Under the Conflict of Interest, Conflict of Commitment, and Outside Activities Policy, an employee may appeal:
- A determination that a conflict of interest or conflict of commitment exists
- A step in a management plan
- A determination of non-compliance
Appealing a Determination of a Conflict of Interest, Conflict of Commitment, or a Step in a Management Plan
Within 30 days of receiving the determination or draft management plan, the employee sends an appeal request by email to the Associate Director of Conflicts of Interest and Export Controls. The request must identify the employee's position, the decision being challenged (either the determination or a step in the management plan), and one of the following grounds for appeal:
Procedural error: Failure to comply with the Conflict of Interest, Conflict of Commitment, and Outside Activities Policy and standard operating procedures and such procedural error more than likely would have changed the outcome of the decision. Appeals based on procedural error may include claims that a decisionmaker had a conflict of interest or bias that affected the outcome of the matter.
Unreasonable outcome: The decision that an activity constitutes a conflict, the decision that the outside relationship must be severed, or the management plan is unduly burdensome based on the evidence provided.
New information: New information not previously known to the employee would more than likely change the decision.
The Associate Director of Conflicts of Interest and Export Controls will hear appeals. The Associate Director notifies the employee within 14 days of receipt of the appeal whether the employee has grounds for appeal. If the Associate Director determines that the employee has failed to state grounds for appeal, the decision is deemed final. If the Associate Director determines that the employee has grounds for appeal, they have 30 days to prepare a report that will contain: the original determination or management plan step, the grounds for appeal, a statement of the employee's position, and the final determination resolving the employee's appeal.
In instances in which the Associate Director of Conflicts of Interest and Export Controls was involved directly with the COI/COC determination, management plan step(s), or non-compliance determination (for example, making the original determination), the Assistant Vice President for Research Integrity will hear appeals.
- The Associate Director shares this report with the employee. The decision may be to uphold or change the original COI/COC determination or management plan step(s).
Appealing a Determination of Non-compliance
Within 60 days of receiving information relating to an employee's potential non-compliance with the Conflict of Interest, Conflict of Commitment, and Outside Activities Policy, the Associate Director of Conflicts of Interest and Export Controls gathers necessary information to make a non-compliance determination.
Identification of non-compliance can happen through various channels, such as a self-report, report by a supervisor or unit leadership, report received by the ethics hotline, or report received by Employee and Labor Relations.
Gathering necessary information to determine non-compliance may include conferring with Employee and Labor Relations, Office of the General Counsel, the employee, the employee's supervisor, the employee's unit leadership, and/or others who may have relevant information.
If, based on the information gathered, the Associate Director determines that non-compliance did or likely did occur, they refer the case to Employee and Labor Relations (ELR). If the employee is disciplined for violating the COI/COC Policy, they may follow the UO’s Employee Grievance Policy. Grievance procedures for represented employees can be found in the relevant collective bargaining agreements: