rights to and interests in inventions, patent-pending and patented, shall be determined as follows:

5.1.1    Inventions resulting from work, research, or investigation conducted in the course of the creator’s employment at UND shall be owned by UND.

5.1.2    Inventions resulting from work created by a UND employee outside the scope of employment and without the use of institutional resources belong to the employee.

5.1.3    UND may not claim any rights to, or any ownership interest in, inventions developed solely by students unless:

5.1.3.1 The student has received financial support from UND in the form of wages, salary, stipend, or grant funds for the research leading to the development of the invention;

5.1.3.2 The invention was developed in cooperation with other students or UND employee(s) as part of a cumulative classroom project utilizing UND resources; or

5.3.1.3 The work leading to the invention was funded by a sponsorship agreement, federal funding agreement, other agreement, or governed by a material transfer agreement that restricts ownership of the invention.  

Adopted pursuant to section 305.1(3)(f) of the State Board of Higher Education Policies    3/12/2010

Updated 10/29/2012

5.4  CONFIDENTIAL INFORMATION

5.4.1 State Board of Higher Education Policy:  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 from 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. 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 institution, its faculty, staff, or students.

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.

State Board of Higher Education Policy Manual, 4-18-02 , Section 611.6

SEE ALSO: North Dakota Century Codes 15-10-17 (17) and 44-04-18.4.

5.4.2  Confidentiality of trade secret, proprietary, 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 into 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 or 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)

5.5  Conflict of Interest

5.5.1  State Board of Higher Education 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, 6-24-93 , Section 611.4

                           SECTION II. REVIEW BY EXECUTIVE HEAD OF THE UNIT

□   I have reviewed the conflict of commitment document and any attachments submitted by

                                                                                                                     on                                              .
                                                  (Name)                                                                                                             (Date)
To the best of my knowledge, a conflict of commitment does not exist and no further review is required.

□   I have reviewed the conflict of commitment document and any attachments submitted by

                                                                                                                     on                                                
                                                                  (Name)                                                                                                             (Date)
The document may indicate a conflict of commitment; therefore, I am referring the matter for further review to the Appropriate Vice President.

                                                                                                                                                                        
Signature of Reviewing Authority                                                                             Date

                                                                                                                                                                        
Title of Reviewing Authority

                      SECTION III. REVIEW BY THE APPROPRIATE VICE PRESIDENT

I have reviewed the conflict of commitment document and any attachments submitted by

                                                                                                                   on                                                  
                                    (Name)                                                                                                                          (Date)

  □   I find that no conflict of commitment exists.

  □   I find that a conflict of commitment exists and conditions detailed in a Memorandum of Understanding between the employee and the University must be imposed.

  □   I find that a significant conflict of commitment exists that cannot be managed by imposition of conditions and the Employee must eliminate the conflicting interest.

                                                                                                                                                                       
Signature of Appropriate Vice President                                                Date

(Form 2: Conflict of Commitment Document                                                                                                                         Page 2 of 2)

                 University of North Dakota Conflict of Interest Form 3
                                 DESCRIPTION OF FINANCIAL INTEREST ACTIVITY
(to be filed if a potential conflict involving a significant financial interest is identified on Form 1)

Name                                                                                                                         Title                                            

College/Administrative Unit                                                                                                                                          

Department/Administrative Unit                                                                                                                                   

Name of Entity or Activity: _________________________________________   Date:                            
Type of Entity:              □ Business              □ Non-Profit           □ Governmental          □ Other
Type of financial interest:       □ Income           □ Equity            □ Ownership

Please explain your significant financial interest.  Note that a significant financial interest will generally fall into the categories of income, equity, or ownership.  Within these areas, a significant financial interest can involve specific items like, but not limited to:

• honoraria, consulting fees, salary, dividends or royalties
• stock, stock option, real estate, or other investment
• ownership
• you, your spouse, and/or dependent children holding a position of management (director, officer, partner, trustee) with an entity
• an entity holding copyright, patent rights, or license rights to a product of yours, your spouse, and/or dependent children
• an entity manufacturing or commercializing a product of yours, your spouse, and/or dependent children.

Please describe your financial interest:                                                                                                      

In submitting this form, I certify that I have read the Conflict of Interest Policy.  I affirm that the information I have provided is complete and accurate to the best of my knowledge.  I recognize my continuing obligation to report changes in my status.  If I am party to a Memorandum of Understanding with the University, I am in full compliance with that Memorandum of Understanding

Signature                                                                                                                         Date                                     
                                                                                                                                                                       

University of North Dakota Conflict of Interest Form 4
CERTIFICATION OF FILING OF FINANCIAL INTERESTS DISCLOSURE DOCUMENT
(to be filed by all principal investigators)

Faculty/Staff Name:                                                                                                                                                    

College/Administrative Unit:                                                                                                                           

Department/Administrative Unit:                                                                                                                          

This is to certify that on                                                                            , I filed a UND Financial Interests Disclosure Document (Form 1) with                                                                                             .  It includes information regarding any significant financial interests (and those of my spouse and/or dependent children) that would reasonably appear to be affected by the research, educational, or service activities, for which sponsored program funding is sought, and in entities whose financial interests would reasonably appear to be affected by the research.

Further, I agree:

• To update this disclosure during the period of any award as new reportable significant financial interests are obtained.

• To cooperate in the development of a Memorandum of Understanding (MOU) that constitutes a conflict of interest “resolution plan” if a conflict of interest or potential conflict of interest is found to exist.

• To comply with any conditions or restrictions imposed by the University to manage, reduce, or eliminate actual or potential conflicts of interest or forfeit any relevant award.

• To have a fully-executed MOU in place, if required, prior to making any expenditures of sponsored project funds.

Signed:                                                                                                           Date                               

ENDORSEMENTS:

I have reviewed the Financial Interests Disclosure Document (Form 1) submitted by ____________                                                                                                      and believe that, if it is found that a conflict of interest exists, it will be possible to manage that conflict of interest.  If needed, an MOU to manage the conflict of interest during the course of an award will be established prior to expenditure of award funds.

                                                                                                                                                                        
                                         Executive Head of the Unit                                              Date

5.6  ETHICAL CONDUCT IN RESEARCH, SCHOLARSHIP AND CREATIVE ACTIVITY

1.         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 support 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 all faculty, staff, administrators and students, both full and part time, who are affiliated with the University of North Dakota, share responsibility for developing and maintaining standards to assure ethical conduct in research, integrating those standards into their own work and  detecting any abuse of the standards by others.

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, in certain circumstances, students (see section 4.1). These policies 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.

Inquiries regarding this Policy may be directed to the Research Development and Compliance office.

1. This policy statement was derived from a policy statement, "Ethical Conduct in Academic Research and Scholarship," developed at the University of Houston. It has been copied and extensively modified with the permission of Julie T. Norris, Assistant Vice President and Director, Office of Sponsored Programs, University of Houston.

2. The National Institutes of Health (NIH) and the National Science Foundation (NSF) require that entities receiving federal research funds establish formal policies and procedures that ensure an impartial process for the receipt and disposition of allegations of misconduct in science, including prescribed phases, timelines, definitions, and notification procedures. This policy is designed to comply with those federal requirements.

2.         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:

2.1.      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 conflicts of interest, scholarly exchange of ideas and data, and self-regulation. Mentoring relationships between academic leaders and new practitioners serve to enhance the transmission of ethical standards.

2.2.      Acceptance of Responsibility by Research Supervisor
University policies must define a focus of responsibility for the conduct of research and must ensure that the individuals charged with the supervision of researchers can realistically execute the responsibility. These supervisors of research should be experienced academicians who serve as mentors in conveying 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.

2.3.      Establishment of Well-Defined Research Procedures
Strict adherence to well-designed research methods is a deterrent to fraud. Bias in data analysis and interpretation can be avoided by following discipline-specific, commonly-accepted research practices.

2.4.      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.

3.         DEFINITIONS

3.1.      Advisor
An Advisor is a person who provides advice to a Complainant, Respondent, or any other person who provides information regarding an Allegation of Misconduct in Research or Scholarship.  An Advisor may also be Counsel and should not be an individual who has special knowledge of the situation such that he or she may need to contribute testimony or information during the course of an Inquiry or Investigation. Only one Advisor may accompany an individual.

3.2.      Allegation
An Allegation is, generally, any written and signed statement describing possible Misconduct in Research or Scholarship.  In the course of an Inquiry or Investigation, additional information may emerge that justifies broadening its scope beyond what is reported in the initial Allegation. For all purposes under this Policy, the term Allegation shall be deemed to include any such broadened scope.

3.3.      Committee of Investigation (CoI)
The CoI is a three-member panel used as fact-finders during the Investigation. The CoI conducts interviews to obtain information necessary to make a determination regarding the Allegations made by the Complainant and any other matters that may come to the attention of the COI during the Investigation.

3.4.      Complainant
Complainant means an individual who brings an Allegation of Misconduct in Research or Scholarship.

3.5.      Counsel
Counsel is an Advisor who is either an attorney or otherwise has legal training.

3.6.      Days. 
All references to Days in this policy shall mean working days. The number of days shall be calculated beginning with the day after the event (e.g.the receipt of a document, commencement of an Investigation) triggering any deadline.

3.7.      Disposition.
Disposition means the decision of the VPR or VPAA resolving the Allegation of Misconduct in Research or Scholarship.

3.8.      Inquiry
Inquiry means information gathering and initial fact-finding to determine whether an Allegation or apparent instance of Misconduct in Research or Scholarship warrants an Investigation. This is a primarily paper review based on the documentation received by the VPR or VPAA and questions submitted by the Inquirer to either the Complainant or Respondent for clarification. After review of all of the documentation including the written responses from the Complainant and Respondent, a determination may be made that follow-up written questions to the Complainant or Respondent may be necessary to complete the Inquiry.

3.9.      Inquirer
Person performing an Inquiry.

3.10.    Investigation
Investigation means the formal examination and evaluation of all relevant facts to determine if Misconduct in Research or Scholarship has occurred.

3.11.    Misconduct in Research or Scholarship
Misconduct in Research or 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 or Scholarship 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 or Scholarship is the intent to deceive others or misrepresent one's work. Misconduct in Research or Scholarship involves significant breaches of integrity, which may take numerous forms such as, but are not limited to, those outlined below:

3.11.1. Falsification of Data.
Falsification of data means manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

3.11.2. Fabrication of Data.
Fabrication is making up data or results and recording or reporting them.

3.11.3. Plagiarism.
Plagiarism means the misappropriation of the work of another or one’s own work and its misrepresentation as one's own original work. Examples of plagiarism include, without limitation, the following: (1) Verbatim, word-for-word lifting of words without quotation marks and without source citation; (2) Verbatim, word-for-word lifting of words without quotation marks but with source citation; (3) Paraphrasing words or using ideas without citing to the source; (4) Verbatim, word-for-word lifting of words from the article or paraphrasing of those words from the article without citing to the article, but citing to the sources cited by author in the article; (5) Lifting an article’s structure and organization without attribution; and (6) Paraphrasing a sentence in such a way that with the replacement of several words, it should be quoted. Plagiarism does NOT require intent i.e., lack of awareness does not excuse responsibility for upholding these standards.

3.11.4. 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.

3.11.5. Misappropriation of the Intellectual Property of Others.
Misappropriation of the intellectual property of others means the unauthorized use of proprietary or private information (e.g., use of information obtained while conducting a peer review of someone else’s work), however obtained.

3.11.6. Violation of Generally Accepted Research Practices.
Violation of generally accepted research practices includes, but is not limited to, deceptive practices in proposing, conducting, or reporting research. This definition includes all scholarly and creative activities, not just research activities.

3.11.7. Inappropriate Behavior in Relation to Misconduct.
Inappropriate behavior in relation to Misconduct in Research or Scholarship includes, but is not limited to, unjust and malicious accusations of Misconduct in Research or Scholarship; failure to report Misconduct in Research or Scholarship; withholding or destruction of information relevant to a claim of Misconduct in Research or Scholarship; or retaliation against persons involved in the Allegation or Investigation who have acted in good faith.

3.12.    Office of Research Integrity
The Office of Research Integrity means the federal agency organized under the U.S. Department of Health and Human Services, the Office of the Secretary of Health and Human Services and the Office of Public Health and Science.

3.13.    Research Integrity Officer
The Research Integrity Officer is the person designated by the VPR to serve that role on behalf of the University.

3.14.    Respondent
Respondent means the person against whom the Complainant makes an Allegation of Misconduct in Research or Scholarship.

3.15.    VPAA
VPAA means the Vice President for Academic Affairs or a designee.

3.16.    VPR
VPR means the Vice President for Research and Economic Development (VPR) or a designee.  Generally, the designee will be the Research Integrity Officer if that individual is not the VPR.

4.         GENERAL PROVISIONS

4.1.      Allegations Involving Students
Allegations of Misconduct in Research or Scholarship 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 VPAA or VPR 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 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 VPAA or VPR or a designee in order to assure compliance with the procedures for timelines, decisions, and sanctions as prescribed in this Policy.

4.2.      Principles
The following principles shall guide the review of Allegations of Misconduct in Research or Scholarship in research, scholarship, and creative activity at the University of North Dakota:

4.2.1.   The process must avoid damage to research, scholarship, or creative activity.

4.2.2.   The University will provide vigorous leadership in the pursuit and resolution of all charges.

4.2.3.   Process will be provided to all parties under University of North Dakota and State Board of Higher Education policies and procedures. All parties will be fairly treated and their reputations guarded by providing confidentiality to the extent possible under University and Board policies and procedures, applicable state and federal requirements, and the North Dakota Open Records Act.

4.2.4.   The integrity of the process will be maintained by painstaking avoidance of conflicts of interest.

4.2.5.   Allegations will be resolved as expeditiously as possible.

4.2.6.   The University will document the pertinent facts and actions at each stage of the process.

4.2.7.   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 those of the courts.

4.2.8.   To the extent feasible and reasonable, the University will pursue the Allegation of Misconduct in Research or Scholarship to its conclusion, even if the Respondent leaves or has left the University before the matter is resolved.

5.         REPORTING ALLEGATIONS OF MISCONDUCT IN RESEARCH OR SCHOLARSHIP

A Complainant may make Allegations of Misconduct in Research or Scholarship, in writing, to any faculty member or administrator. All Allegations must then be reported to the VPR by the person who receives it.  The VPR will determine whether the Allegations concern research, scholarship, or creative activity which is either being presently funded with federal or state funds or has been used in a grant proposal to a federal or state agency. The VPR will determine, in consultation with others if necessary, whether the person alleged to have committed Misconduct in Research or Scholarship has external support that is reportable to the Office of Research Integrity. If the Allegations concern research, scholarship, or creative activity with actual or potential federal or state funding, the VPR will institute the procedures outlined in section 6 of this Policy.  If the VPR has a possible conflict of interest, the Allegations will be referred to the VPAA, who will institute the procedures outlined in section 6 of this Policy (in such cases VPAA will be substituted for VPR in each place where it appears in section 6 of this Policy).   If the Allegations do not involve actual or potential federal or state funding, the VPR will forward the Allegations to the VPAA, who will institute the procedures outlined in section 7 of this Policy.  If the VPAA has a possible conflict of interest, the Allegations the VPR will institute the procedures outlined in section 7 of this Policy (in such cases VPR will be substituted for VPAA in each place where it appears in section 7 of this Policy 

6.         PROCEDURES FOR DEALING WITH  ALLEGATIONS OF MISCONDUCT IN RESEARCH OR SCHOLARSHIP (federal or state funding)

6.1.      Pre-Inquiry Review (federal or state funding)

6.1.1.   Initial review by the VPR
Within 20 Days of the receipt of an Allegation of Misconduct in Research or Scholarship, the VPR shall conduct a pre-inquiry review of the Allegation and determine whether:

6.1.1.1.            the Allegation is within the purview of this Policy;

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

6.1.1.3.            the Allegation is outside the purview of the University;

6.1.1.4.            the Allegation is clearly without substance;

If an Inquiry is determined to be unwarranted, the VPR shall prepare an internal memorandum-for-file including a statement of the Allegation and the rationale for not conducting an Inquiry. After the resolution of the Allegation of Misconduct in Research or Scholarship this memorandum shall be kept secure pursuant to the University’s records retention schedule. A copy shall be given to the Respondent and Complainant.

If an Inquiry is determined to be warranted, the Inquiry process will be initiated.

6.1.2.   Notification of Respondent (federal or state funding)
In the event the VPR determines that an Inquiry is warranted, the VPR, within 20 Days of receipt of an Allegation of Misconduct in Research or Scholarship, shall:

6.1.2.1.            notify (Memo #1) the Respondent, the Research Integrity Officer,  the University’s Office of General Counsel and the appropriate Dean(s) of the Allegation;

6.1.2.2.            notify all parties of the procedures that will be used to examine the Allegation; and

6.1.2.3.            notify all parties of the proposed Inquirer and ask all parties to identify any real or potential conflict of interest between the proposed Inquirer and the parties involved in the Allegation.

6.1.3.   Precautionary Actions.  As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of the Inquiry and, if necessary, 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 VPR in collaboration with the VPAA. Sanctions that prevent the Respondent from fulfilling his/her obligations as an employee of the University shall not be imposed during the Inquiry or Investigation phases unless it is necessary to prevent harm to the Respondent or to others. Factors to be considered in determining the timing of such actions include the following:

6.1.3.1.            There is an immediate health hazard involved.

6.1.3.2.            There is an immediate need to protect federal or state funds or equipment.

6.1.3.3.            There is an immediate need to protect the interests of the Complainant or Respondent as well as co-investigators and associates, if any.

6.1.3.4.            It is probable that the Allegation will be reported publicly.

6.1.3.5.            There is reasonable indication of possible criminal violation.

6.2.      Inquiry Phase (federal or state funding)

6.2.1.   Purpose (federal or state funding)
After review by the VPR and a determination that an Inquiry is warranted, the VPR will initiate an Inquiry. In the Inquiry phase, factual information will be gathered and expeditiously reviewed to determine whether or not a further investigation of the charge (Investigation phase) is warranted. The Inquiry phase is designed to separate Allegations deserving of further investigation from frivolous, malicious, unjustified, or clearly mistaken Allegations.

6.2.2.   Process and Structure (federal or state funding)

6.2.2.1.            After a decision has been made to proceed with an Inquiry, the VPR will appoint an Inquirer. The Inquirer 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.

6.2.2.2.            The VPR will provide the Inquirer and the Respondent with copies of all relevant documents. During the Inquiry, the VPR and the Inquirer will be responsible for maintaining the confidentiality of the information obtained and the security of relevant documents. After the resolution of the Allegation of Misconduct in Research or Scholarship, originals of all documents and related communications are to be securely maintained in the Office of the VPR pursuant to the University’s records retention schedule.

6.2.2.3.            Responsibilities of the Inquirer:

6.2.2.3.1.         Records of the Inquiry are to be stored securely throughout the Inquiry and, at the end of the Inquiry, transferred to the VPR.

6.2.2.3.2.         If there is a need for interviews, the interviews must be recorded and, upon request, made available to involved parties after the completion of the Disposition Phase.

6.2.2.3.3.         Information, expert opinions, records, and other pertinent data may be requested by the Inquirer. All involved individuals are expected to cooperate with the Inquirer by supplying such requested documents and information.

6.2.2.3.4.         The Inquiry phase will be completed within 60 Days of its initiation.  If the Inquirer determines that circumstances clearly warrant an extension of time, a request for such an extension must be forwarded to the VPR.  If the VPR grants the request, the Inquirer will notify all relevant parties of the extension. The record of the Inquiry will include the rationale for exceeding the 60 Day period.

6.2.2.3.5.         As the Inquiry is intended to be expeditious, individuals are expected to speak for themselves, but may be accompanied by an Advisor.  If any individual chooses to bring Counsel, the University’s Office of General Counsel must be notified in advance and must be present during the meeting.

6.2.3.   Findings (federal or state funding)

6.2.3.1.            The completion of an Inquiry is marked by a determination of whether or not an Investigation is warranted. The report of the Inquirer will be conveyed in writing to the VPR who will be responsible for communicating the findings to the Respondent and the Complainant within 10 Days of receipt of the report in writing, by certified mail, return receipt requested. The report of the Inquirer shall specify the information that was reviewed, summarize relevant interviews, and include the conclusions of the Inquiry. The Inquirer will make a recommendation to the VPR as to whether an Investigation is warranted.  The Inquirer shall not recommend that an Investigation occur unless he/she concludes, based on the sufficient information for each Allegation, that the Allegation justifies an Investigation. The Respondent shall be given the opportunity to comment in writing (Memo #2) upon the findings and recommendations of the Inquirer. If the Respondent chooses to comment, such comments shall be forwarded to the VPR as soon as possible but no later than 20 Days from the date of notification of the findings by the VPR. The Respondent’s comments will become part of the Inquiry record.  Within the earlier of 30 Days of delivering the report of the Inquirer to the Respondent and Complainant, the VPR will determine whether to proceed with an Investigation.

6.2.3.2.            If the VPR determines that an Investigation is unnecessary, the VPR will proceed to the Disposition Phase under section 6.4.

6.2.3.3.            If the VPR determines that an Investigation should be conducted, the VPR (after notification to the appropriate Dean(s), the VPAA, the Research Integrity Officer and the University’s Office of General Counsel), will initiate the Investigation phase. The VPR, through the Research Integrity Officer for the University, must notify any sponsoring agency or funding source, including the Office of Research Integrity at a time prior to the initiation of an Investigation. Factors to be considered in determining the timing of such notification to the sponsoring agency or funding source include the following:

6.2.3.3.1.         There is an immediate health hazard involved.

6.2.3.3.2.         There is an immediate need to protect federal or state funds or equipment.

6.2.3.3.3.         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.

6.2.3.3.4.         It is probable that the alleged incident will be reported publicly.

6.2.3.3.5.         There is reasonable indication of possible criminal violation.

6.2.4.   Information Outside the Inquiry

If, in the course of its Inquiry, the Inquirer finds something that should be reviewed or changed which does not relate to the Inquiry, the Inquirer may send a separate letter to the individual who has the authority to act on the information. This information should not be contained in the official Inquirer report nor should it reveal the subject matter of the Investigation or the parties involved.

6.3.      Investigative Phase (federal or state funding)

6.3.1.   Purpose (federal or state funding)
An Investigation will be initiated when VPR determines that one is necessary. The purpose of the Investigation is to explore further the Allegations and determine whether Misconduct in Research or Scholarship has occurred. The Investigation will focus on Allegations of Misconduct in Research or Scholarship and examine the factual materials of each case.

6.3.2.   Process and Structure (federal or state funding)

6.3.2.1.            After making a decision to proceed with an Investigation, the VPR will consult with the Chair of the University Senate to appoint a CoI. No member of the CoI may have a 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.  However, if the Respondent is someone other than a faculty member of the University, one of these two members of the CoI must have a position with the University similar to that of the Respondent. The third member may be appointed from outside the University of North Dakota community if, in the judgment of the VPR, 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. The Inquirer may not serve on the CoI. Appointment of a CoI should be made within 20 Days following the decision by the VPR to proceed with an Investigation.

6.3.2.2.            Before the CoI is convened, the VPR shall notify (Memo #3) all parties in writing of the Allegations and of the procedures that will be used to examine the Allegations. Further, the parties will be informed of the proposed membership of the CoI for the purpose of identifying, in advance, any real or potential conflicts of interest.

6.3.2.3.            At its first meeting, the CoI will elect a chairperson to handle procedural and administrative matters. All CoI members will be voting members.

6.3.2.4.            Copies of all pertinent documents in the possession of the VPR will be provided by the VPR to the CoI and the Respondent in advance of scheduled meetings. The CoI proceedings must be recorded and, upon request, made available to the involved parties, but only after the completion of the Disposition phase.

6.3.2.5.            Every effort shall be made to complete the Investigation within 120 Days.  If the CoI determines that circumstances clearly warrant an extension of time, a request for such an extension must be forwarded to the VPR.  If the VPR grants the request, the CoI will notify all relevant parties of the extension. The record of the Inquiry will include the rationale for exceeding the 120 Day period.

6.3.2.6.            As related to the Investigation, the VPR, through the Research Integrity Officer, shall convey to any affected funding agency such information as may be required by the funding agency, and shall keep the funding agency up to date at intervals as required by the agency.

6.3.2.7.            Individuals involved may have an Advisor accompany them to the meeting with the CoI. The Advisor may not present to the CoI.  If any individual chooses to bring Counsel, the University’s Office of General Counsel must be notified in advance and must be present during the meeting.

6.3.2.8.            The Investigation normally will include examination of all documentation, including but not necessarily limited to relevant funding information, research data and proposals, publications, correspondence, and information the CoI feels pertains to the issue. The CoI 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 recorded interviews will be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file. Additional interviews may be held, and the CoI may request the involvement of outside experts. The Investigation must be sufficiently thorough to permit the CoI to reach a decision about the validity of the Allegation and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result.

6.3.2.9.            All parties in the Investigation will cooperate by producing any additional data requested. Copies of all materials secured by the CoI shall be provided to the Respondent.

6.3.2.10.          The Respondent shall have an opportunity to address the charges and information in detail during the interview and in writing at the end of the process.

6.3.2.11.          After all information has been received and the fact-finding interviews have been completed, the CoI shall deliberate and prepare its findings. The CoI shall find no Misconduct in Research or Scholarship unless a majority of the members conclude beyond a reasonable doubt that the Allegation has been substantiated. A minority report can be written.

6.3.2.12.          All significant developments during the Investigation, as well as the findings of the CoI, will be reported by the VPR to any affected research sponsor, if appropriate.

6.3.3.   Findings (federal or state funding)

6.3.3.1.            Upon completion of the Investigation, the CoI will submit a draft report to the Respondent by certified mail, return receipt requested. The Respondent shall be given the opportunity to comment in writing (Memo #4) upon the findings and recommendations of the CoI. If the Respondent chooses to comment, such comments shall be forwarded as soon as possible but no later than 20 Days from the date of receipt of the draft report.  The Respondent’s comments will be taken into consideration when completing the report. The CoI will then submit the final report to the VPR, which details the CoI’s findings.

6.3.3.2.            The final CoI report must be in writing and include:

6.3.3.2.1.         Allegations. Describe the nature of the initial Allegation of Misconduct in Research or Scholarship;

6.3.3.2.2.         Federal or state support. Describe and document federal or state support including, for example, any grant numbers, grant applications, contracts and publications listing federal or state support;

6.3.3.2.3.         Institutional charge. Describe the specific Allegations of Misconduct in Research or Scholarship that were considered in the Investigation;

6.3.3.2.4.         Policies and procedures. If not already provided to Office of Research Integrity with the Inquiry report, the institutional policies and procedures under which the Investigation was conducted;

6.3.3.2.5.         Research records and information. Identify and summarize the research records and information reviewed, and identify any information taken into custody but not reviewed;

6.3.3.2.6.         Statement of findings. For each separate Allegation of Misconduct in Research or Scholarship identified during the Investigation, provide a finding as to whether Misconduct in Research or Scholarship did or did not occur and for each instance of Misconduct in Research or Scholarship that did occur:

6.3.3.2.6.1.      Identify the person(s) responsible for the Misconduct in Research or Scholarship;

6.3.3.2.6.2.      Identify whether the Misconduct in Research or Scholarship was falsification, fabrication, and/or plagiarism, and if it was, intentional, knowing, or in reckless disregard;

6.3.3.2.6.3.      Summarize the facts and the analysis of information which support the conclusion of the CoI, considering the merits of any reasonable explanations by the Respondent or other individuals who provided information;

6.3.3.2.6.4.      Identify the specific federal or state support;

6.3.3.2.6.5.      Identify whether any publications need to be corrected or retracted; and

6.3.3.2.6.6.      List any current support or known applications or proposals for support that the Respondent has pending with all federal or state agencies.

6.3.3.2.7.         Comments. Include and consider any comments made by the Respondent and Complainant on the draft Investigation report.

6.3.3.3.            Upon request, the CoI will maintain and provide to the Office of Research Integrity (or other federal or state agencies) all relevant research records and records of the institution’s Misconduct in Research or Scholarship proceeding, including results of all interviews and the transcripts of recordings of such interviews.

6.3.3.4.            After the resolution of the Allegation of Misconduct in Research or Scholarship, including any Office of Research Integrity proceedings involving the Allegations of Misconduct in Research or Scholarship, all records will be maintained in the office of the VPR by the Research Integrity Officer pursuant to the University’s records retention schedule.

6.3.4.   Information Outside the Investigation

If, in the course of its Investigation, the CoI finds something that should be reviewed or changed which does not relate to the Investigation, the CoI may send a separate letter to the individual who has the authority to act on the information. This information should not be contained in the official CoI report nor should it reveal the subject matter of the Investigation or the parties involved.

6.4.      Disposition Phase (federal or state funding)

The VPR shall consider the recommendations of the Inquirer or the CoI and shall be responsible for determining and implementing any sanctions.  The evaluation has two possible designated outcomes:

6.4.1.   If No Misconduct in Research or Scholarship is Found (federal or state funding)

Within 10 Days of receipt of the Inquirer’s or the CoI report, the VPR shall furnish the report to the Respondent with the VPR’s decision.  The VPR shall inform the Respondent, Complainant, and the appropriate Dean that Allegations of Misconduct in Research or Scholarship were not supported. The VPR, through the Research Integrity Officer, shall inform all federal or state agencies, sponsors, or other external entities initially informed of the Investigation, that the Allegations of Misconduct in Research or Scholarship were not supported. In determining whether to publicize the findings of no Misconduct in Research or Scholarship, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. The Respondent’s wishes will be taken into consideration when making publicity decisions.  If the Allegations are deemed to have been maliciously motivated, the Inquirer or CoI will report those findings to the VPR and a decision will be made whether to treat that finding as an Allegation of Misconduct in Research or Scholarship against the Complainant.

6.4.2.   If Misconduct in Research or Scholarship is Found (federal or state funding)

6.4.2.1.            Within 10 Days of receipt of the report from the Inquirer or the CoI, the VPR shall notify the Respondent and the President, in writing, of the recommended sanctions, if any. A copy of the report will accompany the VPR’s decision.

6.4.2.2.            The University must impose sanctions that are appropriate to the seriousness of the Misconduct in Research or Scholarship, including, but not limited to, one or more of the following:

6.4.2.2.1.         Letter of reprimand in file.

6.4.2.2.2.         Removal from particular project.

6.4.2.2.3.         Special monitoring of future work.

6.4.2.2.4.         Letter of reprimand with public notice.

6.4.2.2.5.         Probation for a specified period with conditions.

6.4.2.2.6.         Suspension of rights and responsibilities for a specified period, with or without salary.

6.4.2.2.7.         Financial restitution.

6.4.2.2.8.         Termination of employment/enrollment.

6.4.2.3.            If the sanctions involve a recommendation for termination of employment, the Respondent may use any applicable termination procedures.

6.4.2.4.            The VPR, through the Research Integrity Officer, is responsible for notification of all federal or state agencies, sponsors or other entities initially informed of the Investigation’s outcome. Consideration should be given to formal notification of:

6.4.2.4.1.         Sponsoring agencies, funding sources.

6.4.2.4.2.         Co-authors, co-investigators, collaborators, departments.

6.4.2.4.3.         Editors of journals in which fraudulent research was published.

6.4.2.4.4.         State professional licensing boards.

6.4.2.4.5.         Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated.

6.4.2.4.6.         Professional societies.

6.4.3.   Appeal (federal or state funding)

6.4.3.1.            Respondents who are members of the faculty of the University may appeal the sanctions to the Standing Committee on Faculty Rights (SCFR).

6.4.3.1.1.         Under section 605.3(9) of the State Board of Higher Education(SBHE) Policies “If the administration determines that the conduct of a faculty member . . . provides reasonable cause for imposition of a sanction, the administration shall inform the faculty member in writing of the sanction and the reasons for the sanction.”  A faculty member may appeal to the SCFR” if the sanction is imposed without a [SCFR] hearing . . . .”  The faculty member may request a SCFR review by following the SBHE policy and the University’s implementation, both of which may be found in the University’s Faculty Handbook.

6.4.3.1.2.         If initiated, the review of imposed sanctions by SCFR concludes review under this Policy.

6.4.3.1.3.         If the finding of Misconduct in Research or Scholarship results in termination, Respondent may request a SCFR review of the decision to terminate by following the SBHE policy and the University’s implementation procedures, both of which may be found in the University’s Faculty Handbook.

6.4.3.2.            Respondents who are not members of the faculty of the University may appeal the sanctions using any applicable procedures available under state or University policies.

7.         PROCEDURES FOR DEALING WITH ALLEGATIONS OF MISCONDUCT IN RESEARCH OR SCHOLARSHIP (no federal or state funding)

7.1.      Pre-Inquiry Review (no federal or state funding)

7.1.1.   Initial review by the VPAA(no federal or state funding)
Within 20 Days of the receipt of an Allegation of Misconduct in Research or Scholarship, the VPAA shall conduct a pre-inquiry review of the Allegation and determine whether:

7.1.1.1.            the Allegation is within the purview of this Policy;

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

7.1.1.3.            the Allegation is outside the purview of the University;

7.1.1.4.            the Allegation is clearly without substance;

If an Inquiry is determined to be unwarranted, the VPAA shall prepare an internal memorandum-for-file including a statement of the Allegation and the rationale for not conducting an Inquiry.  After the resolution of the Allegation of Misconduct in Research or Scholarship, this memorandum shall be kept secure pursuant to the University’s records retention schedule. .A copy shall be given to the Respondent and Complainant.

If an Inquiry is determined to be warranted, the Inquiry process will be initiated.

7.1.2.   Notification of Respondent (no federal or state funding)
In the event the VPAA determines that an Inquiry is warranted, the VPAA, within 20 Days of receipt of an Allegation of Misconduct in Research or Scholarship, shall:

7.1.2.1.            notify (Memo #5) the Respondent, the University’s Office of General Counsel and the appropriate Dean(s) of the Allegation;

7.1.2.2.            notify all parties of the procedures that will be used to examine the Allegation; and

7.1.2.3.            notify all parties of the proposed Inquirer and ask all parties to identify any real or potential conflict of interest between the proposed Inquirer and the parties involved in the Allegation.

7.1.3.   Precautionary Actions.  As the University is responsible for protecting the health and safety of research subjects, students, and staff, interim administrative action prior to conclusion of the Inquiry and, if necessary, 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 VPR in collaboration with the VPAA. Sanctions that prevent the Respondent from fulfilling his/her obligations as an employee of the University shall not be imposed during the Inquiry or Investigation phases unless it is necessary to prevent harm to the Respondent or to others.  Factors to be considered in determining the timing of such actions include the following:

7.1.3.1.            There is an immediate health hazard involved.

7.1.3.2.            There is an immediate need to protect federal or state funds or equipment.

7.1.3.3.            There is an immediate need to protect the interests of the Complainant or Respondent as well as co-investigators and associates, if any.

7.1.3.4.            It is probable that the Allegation will be reported publicly.

7.1.3.5.            There is reasonable indication of possible criminal violation.

7.2.      Inquiry Phase (no federal or state funding)

7.2.1.   Purpose (no federal or state funding)
After review by the VPAA and a determination that an Inquiry is warranted, the VPAA will initiate an Inquiry. In the Inquiry phase, factual information will be gathered and expeditiously reviewed to determine whether or not a further investigation of the charge (Investigation phase) is warranted. The Inquiry phase is designed to separate Allegations deserving of further investigation from frivolous, malicious, unjustified, or clearly mistaken Allegations.

7.2.2.   Process and Structure (no federal or state funding)

7.2.2.1.            After a decision has been made to proceed with an Inquiry, the VPAA will appoint an Inquirer. The Inquirer 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.

7.2.2.2.            The VPAA will provide the Inquirer and the Respondent with copies of all relevant documents. During the Inquiry, the VPAA and the Inquirer will be responsible for maintaining the confidentiality of the information obtained and the security of relevant documents.  After the resolution of the Allegation of Misconduct in Research or Scholarship, originals of all documents and related communications are to be securely maintained in the Office of the VPAA pursuant to the University’s records retention schedule.

7.2.2.3.            Responsibilities of the Inquirer:

7.2.2.3.1.         Records of the Inquiry are to be stored securely throughout the Inquiry and, at the end of the Inquiry, transferred to the VPAA.  

7.2.2.3.2.         If there is a need for interviews, the interviews must be recorded and, upon request, made available to involved parties after the completion of the Disposition Phase.

7.2.2.3.3.         Information, expert opinions, records, and other pertinent data may be requested by the Inquirer. All involved individuals are expected to cooperate with the Inquirer by supplying such requested documents and information.

7.2.2.3.4.         The Inquiry phase will be completed within 60 Days of its initiation. If the Inquirer determines that circumstances clearly warrant an extension of time, a request for such an extension must be forwarded to the VPAA.  If the VPAA grants the request, the Inquirer will notify all relevant parties of the extension. The record of the Inquiry will include the rationale for exceeding the 60 Day period.

7.2.2.3.5.         As the Inquiry is intended to be expeditious, individuals are expected to speak for themselves but may be accompanied by an Advisor.  If any individual chooses to bring Counsel, the University’s Office of General Counsel must be notified in advance and must be present during the meeting.

7.2.3.   Findings (no federal or state funding)

7.2.3.1.            The completion of an Inquiry is marked by a determination of whether or not an Investigation is warranted. The report of the Inquirer will be conveyed in writing to the VPAA who will be responsible for communicating the findings to the Respondent and the Complainant within 10 Days of receipt of the report, in writing, by certified mail, return receipt requested. The report of the Inquirer shall specify the information that was reviewed, summarize relevant interviews, and include the conclusions of the Inquiry. The Inquirer will make a recommendation to the VPAA as to whether an Investigation is warranted.  The Inquirer shall not recommend that an Investigation occur unless he/she concludes, based on the sufficient information for each Allegation, that the Allegation justifies an Investigation. The Respondent shall be given the opportunity to comment in writing (Memo #6) upon the findings and recommendations of the Inquirer. If the Respondent chooses to comment, such comments shall be forwarded as soon as possible but no later than 20 Days from the date of notification of the findings by the VPAA. The Respondent’s comments will become part of the Inquiry record.  Within the earlier of 30 Days of delivering the report of the Inquirer to the Respondent and Complainant, the VPAA will determine whether to proceed with an Investigation.

7.2.3.2.            If the VPR determines that an Investigation is unnecessary, the VPR will proceed to the Disposition Phase under section 6.4.

7.2.3.3.            If the VPAA determines that an Investigation should be conducted, the VPAA (after notification to the appropriate Dean(s), the VPR, and the University’s Office of General Counsel), will initiate the Investigation phase.

7.2.4.   Information Outside the Inquiry

If, in the course of its Inquiry, the Inquirer finds something that should be reviewed or changed which does not relate to the Inquiry, the Inquirer may send a separate letter to the individual who has the authority to act on the information. This information should not be contained in the official Inquirer report nor should it reveal the subject matter of the Investigation or the parties involved.

7.3.      Investigative Phase (no federal or state funding)

7.3.1.   Purpose (no federal or state funding)
An Investigation will be initiated when the VPAA determines that one is necessary. The purpose of the Investigation is to explore further the Allegations and determine whether Misconduct in Research or Scholarship has occurred. The Investigation will focus on Allegations of Misconduct in Research or Scholarship and examine the factual materials of each case.

7.3.2.   Process and Structure (no federal or state funding)

7.3.2.1.            After making a decision to proceed with an Investigation, the VPAA will consult with the Chair of the University Senate to appoint a CoI. No member of the CoI may have a 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.  However, if the Respondent is someone other than a faculty member of the University, one of these two members of the CoI must have a position with the University similar to that of the Respondent. The third member may be appointed from outside the University of North Dakota community if, in the judgment of the VPAA, 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. The Inquirer may not serve on the CoI. Appointment of a CoI should be made within 20 Days following the decision by the VPAA to proceed with an Investigation.

7.3.2.2.            Before the CoI is convened, the VPAA shall notify (Memo #7) all parties in writing of the Allegations and of the procedures that will be used to examine the Allegations. Further, the parties will be informed of the proposed membership of the CoI for the purpose of identifying, in advance, any real or potential conflicts of interest.

7.3.2.3.            At its first meeting, the CoI will elect a chairperson to handle procedural and administrative matters. All CoI members will be voting members.

7.3.2.4.            Copies of all pertinent documents in the possession of the VPAA will be provided by the VPAA to the CoI and the Respondent in advance of scheduled meetings. The CoI proceedings must be recorded and, upon request, made available to the involved parties, but only after the completion of the Disposition phase.

7.3.2.5.            Every effort shall be made to complete the Investigation within 120 Days.  If the CoI determines that circumstances clearly warrant an extension of time, a request for such an extension must be forwarded to the VPAA.  If the VPAA grants the request, the CoI will notify all relevant parties of the extension. The record of the Inquiry will include the rationale for exceeding the 120 Day period.

7.3.2.6.            Individuals involved may have an Advisor accompany them to the meeting with the CoI. The Advisor may not present to the CoI.  If any individual chooses to bring Counsel, the University’s Office of General Counsel must be notified in advance and must be present during the meeting.

7.3.2.7.            The Investigation normally will include examination of all documentation, including but not necessarily limited to relevant research data and proposals, publications, correspondence, and information the CoI feels pertains to the issue. The CoI 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 recorded interviews will be prepared, provided to the interviewed party for comment or revision, and included as part of the investigatory file. Additional interviews may be held, and the CoI may request the involvement of outside experts. The Investigation must be sufficiently thorough to permit the CoI to reach a decision about the validity of the Allegation and the scope of the wrongdoing or to be sure that further investigation is not likely to alter an inconclusive result.

7.3.2.8.            All parties in the Investigation will cooperate by producing any additional data requested. Copies of all materials secured by the CoI shall be provided to the Respondent.

7.3.2.9.            The Respondent shall have an opportunity to address the charges and information in detail during the interview and in writing at the end of the process.

7.3.2.10.          After all information has been received and the fact-finding interviews have been completed, the CoI shall deliberate and prepare its findings. The CoI shall find no Misconduct in Research or Scholarship unless a majority of the members conclude beyond a reasonable doubt that the Allegation has been substantiated. A minority report can be written.

7.3.3.   Findings (no federal or state funding)

7.3.3.1.            Upon completion of the Investigation, the CoI will submit a draft report to the Respondent by certified mail, return receipt requested. The Respondent shall be given the opportunity to comment in writing (Memo #8) upon the findings and recommendations of the CoI. If the Respondent chooses to comment, such comments shall be forwarded as soon as possible but no later than 20 Days from the date of receipt of the draft report. The Respondent’s comments will be taken into consideration when completing the report. The CoI will then submit the final report to the VPAA, which details the CoI’s findings.

7.3.3.2.            The final CoI report must be in writing and include:

7.3.3.2.1.         Allegations. Describe the nature of the initial Allegation of Misconduct in Research or Scholarship;

7.3.3.2.2.         Institutional charge. Describe the specific Allegations of Misconduct in Research or Scholarship that were considered in the Investigation;

7.3.3.2.3.         Research records and information. Identify and summarize the research records and information reviewed, and identify any information taken into custody but not reviewed;

7.3.3.2.4.         Policies and procedures. If not already provided with the Inquiry report, the institutional policies and procedures under which the Investigation was conducted;

7.3.3.2.5.         Statement of findings. For each separate Allegation of Misconduct in Research or Scholarship identified during the Investigation, provide a finding as to whether Misconduct in Research or Scholarship did or did not occur and for each instance of Misconduct in Research or Scholarship that did occur:

7.3.3.2.5.1.      Identify the person(s) responsible for the Misconduct in Research or Scholarship;

7.3.3.2.5.2.      Identify whether the Misconduct in Research or Scholarship was falsification, fabrication, and/or plagiarism, and if it was, intentional, knowing, or in reckless disregard;

7.3.3.2.5.3.      Summarize the facts and the analysis of information which support the conclusion of the CoI, considering the merits of any reasonable explanations by the Respondent or other individuals who provided information;

7.3.3.2.5.4.      Identify whether any publications need to be corrected or retracted; and

7.3.3.2.5.5.      List any current support or known applications or proposals for support that the Respondent has pending with all federal or state agencies.

7.3.3.2.6.         Comments. Include and consider any comments made by the Respondent and Complainant on the draft Investigation report.

7.3.3.3.            After the resolution of the Allegation of Misconduct in Research or Scholarship, all records of any proceedings will be maintained in the office of the VPAA pursuant to the University’s records retention schedule.

7.3.4.   Information Outside the Investigation

If, in the course of its Investigation, the CoI finds something that should be reviewed or changed which does not relate to the Investigation, the CoI may send a separate letter to the individual who has the authority to act on the information. This information should not be contained in the official CoI report nor should it reveal the subject matter of the Investigation or the parties involved.

7.4.      Disposition Phase (no federal or state funding)

The VPAA shall consider the recommendations of the Inquirer or the CoI and shall be responsible for determining and implementing any sanctions.  The evaluation has two possible designated outcomes:

7.4.1.   If No Misconduct in Research or Scholarship is Found (no federal or state funding)

Within 10 Days of receipt of the Inquirer’s or the CoI report, the VPAA shall furnish the report to the Respondent with the VPAA’s decision. The VPAA shall inform the Respondent, Complainant, and the appropriate Dean that Allegations of Misconduct in Research or Scholarship were not supported In determining whether to publicize the findings of no Misconduct in Research or Scholarship, the University will be guided by whether public announcements will be harmful or beneficial in restoring any reputation(s) that may have been damaged. The Respondent’s wishes will be taken into consideration when making publicity decisions.  If the Allegations are deemed to have been maliciously motivated, the Inquirer or the CoI will report those findings to the VPR and a decision will be made whether to treat that finding as an Allegation of Misconduct in Research or Scholarship against the Complainant.

7.4.2.   If Misconduct in Research or Scholarship is Found (no federal or state funding)

7.4.2.1.            Within 10 Days of receipt of the report from the Inquirer or the CoI, the VPAA shall notify the Respondent and the President, in writing, of the recommended sanctions, if any. A copy of the report will accompany the VPAA’s decision.

7.4.2.2.            The University must impose sanctions that are appropriate to the seriousness of the Misconduct in Research or Scholarship, including, but not limited to, one or more of the following:

7.4.2.2.1.         Letter of reprimand in file.

7.4.2.2.2.         Removal from particular project.

7.4.2.2.3.         Special monitoring of future work.

7.4.2.2.4.         Letter of reprimand with public notice.

7.4.2.2.5.         Probation for a specified period with conditions.

7.4.2.2.6.         Suspension of rights and responsibilities for a specified period, with or without salary.

7.4.2.2.7.         Financial restitution.

7.4.2.2.8.         Termination of employment/enrollment.

7.4.2.3.            If the sanctions involve a recommendation for termination of employment, the Respondent may use any applicable termination procedures.

7.4.2.4.            The VPAA is responsible for notification of all entities initially informed of the Investigation’s outcome. Consideration should be given to formal notification of:

7.4.2.4.1.         Sponsoring agencies, funding sources.

7.4.2.4.2.         Co-authors, co-investigators, collaborators, departments.

7.4.2.4.3.         Editors of journals in which fraudulent research was published.

7.4.2.4.4.         State professional licensing boards.

7.4.2.4.5.         Editors of journals or other publications, other institutions, sponsoring agencies, and funding sources with which the individual has been affiliated.

7.4.2.4.6.         Professional societies.

7.4.3.   Appeal (no federal or state funding)

7.4.3.1.            Respondents who are members of the faculty of the University may appeal the sanctions to the Standing Committee on Faculty Rights (SCFR).

7.4.3.1.1.         Under section 605.3(9) of the State Board of Higher Education(SBHE) Policies: “If the administration determines that the conduct of a faculty member . . . provides reasonable cause for imposition of a sanction, the administration shall inform the faculty member in writing of the sanction and the reasons for the sanction.”  A faculty member may appeal to the SCFR” if the sanction is imposed without a [SCFR] hearing . . . .” The faculty member may request a SCFR review by following the SBHE policy and the University’s implementation, both of which may be found in the University’s Faculty Handbook.

7.4.3.1.2.         If initiated, the review of imposed sanctions by SCFR concludes review under this Policy.

7.4.3.1.3.         If the finding of Misconduct in Research or Scholarship results in termination, Respondent may request a SCFR review of the decision to terminate by following the SBHE policy and the University’s implementation procedures, both of which may be found in the University’s Faculty Handbook.

7.4.3.2.            Respondents who are not members of the faculty of the University may appeal the sanctions using any applicable procedures available under state or University policies.

Memo #1
Sent Certified Mail
Return Receipt Requested
To: ___________________ (Respondent(s))
Cc: ___________________ (Complainant)
___________________ (proposed Inquirer)
From: Vice President for Research and Economic Development
Date: _______________
Re: Notification of Inquiry into Professional Misconduct
This is to inform you that I have completed a Pre-Inquiry review of Allegations of professional misconduct brought against you by ___________________, and that I have determined that further inquiry into the Allegations is warranted.
The next step in the process (see section ____ of the University of North Dakota Faculty Handbook) is the Inquiry Phase during which factual information will be gathered and expeditiously reviewed to determine whether a further inquiry of the charge is warranted. The Inquiry Phase is designed to separate Allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken Allegations.
I intend to appoint ______________________ to conduct an Inquiry.  Within five working days of the date of this memo, everyone should inform me whether or not any real or potential conflict of interest exists between the proposed individual conducting the Inquiry and the parties involved in the Allegation.  If I receive no notice of conflict of interest, the individual conducting the Inquiry, the Inquirer, will have 60 working days to complete the Inquiry, unless circumstances clearly warrant a longer period.  This is a paper review based on the documentation received by the Vice President and responses to questions submitted by the Inquirer to either the Complainant or Respondent for clarification.  After review of all of the documentation including the written responses from the Complainant and Respondent, a determination may be made that follow-up interviews with the Complainant or Respondent may be necessary to complete the Inquiry.  If the Inquirer determines that an interview is necessary, principals are expected to speak for themselves but may be accompanied by an Advisor..  In case the issue is determined to need further review, do not bring an individual as an advisor who has knowledge of the issues and with whom you may want a Committee of Investigation to speak.
If you have any questions about the process, please refer to the following documents that are guiding the Inquiry:
UND Faculty Handbook, § ____ Ethical Conduct in Research, Scholarship and Creative Activity 
Office of Research Integrity, US Department of Health and Human Services
Thank you for your attention to this matter.

Memo #2
Sent Certified Mail
Return Receipt Requested
To: _________________ (Respondent)
From: Vice President for Research and Economic Development
Date: _____________
Re: Inquiry into Professional Misconduct

The Inquiry concerning Allegations of professional misconduct against you has been completed.  Enclosed please find the report.  Pursuant to the section 6.2.3.1 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, you have the opportunity to provide written comment on the findings and recommendations of the enclosed report. Your comments will become part of the record.  Please send me your written comments, if any, within 20 working days from the date of this memorandum.
Thank you for your attention to this matter.

Enclosure
 

Memo #3
Sent Certified Mail
Return Receipt Requested

To: ___________________ (Respondent)
Cc: ___________________ (Complainant)
___________________ (Dean)
___________________ (VPAA/Provost)
___________________ (proposed Committee of Investigation)
From: Vice President for Research and Economic Development
Date: _______________
Re: Notification of Investigation into Professional Misconduct
This is to inform you that I concur with the findings of the Inquiry that an investigation into your professional misconduct is warranted.  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 course of the Investigation, additional information may emerge that justifies broadening the scope of the Investigation beyond the initial Allegations.  You will be informed in writing if significant new directions for investigation are undertaken.
I intend to appoint _____, _________, and ________ to serve on the Committee of Investigation.  Within five working days of the date of this memo, please inform me as to whether or not you have any real or potential conflict of interest between the proposed Committee of Investigation and you.  Pursuant to section 6.3.2.5 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, the Committee of Investigation will have 120 working days to complete its Investigation, unless the Committee determines that circumstances clearly warrant a longer period.  You may bring an advisor or counsel; he or she may not speak with the Committee.  Do not bring an individual as advisor who has knowledge of the issue and with whom you would like the Committee to speak.
If you have any questions about the process, please refer to the following documents that are guiding the inquiry:
UND Faculty Handbook, § ____  Ethical Conduct in Research, Scholarship and Creative Activity
Office of Research Integrity, US Department of Health and Human Services
Thank you for your attention to this matter. 

Memo #4
Sent Certified Mail
Return Receipt Requested
To: _________________ (Respondent)
From: ________________, Chair, Committee of Investigation
Date: _____________
Re: Investigation into Professional Misconduct

The Committee on Investigation has completed the investigation into the Allegation of professional misconduct against you.  Enclosed please find the draft report.  Pursuant to section 6.3.3.1 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, you have the opportunity to provide written comment on the findings and recommendations of the enclosed report.  Please send me your written comments, if any, within 20 working days from the date of this memorandum. Your comments will be taken into consideration when finalizing the report.
Thank you for your attention to this matter.

Enclosure

Memo #5
Sent Certified Mail
Return Receipt Requested

To: ___________________ (Respondent)
Cc: ___________________ (Complainant)
___________________ (proposed Inquirer)
From: _________________, Provost and Vice President for Academic Affairs
Date: _______________
Re: Notification of Inquiry into Professional Misconduct
This is to inform you that I have completed a Pre-Inquiry review of Allegations of professional misconduct brought against you by ______________ and that I have determined that further inquiry into the Allegations is warranted.
The next step in the process (see section ______ of the University of North Dakota Faculty Handbook) is the Inquiry Phase during which factual information will be gathered and expeditiously reviewed to determine whether a further inquiry of the charge is warranted. The Inquiry Phase is designed to separate Allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken Allegations.
I intend to appoint ______________________ to conduct an Inquiry.  Within five working days of receipt of this memo, please inform me as to whether or not you have any real or potential conflict of interest between the proposed individual conducting the Inquiry and the parties involved in the Allegation.  If I receive no notice of conflict of interest, the individual conducting the Inquiry, the Inquirer will have 60 working days to complete his/her Inquiry, unless the Inquirer determines that circumstances clearly warrant a longer period.  This is a paper review based on the documentation received by the Vice President and questions submitted by the Inquirer to either the Complainant or Respondent for clarification.  After review of all of the documentation including the written responses from the Complainant and Respondent, a determination may be made that follow-up interviews with the Complainant or Respondent may be necessary to complete the Inquiry.  If the Inquirer determines that an interview is necessary, principals are expected to speak for themselves but may be accompanied by Advisor.  In case the issue is determined to need further review, do not bring an individual as an advisor who has knowledge of the issues and with whom you may want a Committee of Investigation to speak.
If you have any questions about the process, please refer to the following documents that are guiding the Inquiry:
UND Faculty Handbook, § ______ Ethical Conduct in Research, Scholarship and Creative Activity

Thank you for your attention to this matter. 
 

Memo #6
Sent Certified Mail
Return Receipt Requested
To: _________________ (Respondent)
From: ________________, Provost & Vice President for Academic Affairs
Date: _____________
Re: Inquiry into Professional Misconduct

The Inquirer has completed the inquiry into the Allegation of professional misconduct against you.  Enclosed please find the report.  Pursuant to the section 7.2.3.1 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, you have the opportunity to provide written comment on the findings and recommendations of the enclosed report.  Your comments will become part of the record.  Please send me your written comments, if any, within 20 working days of the date of this memorandum.
Thank you for your attention to this matter.

Enclosure

Memo #7
Sent Certified Mail
Return Receipt Requested

To: ___________________ (Respondent)
Cc: ___________________ (Complainant)
___________________ (Dean)
___________________ (proposed Committee of Investigation)
From: ________________, Provost & Vice President of Academic Affairs
Date: _______________
Re: Notification of Investigation into Professional Misconduct
This is to inform you that I concur with the findings of the Inquirer that an investigation into your professional misconduct is warranted.  The purpose of Investigation is to explore further the Allegations and determine whether misconduct in research, scholarship, and creative activity has been committed.  The Investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case.  In the course of the Investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial Allegations.  You will be informed in writing if significant new directions for investigation are undertaken.
I intend to appoint _____, _________, and ________ to serve on the Committee of Investigation. Within five working days of the date of this memo, please inform me as to whether or not you have any real or potential conflict of interest between the proposed Committee of Investigation and you.  Pursuant to section 7.3.2.5 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, the Committee of Investigation will have 120 working days to complete its Investigation, unless the Committee determines that circumstances clearly warrant a longer period.  You may bring an advisor who may counsel you; he or she may not speak with the Committee.  Do not bring an individual as advisor who has knowledge of the issue and with whom you would like the Committee to speak.
If you have any questions about the process, please refer to the following documents that are guiding the inquiry:
UND Faculty Handbook, § ____ Ethical Conduct in Research, Scholarship and Creative Activity 

Memo #8

Sent Certified Mail
Return Receipt Requested

To: _________________ (Respondent)
From: ________________, Chair, Committee of Investigation
Date: _____________
Re: Investigation into Professional Misconduct

The Committee of Investigation has completed the investigation into the Allegation of professional misconduct against you.  Enclosed please find the draft report.  Pursuant to the section 7.3.3.1 of the Ethical Conduct in Research, Scholarship, and Creative Activity policy, you have the opportunity to provide written comment on the findings and recommendations of the enclosed report.  Please send me your written comments, if any, within 20 working days from the date of this memorandum.  Your comments will be taken into consideration when finalizing the report.
Thank you for your attention to this matter.
Enclosure

Approved by UND Senate,3/11/11

Approved by President Kelley, 3/28/11

The following have been approved providing funds are required and available:

1. Annuities

State Board of Higher Education Policy Manual, 6-08-84 , 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, 6-08-84 , Section 704.4

3. Developmental Leave

State Board of Higher Education Policy Manual, 3-30-01 , Section 701.2

4. Sharing of income from patents

State Board of Higher Education Policy Manual, 6-20-02 , 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, 6-08-84 , 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, 1-20-94 , 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, 6-08-84 , Section 704.3

8. UND supported group life insurance

9. Workers' Compensation

State Board of Higher Education Policy Manual, 5-11-84 , Section 704.1

10. Total Disability Benefits Insurance

State Board of Higher Education Board Minutes, 5-21&22-87

11. Severance Pay

State Board of Higher Education Policy Manual, 03-30-01 , Section 707

12. Employee Assistance Program

Human Resources, 12-02-02

7.1  UND Salary Administration Policy for Faculty Employees

I.          Objectives

The primary purpose of the salary administration policy at the University of North Dakota is to complement the stated goals of the University by attracting and retaining well-qualified faculty employees.  When possible, the University will be responsive to market influences with consideration for internal equity.  The policy also ensures that salary adjustment decisions are made as fairly as possible and communicated effectively to faculty.

II.        Definitions
                       
            Merit means a salary adjustment made solely in recognition of work performance which is superior and consistently exceeds performance standards documented through an established review process. Salary adjustments based on performance are considered only during the annual budget process.

            Market means a salary adjustment to reduce or eliminate an external pay rate disparity using North Dakota University System and/or UND recognized market data.
           
            Equity means a salary adjustment to reduce or eliminate an internal pay rate disparity.

            Promotion means a salary adjustment in recognition of a change in rank. .

            Temporary means a salary adjustment for a short period of time while an employee serves in an interim position or is assigned additional duties on a temporary basis.

            Regular contract salaryis the salary compensation specified for the 9-, 10-, 11-, or 12-month period in the academic contract of employment.

III.       Procedures

A.        Hiring Rates.

Faculty employees are hired comparative to the market level for the position.  Consideration may be given to substantial, directly related experience and internal equity. This applies to all new hires, transfers and rehires.

B.        Annual Budget Salary Adjustments

Decisions concerning all salary adjustments must be implemented in accordance with legislative, SBHE, and university requirements.

The President’s Office provides any relevant legislative or SBHE directives regarding salary adjustments after consultation with the NDUS office staff and the Chancellor’s Cabinet.

The President and Vice Presidents determine priority needs of the University and establish guidelines for salary allocations, based on information from sources such as deans, directors, department heads, and other individuals and groups.  The guidelines provide for the adjustment(s) and the level of any other allowable adjustments as defined above.

Each dean, department head or administrator responsible for making individual salary determinations will follow the approved guidelines and include documentation for merit, market, or equity adjustments.

Recommendations of the dean, department head, or administrator will be reviewed by the appropriate vice president and/or president for final approval.

All faculty receiving an annual salary adjustment must have completed the mandatory on-line harassment training. 

Current performance evaluations must be on file consistent with SBHE and institutional policy.

Any July 1 salary adjustments that were not included or were incorrect in the Budget Application are processed by using a Job Data Change Form.

C.        Other Salary Adjustments.

Under certain circumstances, other salary adjustments may be made throughout the year with appropriate review and approval as indicated.  Within the School of Medicine & Health Sciences, approval is required from the Department Chair, the Vice President for Health Affairs, and the President.  Such salary adjustments are:

1.         Additional workload.  An increase to regular contract salary may be granted based on a documented additional workload as a result of major changes such as new programs or reorganization.  A Job Data Change form must be completed.  Signatures of approval are required from the Dean and the VPAA.

2.         Temporary Adjustment.  An adjustment may be given to a faculty member assigned additional duties on a temporary basis or serving in an interim position.  These duties would be within the individual’s 100% time commitment.  An Additional Pay form must be completed.  Signatures of approval are required from the Dean and the VPAA.

3.         Overload. An adjustment may be given to a faculty member for work performed on a temporary basis that is in addition to the individual’s regular departmental workload as defined by the respective chair and dean and in accordance with approved and published departmental and college/school policy.  Payment of overload assumes it is not possible to reduce the individual’s regular workload.  The overload pay must be on a temporary basis not to exceed one fiscal year and will not generally be greater than 20% of the individual’s regular contract salary.  Overload appointments may be renewed depending on circumstances with approval of the respective chair, dean, and VPAA.  Funding agency approval is required for all supplemental or overload pay on grant and contract funds.  An Additional Pay form must be completed.  Signatures of approval are required from the Dean and the VPAA.

4.         Internal Equity Adjustment.  An equity adjustment to regular contract salary is intended to reduce or eliminate documented institutional internal salary disparities which cannot be accounted for after an analysis and comparison of differences in the work assigned, individual qualifications, experience, years of service, and work performance.  Although uncommon and should be included in the annual budget process, these situations may arise at other times during the year.   Internal equity adjustment requests are made in consultation with the Offices of the Dean and the Provost/Vice President for Academic Affairs and are submitted with supportive documentation including a memorandum of justification and a Job Data Change form.  Signatures of approval are required from the Dean and the VPAA.

5.         Market Adjustment.  A market adjustment to regular contract salary is intended to reduce or eliminate a documented external salary inequity using North Dakota University System and/or UND recognized market data.  Although uncommon and should be included in the annual budget process, these situations may arise at other times during the year.  Market adjustment proposals must consider institutional internal equity and are made in consultation with the Offices of the Dean and Provost/Vice President for Academic Affairs.  Requests are submitted with supportive documentation including a memorandum of justification and a Job Data Change form.  Signatures of approval are required from the Dean and the VPAA.

6.         Summer Compensation.  Compensation from sponsored agreements for work performed from May 16-August 15 by 9-month appointees will be based on the previous academic year’s regular contract salary.  Compensation for summer work from other sources of funding may be based on an official salary schedule approved and published by the college, school, or division, and will not exceed the individual’s regular contract salary rate for the previous 9-month contract.

 

D.        Effort Reporting Compliance.

When a salary adjustment is made for a faculty member who is receiving funding from grants or contracts, the assignment of responsibility for that faculty member must be consistent with the effort reporting requirements of the grant or contract.  The assignment of responsibilities shall be coordinated with the appropriate office within the Division of Research & Economic Development prior to submitting the salary adjustment to the VPAA.

IV.       Grievances

Current grievance policies/processes are available as a means to provide an impartial review of a salary adjustment decision.  Any faculty member who believes that a salary adjustment decision was inappropriate may request a review through the appropriate process. 

UND Faculty Handbook, III-2.1. Faculty Grievances –UND Procedures to Implement The State Board of Higher Education Faculty Grievance Procedure

Section 612 – Faculty Grievances

1. Faculty grievances filed under SBHE Policy 612 are subject to mandatory mediation, which means all parties must participate in at least one mediation session.

2. Under SBHE Policy 612 . . . A faculty member may also file a grievance over discretionary actions, such as salary adjustments and performance evaluations, but only to determine whether the discretionary action was made in accordance with relevant Board or Institutional policies, practices, procedures or criteria and constituted a clear abuse of discretion.

UND Faculty Handbook, III- 1.4.B. Equal Opportunity/Affirmative Action Policy Statement and Procedures for Complaints of Discrimination or Harassment

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.

Approval recommended by VPAA Academic Cabinet October 7, 2009
Approved by University Senate November 5, 2009
Approved by President Kelley November 18, 2009
Approved by Chancellor Goetz December 8, 2009

7.2 CAMPUS ADMINISTRATION OF SALARY INCREASE FUNDS

1. Each campus and the system office shall have a clear, written statement of its salary administration policy, developed and revised with the participation of those affected by it, and approved by the Chancellor.

2. The policy shall include:

1. A statement of the campus philosophy and objectives for awarding salary increases that complements the campus mission and purposes;

2. Language that addresses (1) recruitment and retention of qualified employees, (2) motivating employee performance to achieve institutional goals, (3) achieving competitive pay levels considering internal equity and institutional resources, and (4) consistent administration and application of campus pay policies; and

3. A process for individuals to obtain an impartial review of their salary increase decision.

State Board of Higher Education Policy Manual, 5-30-01 , Section 702.4

7.3 PAYROLL DEDUCTIONS

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, 2-01-93 , Section 702.1

7.4  UND SALARY PROCEDURES

New faculty members should receive a New Faculty packet from their departments or the Payroll Office. Mandatory 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 Human Resources 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 and 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.

 Director, Payroll, 12-02-02
 

 7.5  SEVERANCE PAY

Subject to the following provisions, institutions and the university system office may provide severance pay to an employee who is released due to a reduction in force.

1. 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.

2. The number of employees in the institution, agency, or entity must be reduced by one for each individual awarded severance pay.

3. Employees may not receive severance pay if they are awarded early retirement, developmental leave, or other forms of special compensation when they leave.

4. Employees receiving severance pay must release the institution from liability and all employment rights by written agreement.

5. The severance pay agreement with an employee must provide that the employee 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 of subsequent state employment during the severance pay period.

6. All actions under this policy must comply with N.D.C.C. 54-14-04.3. In accordance with that section, institutions or the system office may provide financial incentives to encourage an employee to retire or resign if the employee's departure will increase efficiencies or reduce expenses.

State Board of Higher Education Policy Manual, 3-30-01 , Section 707

8.1 BENEFITS

1. Permanent employees who are 18 or more years of age and who work 20 hours or more per week for five or more months shall participate in the Public Employees Retirement Plan unless such employees are eligible for and choose to participate in another authorized retirement plan.

2. Faculty, professionals, administrators and other eligible employees as defined by the plan shall participate in the TIAA/CREF plan the Board has adopted unless excepted by law or prior agreement.

3. University system employees may participate in any deferred compensation plan approved by the Chancellor.

4. Health insurance for university system employees is provided under the state uniform group insurance program governed by NDCC chapter 54-52.1.

 5.University system employees are covered by the state employee group life insurance policy.

 6.All university system employees shall participate in the social security program as provided by law.

State Board of Higher Education Policy Manual, 3-30-01 , Section 703.2

8.2  MEDICAL INSURANCE

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 31 days of hire date. The insurance will become effective the first day of the month following the date of employment. After 31 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, AFLAC Insurance, Dental Insurance, and Vision Insurance may also be purchased by faculty members through payroll deductions. Information and application forms are available in the Payroll Insurance Office.

Payroll Office, 12-02-02

8.3 LIFE INSURANCE

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 31 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.

Payroll Office, 12-2-02

8.4 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.

Payroll Office, 12-02-02

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)  

8.5 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 Human Resources.

Human Resources, 12-02-02

8.6 WORKERS' COMPENSATION

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, 5-11-84 , Section 704.1

All employees at the University are protected by the North Dakota Workers Compensation Act against accidental occupational injury or illness in the performance of their official duties.  To facilitate this process, all incidents must be reported to the Safety and Environmental Health Office as described in section 13.1 of the Faculty Handbook.

Safety and Environmental Health Office, 11-02

SEE ALSO: North Dakota Century Code 65 (Workers' Compensation)
 

8.7 Faculty Maternity Leave Benifits Policy

Benefited members of the faculty giving birth are entitled to maternity leave benefits. Maternity leave benefits shall release the faculty member from all employment-related duties for up to six (6) weeks from the date of delivery. During any portion of those six weeks for which the faculty member is under contract, this benefit consists of a leave with full payment of the faculty member’s base salary for that portion of the contract.

The faculty maternity leave benefit is distinct from any other benefits provided by UND or guaranteed under federal or state law. Application of the maternity leave policy shall not diminish such other benefits.

Although not part of the policy, the following illustrations were discussed by the Senate when the policy was reviewed and voted upon.

Illustrations

#1
- 9 month contract
- birth on October 1
6 weeks maternity leave begins on date of delivery

#2
- 9 month contract
- birth on May 1
maternity leave begins on date of delivery and extends to end of contract – May 15

#3
- 9 month contract
- birth on August 1
maternity leave begins on first day of contract – August 16 – and extends until September 12 (6 weeks from August 1)

#4
- 9 month contract plus summer contract
maternity leave period could extend into summer contract period or begin in summer contract period

#5
- 9 month contract
- birth on October 1
maternity leave from October 1 to November 12
- mother’s medical condition prevents return to work
sick leave benefit (if available: short term up to 13.5 days at 100% pay, then long term for up to 5 months at 75% pay) begins on November 12

#6
- 9 month contract
- birth on October 1
maternity leave from October 1 to November 12
- child’s medical condition prevents return to work, or
- mother wishes to remain with child after November 12
federal Family Medical Leave Act benefit (unpaid leave) begins on November 13 and extends for up to 12 weeks

#7
- 9 month contract
- birth on October 1
maternity leave from October 1 to November 12
- return to work on November 13 but not assigned responsibility for teaching during that semester
faculty member’s assignment of responsibilities for the contract period may be adjusted with full pay without teaching responsibility for all or part of the contract period

2/5/09, Approved by University Senate
3/26/09, Approved by President Kelley

 

9.1  EARLY RETIREMENT

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. General

a. Early retirement is available as a cost saving tool and a vehicle for the infusion of new thoughts, ideas, and skills by the opening up of positions.  Early retirement may not be used as a device to circumvent the due process procedures for dismissals. Early retirement is not an entitlement and may be used only when the institution has documented the benefits resulting from the agreement.

b. 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. Definitions

a. "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 SBHE Policy 605.1.

3. Early Retirement Plans

a. General Rules

i. By agreeing to a retirement plan, the employee waives all tenure or other rights to continued employment except as may be provided in the retirement plan.

ii. 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.

iii. 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.

iv. 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. Retirement under an agreement providing for a tenure or contract purchase precludes other regular, full-time employment in the university system. Part-time or temporary employment to fill vacancies or in exceptional circumstances is permitted.

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. Payments will be paid pursuant to the terms of the agreement.

4. Procedure

a. Institutions shall use an approved standard form contract.

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 system office staff shall be approved by the Chancellor. Early Retirement Agreements for presidents shall be approved by the Board upon the Chancellor’s recommendation. An Early Retirement Agreement for the Chancellor shall be approved by the Board.

c. Institutions may adopt procedures to implement this policy.

State Board of Higher Education Policy Manual, 3-30-01 , Section 703.1
 

9.2  UND RETIREMENT

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 begin receiving payments.

Contact the Payroll Office one to three months before retirement.

TIAA-CREF
730 Third Avenue
New York , NY 10017
(800) 842-2776

Social Security Admin.
www.ssa.gov
(800)772-1213
(701) 772-5518

ND Public Employees Retirement
P.O. Box 1657
Bismarck , ND 58502
(800) 803-7377

UND 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

 
CLASS II

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: State Board of Higher Education Policy Manual, 1-20-94 , 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) and Deferred Compensation Plan from TIAA-CREF. TDAs are available to all employees at UND.
 
SEE ALSO: State Board of Higher Education Policy Manual, 6-08-84 , 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.

Payroll Office, 12-02-02

 

10.1  DEVELOPMENTAL LEAVE

1. Developmental leave for retraining and/or professional development is permitted for university system employees 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 employee is 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 employee signs an 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 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.

Developmental leave may not exceed 12 months and the base stipend may not exceed the salary scheduled for the leave period.

2. Beginning July 1, 2004, presidents and the Chancellor are entitled to 30 calendar days developmental leave following five years of service as a NDUS president or chancellor and each five years thereafter. Presidents employed prior to July 1, 2004 who have not taken developmental leave within the previous five years or have not been granted developmental leave under contracts in effect on that date are entitled to credit for prior service as president, not to exceed five years. Presidents who have taken developmental leave within the previous five years are not entitled to prior service credit. Presidents with a contract in effect on July 1, 2004 providing for developmental leave during the term of the contract are entitled to developmental leave as provided under that contract but are not entitled to prior service credit. Presidents requesting developmental leave shall submit a written proposal to the Chancellor describing the planned use of the leave and anticipated benefits to the institution, the state and the employee, and arrangements made for administration of the institution in the president's absence. Developmental leave for presidents shall be taken at times and under terms the Chancellor approves. The Chancellor shall submit a written proposal to the Board president describing the planned use of the leave and anticipated benefits to the university system, and arrangements made for system administration in the Chancellor's absence.

3. Developmental leave for the Chancellor or an institution president shall be approved by the Board; developmental leave for system office staff shall be approved by the Chancellor; and developmental leave for institution employees shall be approved by the institution president or designee.

State Board of Higher Education Policy Manual, 6-17-04 , Section 701.2

10.2  SICK AND DEPENDENT LEAVE; FAMILY LEAVE

1.  Employees excluded from the broadbanding system, other than faculty and members of the academic staff, are entitled to sick or dependent leave and family leave under the same terms and conditions governing sick or dependent leave and family leave for employees subject to the broadbanding system according to the NDUS Human Resource Policy Manual.

2.  Each institution shall adopt policies governing paid sick or dependent leave for faculty and members of the academic staff.

Family leave.

a.  Family leave is an unpaid leave of absence available to eligible employees for the birth, adoption, or foster placement     of a child; or for the serious health condition of the employee, the employee's parent, child, or spouse.

b.   Eligible employees are those employees, including faculty and other members of the academic staff, whose employment is not limited in duration, who are employed for an average of at least twenty hours per week, and who have been employed by the institution for at least one year, or, for faculty and other members of the academic staff employed on nine or ten month contracts, for at least one contract term or academic year.

c.   Family leave used for the birth, adoption, or foster care placement of a child must begin within twelve months of the event.

d.   The institution may require medical documentation to verify the existence of a serious health condition including date of commencement and probable duration of illness.

e.   The maximum length of available leave for eligible full time employees is twelve weeks in a twelve-month period, beginning on the first day of leave. Leave for birth or adoption of a child may be taken intermittently if approved by the employing entity; leave because of the serious health condition of the employee, a parent, child or spouse may be taken intermittently if medically necessary. A married couple is not limited to a total of twelve weeks if both are employed by the state; each is entitled to twelve weeks. Reasonable and practical notice must be provided to the agency.

f.    When leave is completed, the employee must be returned to the same position, or a position with equivalent compensation and benefits. If a reduction in force would have caused the position to be eliminated, this reinstatement does not apply.

g.   Employees utilizing family leave will be provided health benefits at the same level and coverage as if the employee had not taken leave.

3.   Institutions shall in all cases comply with the Americans With Disabilities Act and Rehabilitation Act of 1973. Institution officials shall investigate and respond appropriately to requests for accommodations to enable employees to perform essential job functions.

State Board of Higher Education Minutes: December 21, 2000 ; Amendment, June 17, 2004 ; Policy Manual, Section 607.

10.2.1 UND Policy – Sick Leave

Sick leave and dependent leave are benefits granted by the institution to faculty and academic staff to use for short-term and long-term illness.  For purposes of eligibility for short-term sick leave, faculty and academic staff are defined as being benefited employees who are tenured, probationary, or on special appointment.   For purposes of eligibility for long-term sick leave, faculty and academic staff members are defined as benefited, full time.  Faculty whose special appointment is less than full-time will be prorated for both short-term and long-term sick leave.  Faculty and academic staff members are entitled to family leave as defined under family leave in policy 607.4 of the North Dakota University System (NDUS) Policies.  Sick leave does not accumulate from appointment period to appointment period and has no cash value upon the employee’s separation from the institution.  

Short-Term Sick Leave

A faculty or academic staff member may be compensated with pay at the rate of 1.50 days per contract month because of short-term illness.  Faculty and academic staff, who take leave under this policy, must make reasonable efforts to ensure that his/her work responsibilities are covered and must inform his/her department head of their expected absence prior to the start of the scheduled work period.  The department head will keep a record of leave taken and may require medical verification for short-term illness.

Long-Term Sick Leave

If inability to work is appropriately documented, a faculty and academic staff member who is sick or disabled and has used their short-term leave may be granted long-term sick leave.  Long-term sick leave may be granted, at the rate of 75 percent of his/her regular base salary, for a period of up to five months, or until the end of the contract term, whichever occurs first.  If medical documentation is not sufficient to grant long-term leave, then the faculty member’s pay may be reduced commensurate with workload.  The faculty and academic staff member shall submit a long-term sick leave application to the appropriate department head/chairperson; the department head/chair must obtain written approval from the dean to grant long-term sick leave.  The department is responsible for making arrangements to cover the work responsibilities of the faculty and academic staff member.  If a second or subsequent request for long-term sick leave occurs within five years from the end of the most recent long-term sick leave, the appropriate vice president must authorize the request.  Family Medical Leave Act (FMLA) leave can be designated at any time and can run concurrently with long-term sick leave.

Disability Leave

A faculty or academic staff member who cannot return to work after taking long-term sick leave may be eligible for disability benefits under the institution’s TIAA-CREF disability insurance.  The faculty and academic staff member should contact the University of North Dakota Payroll Office to determine eligibility. 

Dependent Leave

A faculty or academic staff member who wishes to attend to the needs of an eligible family member who is ill or to assist them in obtaining other services related to their health or wellbeing may use a portion of his/her short-term sick leave benefit.  Eligible family members include the employee’s spouse, parent (natural, adoptive, foster, and step-parent); child (natural, adoptive, foster, and step-child); or any other family member who is financially or legally dependent upon the employee or who resides with the employee for the purpose of the employee providing care to the family members.  Short-term sick leave used for this purpose shall not exceed forty hours per calendar year.

Family Leave

Faculty and academic staff members are entitled to family leave in accordance with NDUS Policy 607.4 and the Family and Medical Leave Act of 1993.   Family leave is defined in NDUS Policy 607.4 as “an unpaid leave of absence for the birth, adoption, or foster placement of a child; or for the serious health condition of the employee, the employee’s parent, child, or spouse.”

SEE ALSO: Approved: UND Senate, 5-05-05 ; UND Senate Minutes, 4-03-86 , 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)

10.3  ANNUAL LEAVE

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, 7-09-91 , Section 2000 (Staff Personnel Policy Manual)

10.4 LEAVE WITHOUT PAY

10.4.1  State Board of Higher Education Policy: Leave Without Pay

1. Leave without pay 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.

2. 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 or designee, and requests for system office staff shall be approved by the Chancellor.

3. 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 of insurance; and such coverage would    not be contrary to State law.

4. Institutions shall establish procedures for implementing this policy.

State Board of Higher Education Policy Manual, 3-30-01 , Section 701.1

SEE ALSO: State Board of Higher Education Policy Manual, Section 2000 (Staff Personnel Policy Manual), 7-09-91

10.4.2 UND Policy – Leave Without Pay

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.

Vice-President for Academic Affairs and Provost, 11-13- 02
   

11.1  STATE BOARD OF HIGHER EDUCATION POLICY: EMPLOYEE TUITION WAIVER

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 calendar 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, 6-21-01 , 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:

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.

Vice President for Academic Affairs and Provost, 11-13-02

11.2.1  Faculty Study

A faculty member at any rank may take coursework toward a degree at the University if he or she has the approval of the dean of his or her college.  Members of the Graduate Faculty must also obtain approval of the Graduate Dean.  Upon enrollment in a graduate program, any graduate faculty membership, and any faculty rank or role in any department in which the coursework is being taken, will be suspended.  The suspended faculty rank and role, including graduate faculty membership, will be automatically reinstated upon completion of the graduate degree or departure from the degree program.  Any member of the faculty may, with the approval of the dean and of the instructors concerned, take courses for credit as non-degree seeking students without changing his or her faculty status.  Arrangements to audit classes or to take courses for credit are made through the Graduate School and/or Registrar’s office.

Approved: UND Senate, 05-06-04

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)

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)

12.1.1  Use of State Vehicle

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, 6-08-84 , Section 1910.2

SEE ALSO: North Dakota Century Code 39-01-03 (State-owned vehicles)

12.1.2  UND Travel Regulations

The University of North Dakota Accounting Services Department adheres to many Federal, State, and University policies for the purchasing of goods and services, reimbursement of travel, and other expenses.  For the most up-to-date policies, please refer to our website at www.und.nodak.edu/dept/accounts.

Accounting Services, 11-21-02

12.2 STATE BOARD OF HIGHER EDUCATION POLICY:  PAYMENT OR REIMBURSEMENT OF MEALS AND OTHER TRAVEL OR INSTITUTIONAL EXPENSES. 

1.  Payment or reimbursement of employee travel expenses, including meals or per diem, is governed by N.D.C.C. §§ 44-08-04 (lodging and per diem), 44-04-04.1 (per diem for long-term travel), 44-08-04.2 (travel advances), 54-06-09 (mileage) and 54-06-26 (reimbursement of one long-distance call per day). The university system office and institutions shall reimburse Board members, officers and employees for eligible travel expenses at the rates set forth in those statutes. However, institutions may, pursuant to subsection 7 of N.D.C.C. § 44-08-04, set a rate for travel expenses outside the state lower than the rates set forth in that statute. In addition to expenses for travel out of town, employees are also entitled to reimbursement for meals attended in the city where they normally work if such attendance is required or requested in connection with their duties.

2. Institutions may pay expenses, including meals and costs of coffee and other beverages or snacks, for hosting dignitaries, guests, seminars and conferences; however, institutions may not use public funds to purchase alcoholic beverages. Institutions may pay expenses of coffee or other nonalcoholic beverages and snacks for institutional meetings or other employee functions.

State Board of Higher Education Policy Manual, 4-04-00 , Section 806.1.

SEE ALSO:  For current UND policy see Accounting Services website at www.und.edu/dept/accounts.

12.2.1  UND Policy:  Expenses

The University of North Dakota Accounting Services Department adheres to many Federal, State, and University policies for the purchasing of goods and services, reimbursement of travel, and other expenses.  For the most up-to-date policies, please refer to our website at www.und.nodak.edu/dept/accounts.

Accounts Payable Manager; Cash & Investments Manager, 11-21-02

12.3  MOVING EXPENSES

1. Upon approval of the president or designee, an institution may, subject to the limits of this policy, reimburse moving expenses of an employee hired from outside the University System. 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 per diem and mileage rates established for employee travel reimbursement. 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 provided, however, that total reimbursement for transporting personal items, household goods, and personal travel shall be limited to the invoice plus the current per diem and mileage limits.

2. In accordance with N.D.C.C. § 44-08-04.3, total reimbursement of moving expenses for permanent employees transferred within the system is limited to $5,000.

State Board of Higher Education Policy Manual, 4-04-00 , Section 806.3

SEE ALSO: North Dakota Century Code 44-08-04.3 (Moving expenses)

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 persons 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 Workers Compensation Bureau, the State Fire Laws, the Environmental Protection Agency, the Department of Transportation and the Occupational Safety and Health Act (OSHA).  The Safety and Environmental Health Office (Safety Office) 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 Safety Office (www.safety.und.edu ). This office will also be available as a resource to ensure that all departments achieve compliance.

Reporting of Incidents – Emergency assistance should be requested by dialing 911 whenever a situation poses a threat to person, property, or process.  All serious incidents occurring on campus resulting in personal injury, a fire, an explosion, or damage to University property must be reported immediately by phone to the Safety Office.  Phone:  777-3341 (day) or 777-3491 (night).  A person receiving any injury must report this without delay to the person in charge or make sure that person is advised.  When notified of the injury/incident, the person in charge must immediately set any accident preventive measures in motion.  Follow-up written incident reports are required.

Injury Forms Required - (1) Incident reporting is initiated by completing the “Employee Incident Report”.  This form must be completed and faxed to the Safety Office immediately (777-4132).  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 on behalf of the injured.  (2) All accidents must be investigated to determine the cause so as to avoid any future accidents.  For all incidents, this is done by the person in charge (supervisor).  After the investigation, the injured person’s supervisor must complete an “Incident Investigation” form and submit it to the Safety Office.  Incidents resulting in, or with the potential for, serious injury or death, will also be investigated by the Safety Office.  (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 Safety Office within 24 hours.

Medical Treatment of Injuries – If the person involved in the incident is an employee and suffered an injury or illness requiring medical attention, the injured must go to one of the University’s Designated Medical Providers (DMP’s) for treatment.  UND’s DMP’s are UND Student Health, UND Family Practice, and Altru Health Systems.  If these DMP selections are not acceptable, an employee can designate a different medical provider by completing a Designated Medical Provider form at the UND Payroll Office and having it on file pre-injury.

Worker’s Compensation Claims – From the information on the Employee Incident Report, the Safety Office will initiate a worker’s compensation claim for the injured employee.  Employees will need to either come to the Safety Office (2^nd Floor Auxiliary Services Bldg.) to sign their worker’s compensation application, or make arrangements to have the worker’s compensation application sent to them for their signature.

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 Safety Office 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.

Safety and Environmental Health Office, revised 11-02

SEE ALSO:  UND Safety and Loss Control Manual (http://safety.und/edu/manual/index/home.html )

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, 2-06-87 , Section 614

SEE ALSO:  North Dakota Century Code 65-14 (Employee Information Program on Hazardous Substances)

13.2.1  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 Hazard Communication Program available from the Safety Office.

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 Safety Office and the Environmental Training Institute (ETI) are available as resources to departments to identify and provide necessary training.

Safety and Environmental Health Office, 11-02

SEE ALSO: UND Hazard Communication Program (http://www.safety.und.edu/policy/policy.html ); North Dakota Century Code 65-14 (Employee Information Program on Hazardous Substances).

13.3  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. The RSO is located in the Safety Office (777-3341).

Safety and Environmental Health Office, 11-02

SEE ALSO:  UND Radiation Safety Handbook (http://www.safety.und.edu/policy/radiation.html )

13.4  LASER SAFETY PROGRAM

The 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.

Safety and Environmental Health Office, 11-02

SEE ALSO:  UND Laser Safety Program (http://www.safety.und.edu/policy/laser/laser.html )

13.5  HAZARDOUS CHEMICAL WASTE DISPOSAL POLICY

The Radiation Safety and Hazardous Materials 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 Safety Office is designated as 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 Safety Office 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).

Safety and Environmental Health Office, 11-02

SEE ALSO:  UND Hazardous Waste Guidebook and UND Chemical Hygiene Plan (http://www.safety.und.edupolicy/policy.html )

13.6  Asbestos/Lead-Based Paint

Issues pertaining to asbestos and lead-based paint at the University are handled through the Facilities Department (777-2591). The Safety Office serves as a resource for the Facilities Asbestos and Lead-Based Paint Teams, and maintains the required records relating to asbestos waste disposal.

The University Environmental Training Institute (ETI) is an accredited Asbestos, Lead-Based Paint and Hazardous Materials Training Center .  ETI also assists the Safety Office in the coordination of all other training opportunities related to Safety and Environmental Health at the University.

Safety and Environmental Health Office, 11-02

13.7  EMERGENCY OPERATIONS

The University of North Dakota has prepared an Emergency Management Plan to provide guidance for proper actions required by any emergency endangering life and property. The plan outlines proper response procedures for other emergencies such as: severe weather, bomb threats, natural gas leaks, acts of terrorism/sabotage, hazardous material incidents, radioactive material incidents, and bio-hazardous material incidents. Master copies of the Emergency Management Plan are located at the UND Police Department and the Facilities Communication Desk.

Safety and Environmental Health Office, 11-02

SEE ALSO:  UND Safety and Loss Control Manual (http://www.safety.und.edu/manual/index/home.html)

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 RESEARCH

The University of North Dakota’s Institutional Review Board (IRB) is under the authority of the Vice President for Research. The University of North Dakota requires that all research projects involving humans as subjects, or which use human material, be reviewed and approved by the UND IRB prior to initiation of any research using human participants, including recruitment and screening activities. The purpose of the IRB is to protect the rights and welfare of human subjects participating in biomedical and behavioral research. The IRB reviews and oversees such research to assure that it meets ethical principles and that it complies with federal regulations that pertain to human subject protection at 45 CFR 46 and 21 CFR 50 and 56, and other pertinent regulations, guidance, state and local laws.

Governing Principles

University of North Dakota’s InstituThe IRB is guided by the ethical principles regarding all research involving humans as subjects as set forth in the report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, entitled: Ethical Principles and Guidelines for the Protections of Human Subjects of Research (the “Belmont Report”). These principles are defined in the Belmont Report as follows:

• Respect for persons - Recognition of the personal dignity and autonomy of individuals and special protection of those persons with deminished autonomy.
• Beneficence - The benefits to the subject and the importance of the knowledge to be gained must outweigh the risks to the subject.
• Justice - The selection of subjects is equitable and is representative of the group that will benefit from the research.

IRB Authority and Jurisdiction

The IRB has the authority to review all research involving human subjects regardless of the source funding and location of study if:

• The research is sponsored by the University of North Dakota and/or;
• The research is conducted by the University of North Dakota agents, staff and/or students.

Agents are defined as employees and non-employees with a faculty rank who are conducting research under that faculty status when any of the following conditions exist:

1. The researcher identifies himself/herself as a UND faculty member on any press release, promotional pieces or recruitment materials related to the study/research.
2. The researcher intends to publish and/or present at public/professional events or in professional publications and represent himself/herself as a faculty member of UND.
3. The research is personally compensated by UND in any manner for this specific research, or receives UND funds in support of the specific research project.
4. The researcher pursues and receives external funding for the specific research project using his or her faculty status as support in securing the funding (inclusion of the fact of such appointment on the researcher’s CV is allowed, but narrative within grant application which uses his/her faculty position to bolster the argument for funding is not).
5. The researcher is provided general salary support from the UND at a level where the research project would be an expectation within the job description.
6. The researcher intends to use the research project as an element of the promotion and tenure relationship within UND.  

(Filed: UND Senate, 10/6/83 ; Revisions Approved by the IRB 07/11/02 ); UND Senate  Minutes, 10-03-85 , p. 2776

SEE ALSO: UND Faculty Handbook VII-4 (North Dakota Century Code 15-10-17 [Specific powers and duties of board of education])
 

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

16.1 DRUG-FREE WORKPLACE

All North Dakota University System institutions, officers and employees shall comply with the Drug Free Workplace Act of 1988. The chancellor and institutions shall adopt and enforce policies and procedures implementing that Act and this policy.

State Board of Higher Education Policy Manual, 04-18-02 , Section 615 See Also: North Dakota University System Procedure Manual, Section 615

16.2  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.

President, 10-97

16.3  UND IMPLEMENTATION

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 condition

A faculty or staff members who suspect that a colleague or co-worker 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), Human Resources, 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 co-workers, blood and/or urine testing procedures will be used. UND will pay the costs of all required drug or alcohol testing. 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, or 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 effectiveness 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.

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 container law), 19-03.1 (Uniform Controlled Substance Act), 10-04-08 (Distribution of anabolic steroids prohibited), 12.1-31.1 (Drug Paraphernalia); UND Code of Student Life

16.4  ADVERTISING AND FUNDS

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.

1. Pursuant to N.D.C.C. § 15-10-17.1, the Board delegates to its institutions authority to establish campus police departments, hire police officers and contract with or make arrangements with other agencies to provide for campus security.

2. Each institution shall comply with all requirements of the Student Right-to-Know and Campus Security Act of 1990.

State Board of Higher Education Policy Manual, 04-04-00 , Section 916

17.1  SECURITY INFORMATION

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.

Vice President for Student and Outreach Services; Chief of Police, 11-19-02

SEE ALSO: Crime Awareness and Campus Security Act of 1990 (Title II of Public Law 101-542)

18.1  LIABILITY 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.

Risk Management; Safety Office, 12-01-98

See also UND Faculty Handbook III.8.5 (Worker’s Compensation).

18.2 ACTIONS AGAINST EMPLOYEES

Legislation 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:

1. write down the specific date you received the legal papers and who gave them to you.

2. contact your State agency supervisor and the Office of the Attorney General immediately.

3. 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.

4. 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.

5. be prepared to give your attorney the legal papers with which you were served and relevant background information.

6. 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.