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Board of Trustees Bylaws

10-1-01 Board of Trustees Bylaws: Members of the board of trustees and their powers.

(A) Number of members, appointments.

The government of the University of Cincinnati shall be vested in a board of eleven trustees who shall be appointed by the governor with the advice and consent of the senate.

Regular members. There shall be nine trustees whose terms of office shall be as set forth in section 3361.01 of the Revised Code.
Student members. Two students shall be non-voting members of the board with the right to attend, with voice, meetings of the board and its committees. Student members shall not be entitled to attend executive sessions of the board and shall not be considered as members of the board in determining whether a quorum is present. To ensure balanced representation for undergraduate and graduate and professional students, one student member shall be an undergraduate student and one member shall be a graduate or professional student. The student members shall be appointed as follows:
1. It shall be the responsibility of the undergraduate student body president in cooperation with the ways and means committee of the student senate to form an undergraduate student selection committee. The committee shall nominate five undergraduate students to the governor for filling any vacancy in the undergraduate student position.
2. It shall be the responsibility of the graduate student association and student governments of the colleges of law and medicine, in a manner that will fully and fairly reflect the interest of all graduate students, to nominate five graduate students to the governor for filling any vacancy in the graduate student position.

(B) Powers.

The board of trustees shall have the powers which are conferred upon it by the laws of the state of Ohio.
No member or committee of the board shall have the authority to commit the board or university to any policy or action unless specifically given that power by the board.

Effective: July 12, 2013
Date: June 25, 2013 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.01-04
Prior effective date: March 16, 1978; November 1, 1984; April 18, 1990; February 28, 1995; February 14, 1997; July 31, 1997; April 22, 1999; January 1, 2007

10-1-02 Board of Trustees Bylaws: Representatives to the board of trustees.

(A) Faculty representatives.

The chairperson of the university faculty senate and two elected representatives of the university faculty shall serve as official faculty representatives to the board of trustees with the right to suggest proposals for consideration by the board and the president, and to attend, with voice, all meetings of the board and its committees including academic affairs and finance. Faculty representatives shall not be entitled to attend executive sessions of the board.

(B) Student representatives.

The president of the undergraduate student body shall serve as official student representative to the board of trustees with the right to suggest proposals for consideration by the board and the president, and to attend, with voice, all meetings of the board and its committees. Student representatives shall not be entitled to attend executive sessions of the board.
If, upon being elected to the position, the president of the undergraduate student body shall already be serving as a student member of the board of trustees, he/she shall not be eligible to serve simultaneously as official student representative to the board of trustees. Under such circumstances, the vice president of the undergraduate student body shall serve as official student representative to the board of trustees.

The president of the alumni association, or the president’s designee, shall serve as the alumni representative to the board of trustees with the right to suggest proposals for consideration by the board and the president, and to attend, with voice, all meetings of the board and its committees in order that the interests of the alumni association shall be reflected fully and fairly. The alumni representative shall not be entitled to attend executive sessions of the board.

(D) Foundation representatives.

The chair person of the University of Cincinnati foundation, or the chair person’s designee, shall serve as the foundation’s representative to the board of trustees with the right to suggest proposals for consideration by the board and the president, and to attend, with voice, all meetings of the board and its committees in order that the interests of the foundation shall be reflected fully and fairly. The foundation representative shall not be entitled to attend executive sessions of the board.

Effective: February 15, 2008
Date: January 29, 2008 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.
Prior effective date: March 16, 1978; November 1, 1984; March 8, 1985; July 1, 1985; February 3, 1986; June 20, 1988; April 18, 1990; February 14, 1997; June 13, 2002; December 12, 2003

10-1-03 Board of Trustees Bylaws: Officers of the board and their duties.

(A) Chairperson and vice chairpersons.

At its last regular meeting in each calendar year, the board shall elect, from voting members of the board, a chairperson and one or more vice chairpersons who shall serve for a term of one year or until their successors are elected.

(B) Secretary.

There shall be a secretary of the board who shall be elected at the last regular meeting of the board in each calendar year.

The board may appoint an executive director of board relations.

(D) Duties of officers.

Chairperson. The chairperson shall preside at all meetings of the board and shall appoint committees and decide all questions of order. It shall be the chairperson's duty to see that the bylaws are complied with and that the board's orders are properly executed. The chairperson shall, on behalf of and in the name of the university and the board, sign all instruments authorized by the board, except as such duties may be delegated to administrative officers. In the absence of the chairperson, a vice chairperson, and in the absence of a vice chairperson, the chairperson of the finance and administration committee, shall be invested with the powers and discharge the duties of the chairperson.
Vice chairperson. The vice chairperson shall serve in the absence of the chairperson and shall assist the chairperson at the latter's request.
Secretary.
1. The secretary shall be the custodian of all records of the board. The secretary shall attest all instruments executed by the chairperson or other authorized person. The secretary shall be the keeper of the seal of the university and shall authenticate by affixing the seal thereto. However, in the absence of the secretary or executive director of board relations, a commissioned notary public may attest instruments executed by the chairperson or other authorized person on behalf of the board, which attestations shall be conclusive proof of the authority to attest such signatures. The seal shall not be required to authenticate any such instrument when the attestation is supplied by a commissioned notary public.
2. The secretary shall attend and keep minutes of the meetings of the board and its committees, record all votes and the minutes of all proceedings, give notice of all meetings of the board and of its committees, and perform such other duties as may be prescribed by the board, its chairperson, or the president.

4. Executive director of board relations. If an executive director of board relations shall be appointed, the secretary may, in whole or part, delegate his/her duties to the executive director of board relations.

(E) Vacancy in office.

In the event of a vacancy in the office of the chairperson, the vice chairperson shall become chairperson.
In the event of a vacancy in the office of the vice chairperson or secretary, the vacancy shall be filled by election at the next regular meeting of the board.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.01-04
Prior effective date: March 16, 1978; November 8, 1982; November 1, 1984; April 20, 1987; February 13, 1990; April 18, 1990; April 23, 1996; February 5, 2007; June 10, 2008

10-1-04 Board of Trustees Bylaws: Meetings.

(A) Open meetings.

The board of trustees shall comply with all provisions of the Ohio open meeting law set forth in section 121.22 of the Revised Code.

(B) Regular meetings.

Unless otherwise noticed, regular meetings of the board shall be held on the fourth Tuesday following the conclusion of the committee meetings in August, October, December, February, April, and June at such time and place as shall be designated by the board or by the chairperson.

Committee meetings of the board shall be held at such time and place as shall be designated by the board or by the chairperson. The schedule of regular committee meetings shall be available in the office of the board of trustees located in room 614, university pavilion, University of Cincinnati west campus; phone number: 513/556-3233; fax number: 513/556-5269; email address: board.trustees@uc.edu; mailing address: office of the board of trustees, University of Cincinnati, P.O. box 210062, Cincinnati, Ohio 45221-0062; and on the board’s website.

(D) Special meetings.

Special meetings of the board shall be called by the secretary upon the request of the chairperson, or any two members of the board, or of the president and one member of the board. The call for a special meeting shall be mailed either by regular U.S. mail or by electronic mail by the secretary, or personal notice given by him/her, as soon as practical prior to the date of the meeting. Such notice shall state the time, location and purpose of the meeting. At special meetings no business shall be transacted except that stated in the agenda.

(E) Member of the board participation by electronic communications.

Effective September 30, 2021, pursuant to section 3345.82 of the Revised Code, members of the board may participate in meetings via electronic communications, as set forth herein. Members of the board must attend at least half of the regular meetings in-person annually. At least one-third of the board must attend a meeting in-person at the place where the meeting is conducted. A member of the board who intends to attend a meeting via electronic communications must notify the chairperson of the intent not less than forty-eight hours before the meeting, except in the case of a declared emergency.

A member of the board who attends a meeting via means of electronic communication is considered to be present at the meeting, is counted for purposes of establishing a quorum, and may vote at the meeting. All votes taken at a meeting where members of the board are attending via means of electronic communication must be taken by roll call vote.

Except as provided in this rule, no person shall limit the number of members of the board who may attend a meeting via means of electronic communication, limit the total number of meetings that the board may conduct using means of electronic communication, limit the number of meetings in which any one member of the board may attend via means of electronic communications, or impose other limits or obligations on a member of the board by virtue of the member attending a meeting via means of electronic communication.

“Electronic communications” means live, audio-enabled communication that permits the members of the board attending a meeting, the members of the board present in person at the place where the meeting is conducted, and all members of the public present in person at the place where the meeting is conducted to simultaneously communicate with each other during the meeting.

(F) Notice of meetings.

Information concerning the date, time and place of each regular meeting of the board and its committees, and the date, time, place and purpose of each special meeting of the board and its committees, shall be made available by the executive director of board relations to members of the public during normal business hours in the office of the board of trustees located in room 614, university pavilion, University of Cincinnati west campus; phone number: 513/556-3233; fax number: 513/556-5269; e-mail address: board.trustees@uc.edu; mailing address: office of the board of trustees, University of Cincinnati, P.O. box 210062, Cincinnati, Ohio 45221-0062 and on the board’s website. Persons desiring notice of any regular special meetings of the board at which a particular type of public business will be discussed may request such notice in writing to the executive assistant to the board of trustees and senior vice president for administration and finance, including with the request a sufficient supply of self-addressed stamped envelopes for mailing the notice. For special meetings, the executive assistant to the board of trustees and senior vice president for administration and finance shall give the news media that have requested notification at least twenty-four hours’ advance notice, except where there is an emergency requiring immediate action, in which case the executive assistant to the board of trustees and senior vice president for administration and finance shall notify said news media immediately of the time, place, and purpose of the meeting.

(F) Quorum.

A majority of the regular members of the board shall constitute a quorum to do business and a majority vote of those present shall be sufficient to adopt any motion or resolution, provided that the vote of a majority of all the board shall be necessary to elect or remove any senior administrative officer or any member of a faculty of the university; to adopt and revise the annual budget; and to amend or rescind a bylaw of the board. A roll call shall be taken upon any action involving the expenditure of money.

(G) Order of business.

The usual order of business at meetings of the board shall be as follows:

Roll call;
Minutes of the previous meeting;
Consideration of action items;
Unfinished and new business; and
Adjournment.

(H) Speakers at meetings.

Persons who wish to speak at board or committee meetings shall do so through their representatives or by receiving prior permission through the secretary. Speakers shall be limited to five minutes and shall submit their requests, in writing, at least fourteen days prior to the meeting at which they wish to speak.

(I) Parliamentary authority.

The proceedings of the board, when not otherwise provided for by its bylaws, shall be governed by “Robert’s Rules of Order.” Every motion shall be reduced to writing upon the request of a member.

Effective: September 17, 2021
Date: August 24, 2021 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 121.22 R.C. 3361.
Prior effective date: March 16, 1978; November 1, 1984; March 8, 1985; July 1, 1985; February 3, 1986; June 20, 1988; April 18, 1990; June 19, 1992; August 21, 1995; April 23, 1996; April 22, 1999; December 16, 1999; December 19, 2000; February 14, 2001; December 12, 2003; February 8, 2007; June 10, 2008; June 15, 2012; April 1, 2019

10-1-05 Board of Trustees Bylaws: Committees.

(A) Standing committees.

Standing committees, consisting of no fewer than three members each, shall be appointed yearly by the chairperson of the board. The standing committees shall be the academic and student affairs committee, finance and administration committee, audit and risk management committee, governance and internal affairs committee, the investment committee, and the compensation committee. The investment committee shall be constituted in the manner set forth in rule 3361:20-41-03 of the Administrative Code. The responsibility for each standing committee and subcommittee shall extend, in its sphere, to the east and west campuses and all branches of the university. Each standing committee’s actions and/or recommendations shall be reported to the board for information, approval or confirmation.

Academic and student affairs committee action shall be required for:
1. General policies governing instruction and research;
2. Appointment and reappointment of deans and academic unit heads, promotion to full professor, granting of tenure, granting of emeritus status, and appointment to the association of graduate fellows.
3. Student admissions and enrollment policies; and
4. Student affairs and welfare.
Finance and administration committee action shall be required for:
1. Appointment of the president and officers excepting academic appointments;
2. Human resources and matters involving negotiations of collective bargaining agreements;
3. General university policies and business not specifically assigned to another committee;
4. Salary, wage and benefits policies;
5. The university’s annual operating budget;
6. Budget transfers in undesignated general or auxiliary funds above the amount of five million dollars and additional appropriations of undesignated general, auxiliary or plant funds, above the amount of five million dollars which are not provided for in the annual budget;
7. Contracts and modifications thereof in amounts of and greater than five million dollars, and all land purchase or sale contracts for operating real estate shall require finance committee action, regardless of amount;
8. Changes in the general fee, instructional fees, residence hall room and board rates, apartment rates, and nonresident surcharge;
9. Establishment of debt instruments issued by the university;
10. Changes in overall investment policies relating to the receipt, purchase, sale, lease, and exchange of securities, real estate and other tangible property which may be a part of the university’s assets held for investment;
11. University building program and naming of buildings;
12. General policies respecting equipment, maintenance, operation, and use of the university’s physical plant;
13. Concept approval for all building projects and rehabilitations with an estimated cost over six hundred and five thousand dollars; and
14. Concept approval, and oversee the acquisition, for any proposed purchase or sale of land which is or is to be operating real estate.
15. Oversee the acquisition, disposition, management, lease, maintenance, and improvement of all operating real estate of the university, subject to the provisions of rule 3361:10-1-06.
16. Receiving information on the following:
  1. All budget transfers of undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts between one million dollars and five million dollars;
  2. All contracts, purchase orders, sponsored contracts, sponsored grants and modifications thereof approved by the president in amounts between one million dollars and five million dollars.
17. The financial limitations of this section shall be automatically increased by ten per cent every three years.
Audit and risk management committee action shall be required for:
1. Receipt and review of the university’s annual financial report.
2. Receipt and review of all outside audit reports and management letters addressing the system of internal accounting controls.
3. Receipt and review of specific internal audit reports.
4. Assessing recommendations in all audit reports and evaluating the risk associated with conditions cited, versus the cost to implement recommended changes.
5. Making recommendations to the full board regarding actions to be taken in response to findings in audit reports.
6. Meeting at least annually with outside independent auditors.
7. Receiving information on all contacts with state and federal auditors, including the internal revenue service.
8. Reviewing changes in university accounting principles or reporting procedures that would have a major impact on the university’s reported financial condition.
9. Reviewing changes in university conflicts, conduct and ethics, and compliance policies.
10. Overseeing risk management as it relates to compliance with applicable laws and regulations and litigation-related matters.
11. Questions of law affecting the university, which questions may be referred to the attorney general for an opinion.
Investment committee powers and responsibilities are set forth in rule 3361:20-41-03 of the Administrative Code.
The powers and responsibilities of the compensation committee are set forth in rule 3361:30-17-01 of the Administrative Code.
The governance and internal affairs committee shall oversee the organization, operations and overall effectiveness of the board of trustees. Areas of focus include board structure, including policies, governing principles, agenda setting and succession planning; board performance, including engagement and assessment; board development, including orientation and education; and optimizing the various interfaces with university administration. The governance and internal affairs committee shall also oversee the periodic review, maintenance and amendment of, as well as the interpretation of, the bylaws and rules of the board;

(B) Non-standing committees.

Non-standing committees of the board of trustees may be appointed by the chairperson to provide advice or recommendations on matters that are not within the jurisdiction of any standing committee.

The chairperson of the board shall be an ex-officio member of all committees. The president and/or his/her designee shall attend the meetings of all board committees. The vice presidents and other administrators as agreed to by the committee chairperson shall attend those meetings of board committees at which are discussed items of business within their sphere of activity.

Effective: November 10, 2022
Date: October 25, 2022 (Signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective dates: March 16, 1978; September 29, 1978; November 25, 1978; September 8, 1980; December 7, 1980; November 8, 1982; November 30, 1983; November 1, 1984; January 10, 1985; March 8, 1985; August 9, 1985; February 3, 1986; December 25, 1987; March 24, 1989; February 13, 1990; April 18, 1990; May 2, 1994; August 12, 1994; February 28, 1995; August 21, 1995; February 12, 1996; April 23, 1996; October 11, 1997; August 4, 1998; April 20, 2000; July 2, 2001; February 11, 2002; December 11, 2002; December 17, 2003; April 23, 2004; July 1, 2004; January 1, 2007; June 8, 2007; June 1, 2009; March 29, 2012; July 13, 2013; August 31, 2015; May 29, 2019; May 11, 2022

10-1-06 Board of Trustees Bylaws: Execution of instruments.

(A) No contract, agreement, promise, bank account, or other undertaking in the name of the university of Cincinnati or purporting to be made for, or on behalf of any college, school, department, division or other part of the university of Cincinnati, shall be made by any of its officers, agents, or employees or by any student, faculty, or alumni organization, enterprise, or association whatever, unless the same shall have been first authorized by the board of trustees of the university or in pursuance of authority conferred by the university rules.

(B) Whenever the board of trustees shall have authorized or ratified the making of any contract or the execution of a written instrument of any kind involving a sum or sums in excess of five million dollars, the chairperson or in his/her absence a vice chairperson, and in his/her absence the chairperson of the finance and administration committee, shall, without special authorization by the board, execute and deliver such documents as may be necessary or proper for the performance of the university’s obligations thereunder. The signature of a vice chairperson to any such writing shall, when attested and authenticated, as provided in these bylaws, be conclusive as to the absence of the chairperson, and the signature of the chairperson of the finance and administration committee to any such writing shall, when attested and authenticated, as provided in these bylaws, be conclusive as to the absence of the chairperson and a vice chairperson. All instruments executed by the chairperson, vice chairperson or chairperson of the finance and administration committee shall be reported by the secretary at the next regular meeting of the board.

(C) Contracts involving the purchase or sale of operating real estate must be approved by the board of trustees, regardless of amount. Other contracts involving sums of one million nine hundred ninety-six thousand five hundred dollars or less may be executed as follows

(D) All non-sponsored contracts, purchase orders, and modifications thereof that require the expenditure of funds by the university of amounts greater than five million dollars shall require prior approval of the board of trustees, and shall be executed by the chairperson, vice chairperson or chairperson of the finance and administration committee as authorized in paragraph (B) of this rule, without further approval, unless execution authority is specifically delegated to the president.

(E) Contracts other than those for the purchase or sale of operating real estate involving sums of five million dollars or less may be executed as follows:

Without board of trustees’ approval, the president or his/her delegate appointed pursuant to paragraph (F) of this rule shall have the authority to:
1. Approve all budget transfers in undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts of four million five hundred dollars or less. The four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee or in his/her absence the vice chairperson of the finance and administration committee, which consent when given by the vice chairperson of the finance and administration committee shall, when attested, be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval shall be preferred. The president shall report all such approvals to the board for information at its next regular meeting.
2. Approve and execute
  1. Contracts (including term contracts that are the result of ordinary competitive bidding procedure), purchase orders and modifications thereof that require the expenditure of funds by the university of amounts not in excess of four million five hundred thousand dollars; provided that the four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee or in his/her absence the vice chairperson of the finance and administration committee, which consent when given by the vice chairpThe president shall report all such approved and executed contracts, purchase orders, grants or modifications to the board for information at its next regular meeting or at such intervals as the board of trustees shall direct. Such report may be in summary form showing aggregated information for multiple contracts.erson of the finance and administration committee and attested as provided in these bylaws shall be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred.
  2. (ii) Grants, sponsored contracts and other contracts that do not require the expenditure of funds by the university (other than as an incident of performance of the contract), and modifications thereof, in any amount.
    
    The president shall report all such approved and executed contracts, purchase orders, grants or modifications to the board for information at its next regular meeting or at such intervals as the board of trustees shall direct. Such report may be in summary form showing aggregated information for multiple contracts.
Contracting officers.

The general counsel of the university is the university’s contracting officer except as specifically provided for herein.
1. Without board of trustees’ approval the contracting officer shall have the authority to execute
  1. Contracts, purchase orders, and modifications and amendments thereto, on behalf of the university that require the expenditure of funds by the university of one million dollars or less;
  2. Leases of real estate, and modifications and amendments thereto, with the approval of the office managing university investment real estate;
  3. Contracts for the sale of investment real estate, and modifications and amendments thereto, together with such deeds, certificates, instruments and other documents as may be necessary or advisable to consummate such transactions and perform the obligations created thereby, with the approval of the administrative investments committee;\
  4. Contracts relating to the licensing, sale, assignment, transfer or other disposition of the university’s intellectual property rights in inventions, discoveries, patents, and copyrights, with the approval of the chief innovation officer or his/her delegate, and in trademarks, with the approval of the director of licensing; and
  5. Consents, applications, approvals, releases, affidavits, financing statements, certifications, waivers, powers of attorney and other actions of the university as may be necessary in the conduct of the ordinary course of the university’s business, with the approval of the president or the appropriate vice president.
    
    The signature of the contracting officer on any of the foregoing documents shall be conclusive evidence of the authority of the contracting officer to execute the same by and on behalf of the board of trustees.
2. The contracting officer may appoint other officers or employees of the university to serve as assistant contracting officers to whom the contracting officer may delegate some or all of the authority of the contracting officer to execute instruments. The signature of a duly appointed assistant contracting officer on any instrument described in sub paragraph (E)(2)(a) of this rule within the term of such appointment and scope of such delegation shall be conclusive evidence of the authority of the assistant contracting officer to execute the same by and on behalf of the board of trustees.
3. The contracting officer may appoint attorneys or other agents to attend the closing of real estate transactions and to execute closing documents on behalf of the board of trustees, to act on behalf of the university in prosecuting patent, copyright and other applications, to act on behalf of the university in clearing shipments through customs, and to act on behalf of the university in performing other representative functions; and the signature of any such duly appointed attorney or agent shall be conclusive evidence of his or her authority to execute the same on behalf of the board of trustees. All such appointments shall be in writing and shall be limited in scope and time to the particular transaction.
Without special authorization of the board, the secretary of the board shall have authority to amend this rule every three years, on July first, to reflect a ten per cent increase in the signing authority granted in the foregoing paragraphs of this rule.
Vice president for finance.
Without board of trustees’ approval, the vice president for finance shall have authority to execute contracts and change orders for construction projects within the limit of funds appropriated by the board for each project. Contracts and change orders executed by the vice president for finance shall be filed immediately with the contracting officer and/or the office of the board of trustees, as appropriate.
The senior vice president for administration and finance
The senior vice president for administration and finance shall have the same authority to execute instruments as that granted to the contracting officer by paragraph (E) (2) of this rule.

(F) All delegations of contracting authority whether by the president pursuant to paragraph (E) (1) of this rule or by the contracting officer pursuant to paragraph (E) (2) of this rule shall be in writing, shall identify the delegate by name, title and/or position of employment, shall describe the scope of the authority provided by the delegation, shall bear the signature of the president or contracting officer, and shall expire on the earlier of: (1) the date of expiration contained in the written delegation, (2) the date of death or separation from employment with the university of the president or contracting officer making the delegation, (3) the date of death or separation from employment with the university of the delegate; (4) the date written notice of revocation of the delegation signed by the president or contracting officer is delivered to the delegate, or (5) the date that is three years from the date of the delegation. The president and the contracting officer shall provide copies of all such delegations to the board of trustees at the next regular meeting of the board following any such the delegation. No person receiving a delegation of authority from the president or the contracting officer may further assign or delegate to any other person all or any part of the delegated authority. No delegation of authority by the president or the contracting officer shall exceed the limits established herein.

(G) Electronic signatures

Definitions
1. Authenticity - the assurance that an electronic signature is that of the person purporting to sign a record or otherwise conducting an electronic transaction.
2. Electronic signature - an electronic sound, symbol, or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.
3. Electronic transactions - the exchange of an electronic record and electronic signature between the university and a person to:
  1. Consent to release information;
  2. Purchase, sell or lease goods, services or construction;
  3. Transfer funds;
  4. Facilitate the submission of an electronic record with an electronic signature required or accepted by the university; or
  5. Create records formally issued under a signature and upon which the university or any other person will reasonably rely including but not limited to formal communication, letters, notices, directives, policies, guidelines and any other record.
4. Integrity - the assurance that the electronic record is not modified from what the signatory adopted.
5. Non-repudiation - proof that the signatory adopted or assented to the electronic record or electronic transaction.
Electronic transactions
1. This paragraph does not grant contracting authority to any individual or expand authority already granted.
2. The university shall enact policies governing the use of electronic signatures. Electronic signatures shall only be used in accordance with university policy.
3. An electronic signature may be accepted in all situations where the requirement of a signature or approval is stated or implied. An electronic transaction entered into pursuant to this rule and policies promulgated hereunder shall be presumed to be valid, and may not be denied legal effect or enforceability solely because it is in electronic form.
4. The university may, at its discretion, elect to opt out of conducting electronic transactions with any party or in any transaction, for any reason or no reason.
The method of applying electronic signatures shall require a separate and distinct action for each signature. The action may include a series of keystrokes, a mouse click, or other similar action.
The university shall establish procedures to provide authentication, non-repudiation and integrity to the extent reasonable for each electronic transaction.
Records of electronic transactions shall be maintained in accordance with the university record retention schedule for the type of transaction at issue.

Effective: January 30, 2019
Date: December 11, 2018 (Signature on file)
Promulgated under: R.C. Section 111.15 Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.04 Prior effective dates: March 16, 1978; March 1, 1981; July 1, 1981; January 7, 1983; November 1, 1984; December 18, 1985; February 16, 1987; February 13, 1990; April 18, 1990; April 23, 1991; February 26, 1992; October 15, 1992; May 2, 1994; August 12, 1994; February 28, 1995; August 21, 1995; November 17, 1995; February 12, 1996; August 4, 1998; July 2, 2001; December 19, 2001; June 13, 2002; September 4, 2003; July 1, 2004; January 11, 2005; November 13, 2006; January 1, 2007; April 12, 2007; December 05, 2009; November 28, 2016

10-1-07 Board of Trustees Bylaws: The annual budget.

(E) Contracts other than those for the purchase or sale of operating real estate involving sums of five million dollars or less may be executed as follows:

1. Without board of trustees’ approval, the president or his/her delegate appointed pursuant to paragraph (F) of this rule shall have the authority to:

(a) Approve all budget transfers in undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts of four million five hundred dollars or less. The four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee or in his/her absence the vice chairperson of the finance and administration committee, which consent when given by the vice chairperson of the finance and administration committee shall, when attested, be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval shall be preferred. The president shall report all such approvals to the board for information at its next regular meeting.

(b) Approve and execute

(i) Contracts (including term contracts that are the result of ordinary competitive bidding procedure), purchase orders and modifications thereof that require the expenditure of funds by the university of amounts not in excess of four million five hundred thousand dollars; provided that the four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee or in his/her absence the vice chairperson of the finance and administration committee, which consent when given by the vice chairperson of the finance and administration committee and attested as provided in these bylaws shall be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred.

(ii) Grants, sponsored contracts and other contracts that do not require the expenditure of funds by the university (other than as an incident of performance of the contract), and modifications thereof, in any amount.

The president shall report all such approved and executed contracts, purchase orders, grants or modifications to the board for information at its next regular meeting or at such intervals as the board of trustees shall direct. Such report may be in summary form showing aggregated information for multiple contracts.

2. Contracting officers.

The general counsel of the university is the university’s contracting officer except as specifically provided for herein.

(a) Without board of trustees’ approval the contracting officer shall have the authority to execute

(i) Contracts, purchase orders, and modifications and amendments thereto, on behalf of the university that require the expenditure of funds by the university of one million dollars or less;

(ii) Leases of real estate, and modifications and amendments thereto, with the approval of the office managing university investment real estate;

(iii) Contracts for the sale of investment real estate, and modifications and amendments thereto, together with such deeds, certificates, instruments and other documents as may be necessary or advisable to consummate such transactions and perform the obligations created thereby, with the approval of the administrative investments committee;

(iv) Contracts relating to the licensing, sale, assignment, transfer or other disposition of the university’s intellectual property rights in inventions, discoveries, patents, and copyrights, with the approval of the chief innovation officer or his/her delegate, and in trademarks, with the approval of the director of licensing; and

(v) Consents, applications, approvals, releases, affidavits, financing statements, certifications, waivers, powers of attorney and other actions of the university as may be necessary in the conduct of the ordinary course of the university’s business, with the approval of the president or the appropriate vice president.

The signature of the contracting officer on any of the foregoing documents shall be conclusive evidence of the authority of the contracting officer to execute the same by and on behalf of the board of trustees.

(b) The contracting officer may appoint other officers or employees of the university to serve as assistant contracting officers to whom the contracting officer may delegate some or all of the authority of the contracting officer to execute instruments. The signature of a duly appointed assistant contracting officer on any instrument described in sub paragraph (E)(2)(a) of this rule within the term of such appointment and scope of such delegation shall be conclusive evidence of the authority of the assistant contracting officer to execute the same by and on behalf of the board of trustees.

(c) The contracting officer may appoint attorneys or other agents to attend the closing of real estate transactions and to execute closing documents on behalf of the board of trustees, to act on behalf of the university in prosecuting patent, copyright and other applications, to act on behalf of the university in clearing shipments through customs, and to act on behalf of the university in performing other representative functions; and the signature of any such duly appointed attorney or agent shall be conclusive evidence of his or her authority to execute the same on behalf of the board of trustees. All such appointments shall be in writing and shall be limited in scope and time to the particular transaction.

3. Without special authorization of the board, the secretary of the board shall have authority to amend this rule every three years, on July first, to reflect a ten per cent increase in the signing authority granted in the foregoing paragraphs of this rule.

4. Vice president for finance.

Without board of trustees’ approval, the vice president for finance shall have authority to execute contracts and change orders for construction projects within the limit of funds appropriated by the board for each project. Contracts and change orders executed by the vice president for finance shall be filed immediately with the contracting officer and/or the office of the board of trustees, as appropriate.

5. The senior vice president for administration and finance

The senior vice president for administration and finance shall have the same authority to execute instruments as that granted to the contracting officer by paragraph (E) (2) of this rule.

(G) Electronic signatures

1. Definitions

(a) Authenticity - the assurance that an electronic signature is that of the person purporting to sign a record or otherwise conducting an electronic transaction.

(b) Electronic signature - an electronic sound, symbol, or process attached to or logically associated with a record and executed or adopted by a person with the intent to sign the record.

(c) Electronic transactions - the exchange of an electronic record and electronic signature between the university and a person to:

(i) Consent to release information;

(ii) Purchase, sell or lease goods, services or construction;

(iii) Transfer funds;

(iv) Facilitate the submission of an electronic record with an electronic signature required or accepted by the university; or

(v) Create records formally issued under a signature and upon which the university or any other person will reasonably rely including but not limited to formal communication, letters, notices, directives, policies, guidelines and any other record.

(d) Integrity - the assurance that the electronic record is not modified from what the signatory adopted.

(e) Non-repudiation - proof that the signatory adopted or assented to the electronic record or electronic transaction.

2. Electronic transactions

(a) This paragraph does not grant contracting authority to any individual or expand authority already granted.

(b) The university shall enact policies governing the use of electronic signatures. Electronic signatures shall only be used in accordance with university policy.

(c) An electronic signature may be accepted in all situations where the requirement of a signature or approval is stated or implied. An electronic transaction entered into pursuant to this rule and policies promulgated hereunder shall be presumed to be valid, and may not be denied legal effect or enforceability solely because it is in electronic form.

(d) The university may, at its discretion, elect to opt out of conducting electronic transactions with any party or in any transaction, for any reason or no reason.

3. The method of applying electronic signatures shall require a separate and distinct action for each signature. The action may include a series of keystrokes, a mouse click, or other similar action.

4. The university shall establish procedures to provide authentication, non-repudiation and integrity to the extent reasonable for each electronic transaction.

5. Records of electronic transactions shall be maintained in accordance with the university record retention schedule for the type of transaction at issue.

Effective: August 8, 2016
Date: June 21, 2016 (Signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Prior effective dates: March 16, 1978; November 1, 1984; April 18, 1990; January 11, 2005; November 13, 2006; January 1, 2007

10-1-08 Board of Trustees Bylaws: Reimbursement of expenses for board members.

(A) Trustees shall be entitles to reimbursement for reasonable and necessary expenses while engaged in the discharge of their official duties, including travel and other expenses incurred while attending meetings, other than Board of Trustees’ meetings, as a representative of the board.

Effective: April 18, 1990
Date: April 3, 1990 (Signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.01

10-1-09 Board of Trustees Bylaws: Adoption, amendment and rescission of the board bylaws and rules of the university.

(A) Bylaws of the Board of Trustees.
The bylaws of the board of trustees may be adopted, amended or rescinded at a regular or special meeting, by the vote of a majority of all the board. No such action shall be taken unless the bylaws proposed for adoption, amendment or rescission shall have been included in the notice of the meeting at which such action is proposed to be taken or the notice requirement is waived by unanimous consent of all the trustees eligible to vote thereon. Actions adopting, amending and rescinding bylaws shall become effective as provided in section 111.15 of the Revised Code.

(B) Rules of the university

Rules for the government and conduct of the university may be adopted, amended or rescinded by a majority vote of a quorum of the board and shall become effective as provided in section 111.15 of the Revised Code.
In addition to the above, the president of the university:
1. May amend any rule of the university, except a bylaw of the board, which:
  1. Would clarify or correct the language of the rule but would not constitute a substantive revision. A substantive revision changes the meaning, obligations, or rights provided for under the rule. A substantive revision does not include minor revisions such as punctuation, grammar, removing outdated references, and revisions that reflect changes to titles; or
  2. Would conform the rule to applicable laws or regulations.
2. May adopt, amend or rescind rules of the university which implement action approved or taken previously by the board of trustees. These adoptions, amendments and rescissions shall be effective as provided in section 111.15 of the Revised Code.
3. May adopt, amend or rescind rules of the university that constitute internal management rules, as defined in division (A)(3) of section 111.15 of the Revised Code, which action shall become effective as provided in section 111.15 of the Revised Code; and
4. Shall report to the board, for information at its next regular meeting, any rules adopted, amended or rescinded under the authority granted by paragraphs (B)(2)(a), (B)(2)(b), and (B)(2)(c) of this bylaw.

Effective: February 12, 2020
Date December 11, 2018 (Signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 121.22 R.C. 3361
Prior effective date: March 16, 1978; November 1, 1984; July 15, 1987; July 25, 1988; April 18, 1990

Organization

10-5-01 Organization: The president of the university.

(A) The president of the university shall be elected by and hold office at the pleasure of the board. The president shall be the executive head of the university and charged with the supervision of all its interests and activities.

(B) The president shall preside at commencements and other public occasions. The president shall have the authority to sign such diplomas and certificates and confer such degrees and honors as may be granted by the board unless such authority is rescinded by the board.

(C) The president or the president’s designee shall attend all meetings of the board and its committees. The president and the appropriate board committee chairperson shall have the authority to act for and in behalf of the board, when necessary, during the interval between the June and September meetings of the board, provided that any such action of a financial nature shall not exceed the authority granted by paragraphs (E)(2), (E)(3)(a), and (E)(3)(b) of this rule and by rule 3361:10-1-06 of the Administrative Code. All such actions shall be reported to the board at its September meeting.

(D) The president shall present proposed annual budgets, and submit to the board periodically, for its information, an organizational chart of the university. The president shall, preferably at a regular meeting of the board in the fall of every odd-numbered year, submit to it a biennial report for the prior two years.

(E) Without board of trustees’ approval, the president or the president’s designee shall have the authority to:

Approve all budget transfers in undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts of four million five hundred thousand dollars. The four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred. The president shall report all such approved transfers and appropriations to the board for information at its next regular meeting.
Approve and execute
1. Contracts (including term contracts which are the result of ordinary competitive bidding procedure), purchase orders and modifications thereof which require the expenditure of funds by the university of amounts not in excess of four million five hundred thousand dollars; provided that the four million five hundred dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee, or in the absence of the chairperson of the finance and administration committee, the vice chairperson of the finance and administration committee, which consent when given by the vice chairperson of the finance and administration committee and attested as provided in these bylaws shall be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred.
2. Grants, sponsored contracts and other contracts which do not require the expenditure of funds by the university (other than as an incident of performance of the contract), and modifications thereof, in any amount.
  
  The president shall report all such approved and executed contracts, purchase orders, grants or modifications to the board for information at its next regular meeting or at such intervals as the board of trustees shall direct. Such report may be in summary form showing aggregated information for multiple contracts.
All delegations of contracting authority by the president to a designee as authorized or provided for in paragraphs (E)(1), (2) and (3) of this rule shall be in writing and otherwise conform to the requirements of paragraph (F) of rule 3361: 10-1-05 of the Administrative Code.

(F) The president shall, upon receipt of written communications to the board from any employee, or from students or from student organizations of the university, transmit the same to the board.

(G) The president or the president’s designee shall have authority to approve appointments, promotions and dismissals of employees of the university except as specified by paragraphs (A)(1)(b) and (A)(2)(a) of rule 3361:10- 1-05 of the Administrative Code. The president shall be a member of the faculty of each college and division. The president may call special meetings of any college or division faculty or joint meetings of some or all such faculties. The president may preside at any university, college or school faculty meeting. The president shall have authority to appoint such committees as may seem to him or her appropriate.

(H) The president shall have the authority to take whatever action is necessary to maintain discipline at the university and to suspend any employee of the university, which actions shall have immediate effect.

(I) Except as specified by paragraph (A)(2)(b) of rule 3361:10-1-05 of the Administrative Code, the president shall have the authority to adopt necessary and reasonable personnel policies and procedures to amplify the university rules, the rules of the department of administration and finance, and the personnel procedures memoranda of the department of administration and finance. The president may delegate the authority granted by this paragraph.

(J) The president shall have the authority to adopt necessary and reasonable policies and procedures regarding the use of the facilities of the university, which amplify the university rules, and Ohio and federal law. The president shall also have the authority to amend or rescind such policies and procedures.

(K) The president shall have the authority to develop administrative guidelines and procedures to implement the rule on short-term loans, including such matters as the maximum dollar amount of all short-term loans and the administrative service fee assessed such short-term loans. The president may delegate the authority granted by this paragraph.

(L) The president shall have the authority to establish reasonable and necessary fees, and the process for assessing and refunding such fees, pursuant to paragraphs (B), (C), and (D) of rule 3361:20-31-01 of the Administrative Code.

(M) The president shall have the authority to establish and modify university parking rates and fines and to promulgate rules which implement the administration of parking pursuant to rule 3361:70-5-01 of the Administrative Code.

(N) The president shall recommend to the board for approval the appointment of any additional deans, directors or administrative officers as the president may deem necessary.

(O) The president shall have the authority to:

Adopt amendments to any university rule which:
1. Would clarify or correct the language of the rule but would not constitute a substantive change; or
2. Would conform the rule to applicable laws or regulations.
Adopt, amend or rescind rules which implement actions approved or taken previously, by the board of trustees. These adoptions, amendments and rescissions shall be effective as provided in section 111.15 of the Revised Code.
Adopt, amend or rescind internal management rules, as defined and pursuant to section 111.15 of the Revised Code and which shall be effective as provided in that section. Any rules adopted, amended or rescinded by the president under the authority granted by this paragraph shall be reported to the board of trustees for information at its next regular meeting.

(P) The president shall have authority to designate “employing units” for the university as such term is defined in division (A)(2) of section 145.297 of the Revised Code for purposes of early retirement incentive plans under the Ohio public employees retirement system.

Effective: December 5, 2009
Date: November 17, 2009 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.02; R.C. 3361.03; R.C. 3333.07; R.C. 1713.02; R.C. 3345-21-26
Prior effective dates: March 26, 1978; September 29, 1978; October 26, 1978; January 1, 1979; February 21, 1980; November 1, 1984; July 1, 1981; September 28, 1981; November 8, 1982; January 10, 1985; February 25, 1985; July 1, 1985; February 3, 1986; May 29, 1987; July 15, 1987; September 4, 1987; December 25, 1987; April 18, 1988; February 13, 1990; April 23, 1991; May 2, 1994; August 21, 1995; November 17, 1995; February 12, 1996; October 11, 1997; August 4, 1998; July 2, 2001; August 3, 2001; July 1, 2004; January 11, 2005; November 13, 2006; January 1, 2007; April 1, 2009

10-5-02 Organization: The vice presidents of the university.

(A) The board may, upon recommendation of the President, appoint one or more vice presidents of the university for a term of specific or indefinite duration agreed in advance of appointment and subject to periodic review. Each vice president serves at the pleasure of the board and the president during the period of appointment.

(B) In the selection of a senior vice president for academic affairs and provost, the president shall consult with a committee consistent with the guidelines outlined in rule 3361:10-6-01 of the administrative code "Organization: guidelines for provost and dean search and for decanal review process," before making a recommendation to the board.

(C) In the selection of all other vice presidents, the president shall appoint and consult with a committee before making his or her recommendation to the board.

(D) Each vice president shall have the authority to maintain discipline among those employees in his or her area of responsibility. Each vice president shall have the authority to suspend an unclassified employee, which action shall be effective when taken, subject to review, and confirmation, or modification by the president of the university.

(E) Each vice president shall indicate approval or disapproval of all recommendations for budgetary action exceeding $250,000 within his/her area of responsibility or of any amount between units within or between the vice presidential area. Vice presidents shall indicate approval or disapproval of all recommendations for all cash transfers, regardless of the amount, within his/her area of responsibility. Vice presidents shall have the power to delegate this authority for budget action approval to designated senior financial administrators holding the rank of Assistant Vice President or higher. Delegation of authority for cash transactions may only be designated to the direct report of the vice presidents holding the highest financial administrator ranking. The name of the requested delegate shall be submitted for approval to the VP for Finance. The name and signature of the person(s) to whom this power has been delegated shall be registered with the office of budget management. All budgetary and cash transfer recommendations requiring vice presidential authorization shall have approval indicated by electronic or handwritten signature of either the vicepresident or the designated senior administrator, as appropriate to the form documenting the action. The signature shall be in the name of the person signing the form.

Effective: August 8, 2016
Date: June 21, 2016 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.02; R.C. 3361.03;
Prior effective date: March 16, 1978; June 18, 1979; March 1, 1981; July 1, 1981; October 26, 1981; November 1, 1984; June 20, 1988; August 23, 1991; February 12, 1996; March 18, 2008

10-5-04 Organization: Senior vice president for administration and finance.

(A) The senior vice president for administration and finance, under the general supervision of the president, is directly responsible for the overall direction and management of the administrative and financial affairs of the university, including the following areas: campus master planning, including design, construction and space management; endowment management; university programs supporting community development in the greater Cincinnati region; human resources of the university; providing strategic leadership for policies, programs, activities, and services related to employees as well as overseeing and coordinating the related budgets; and providing oversight and guidance to the vice president for finance, who is responsible for all financial functions of the university.

(B) The senior vice president shall work closely with other cabinet members on strategic planning, regional research/economic development planning, auxiliary management, and governmental relations.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15.
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 117.05; R.C. 117.06; R.C. 1713.07; R.C. 3345.05; R.C. 3345.16; R.C. 3361.02; R.C. 3361.04.
Prior effective dates: March 16, 1978; April 8, 1978; November 1, 1984; May 1, 1989; February 13, 1990; April 15, 1991; November 17, 1995; July 19, 1996; December 18, 1997; June 13, 2002; January 11, 2005; November 13, 2006; June 15, 2012

10-5-05 Organization: Executive vice president for academic affairs and provost.

(A) The executive vice president for academic affairs and provost shall, under the general supervision of the president, exercise executive leadership and supervision in all matters relating to the academic life and the academic budgets of the university. The executive vice president for academic affairs and provost shall have general supervision over the dean and university librarian; the university dean of the graduate school; and the deans in all colleges and other academic officers.

(B) Bylaws and amendments thereto of the colleges and faculties must be approved by the executive vice president for academic affairs and provost before they become effective. Bylaws and amendments of the colleges in the medical center shall be reviewed by the senior vice president for health affairs before being submitted to the executive vice president for academic affairs and provost for approval.

(C) Notwithstanding their responsibility to the executive vice president for academic affairs and provost, the deans shall carry out their roles as presiding officers of their respective faculties.

(D) The president may assign additional responsibilities to the executive vice president for academic affairs and provost as deemed necessary.

Effective: April 1, 2019
Date: March 18, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.02; R.C. 3361.03.
Prior effective date: March 16, 1978; November 1, 1984; April 15, 1991; November 17, 1995; March 1, 1998; January 11, 2005; April 7, 2008

10-5-07 Organization: Vice president for finance.

(A) The vice president for finance shall, under the general supervision of the senior vice president for administration and finance, perform the duties listed in this section. The vice president for finance prepares the university’s budget, accounts for revenues and expenditures, develops the system of internal controls and the informational base for financial planning and decision-making, coordinates the university’s temporary investment portfolio, supervises the preparation of an annual financial report which shall constitute the permanent financial record of the university and the presentation of such report and any other related audit reports to the audit and risk management committee of the board of trustees. In addition to the foregoing, the vice president for finance shall develop the process for evaluating and selecting underwriting services for the university and shall recommend selected providers to the board. The process developed by the vice president for finance shall be deemed a modification of competitive bidding guidelines pursuant to paragraph (I) of rule 3361: 20-23-02 of the Administrative Code.

(B) The vice president for finance shall provide leadership and coordination to the controller, the treasurer, and the offices of budget management and business core systems. The vice president for finance shall also provide management and maintenance of the university’s physical plant and utilities; the maintenance and control of university property and inventories; the administration of auxiliaries, including the bookstores, vending, housing and food services, the student union and recreation center, transportation services, trademark and licensing, and parking services; administrative activities related to recreational sports, intramurals, and university conferencing.

(C) The vice president for finance may assign to a branch campus dean the authority to act in his behalf for the management and maintenance of the physical plant of the branch campus administered by that dean, but shall nonetheless retain overall responsibility for such physical plant.

(D) The vice president for finance shall prepare detailed quarterly reports on the finances of the university so as to give the finance and administration committee, through the president, a current picture of the financial condition of the university.

(E) As necessary, the vice president for finance shall develop recommendations for policy or program changes to control expenditures within the level of projected revenues. The vice president for finance shall monitor departmental performance against the budget, and shall provide guidance and internal advising to departments in the area of program planning, budget control, and management improvement.

(F) As necessary, the vice president for finance shall develop recommendations for policy, program and operations changes to conserve resources, introduce cost effectiveness, take advantage of new technologies, and meet changing university needs.

(G) The senior vice president for administration and finance may assign additional responsibilities to the vice president for finance as deemed necessary.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15.
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 117.05; R.C. 117.06; R.C. 1713.07; R.C. 3345.05; R.C. 3345.16; R.C. 3361.02; R.C. 3361.04.
Prior effective dates: March 16, 1978; April 8, 1978; November 1, 1984; May 1, 1989; February 13, 1990; April 15, 1991; November 17, 1995; July 19, 1996; December 18, 1997; June 13, 2002; January 11, 2005; November 13, 2006; January 1, 2007; April 1, 2009; September 1, 2011; June 15, 2012

10-5-08 Organization: Vice president for health affairs.

(A) The vice president for health affairs shall, under the general supervision of the president, exercise executive leadership and supervision over the medical center and shall have general supervision of clinical programs in the medical center. The vice president for health affairs shall be responsible for patient care in the medical center; for the overall operation and administration of the medical center in accordance with relevant university policies and procedures and cooperation with the other vice presidents of the university; and for the fulfillment of the medical center’s responsibilities in educational leadership and effective cooperation with all appropriate health agencies in the community.

(B) The vice president for health affairs shall be responsible for coordination of the university’s role in the health alliance of greater Cincinnati and of the university’s role in patient care; and in research that is conducted in facilities operated by the health alliance of greater Cincinnati.

(C) Notwithstanding their responsibility to the vice president for health affairs the deans of the colleges in the medical center shall continue to carry out their roles as presiding officers of their respective academic faculties under the general supervision of the senior vice president for academic affairs and provost.

(D) The president may assign additional responsibilities to the vice president for health affairs as deemed necessary.

Effective: April 7, 2008
Date: March 18, 2008 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.

10-5-10 Organization: Vice president for research.

(A) The vice president for research shall, under the general supervision of the president, be responsible for all matters pertaining to internally and externally sponsored research, for management of the university's programs for compliance with federal, state, and local regulations regarding conduct of research, and for general supervision of research programs established at the university. The university research council and the fellows of the graduate school shall report to the vice president for research.

(B) Responsibility for the human research protection programs is vested in the vice president for research. Such responsibility shall include:

Ensuring adequate resources for the human research protection program;
Ensuring independence of the university’s institutional review boards and other institutional review boards relied on by the university;
Periodic review of the human research program, to ensure compliance with all relevant legal and policy standards; and
Approval of all policies and procedures governing the conduct of human subjects research by or under the auspices of the University of Cincinnati or its faculty.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.02; R.C. 3361.03.
Prior effective date: March 16, 1978; October 26, 1978; May 24, 1980; November 1, 1984; December 18, 1985; April 15, 1991; June 17, 1998; July 13, 1999; January 14, 2005; April 07, 2008

10-5-12 Organization: Vice president for legal affairs and general counsel.

(A) The vice president for legal affairs and general counsel shall, under the general supervision of the president and subject to the statutory authority of the attorney general, be responsible for all matters pertaining to the university's legal affairs. In this capacity, the vice president for legal affairs and general counsel shall provide advice to the board of trustees, to the president, and to other officers and employees on all legal matters affecting the university; manage litigation involving the university; and develop recommendations respecting the university's compliance with applicable state and federal laws.

(B) The president may assign additional responsibilities to the vice president for legal affairs and general counsel as deemed necessary.

Effective: January 12, 2005
Date: December 22, 2004 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361
Rule amplifies: R.C. 3361.03
Prior effective date: February 15, 1990; February 14, 1997

10-5-14 Organization: Treasurer.

(A) The treasurer shall, under the general supervision of the vice president for finance, be responsible for collection and deposit of all receipts of the university and its colleges, divisions, and departments from whatever sources derived, in depositories designated by the board, payment of all financial obligations of the university by checks signed and countersigned in accordance with resolutions of the board, issuance of debt in the form of long-term bonds and/or short-term notes as may be regularly authorized by the board of trustees, ensuring compliance with all aspects of federal, state, and local tax codes and regulations, and coordinating the university's investment portfolio. The treasurer shall serve as an officer of the university.

(B) The treasurer shall either give bond to the state or be insured for the faithful performance of the treasurer’s duties and the proper accounting for all moneys coming into the treasurer’s care. The authority to determine whether a bond or insurance shall be obtained and to determine the amount of said bond or insurance is delegated to the senior vice president for administration and finance, and these determinations shall be reported to the board at the next regularly scheduled board meeting after the bond or insurance is obtained. In no event shall the amount of said bond or insurance be for a sum less than the estimated amount which may come into the treasurer’s control at any time, less any reasonable deductible. The expenses of such bond or insurance shall be paid from the general funds of the university.

Effective: October 10, 2011
Date: September 20, 2011 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.02
Prior effective date: April 15, 1991; August 23, 1991; February 28, 1995; June 15, 1995; November 17, 1995; December 18, 1997; January 12, 2005; November 13, 2006; December 1, 2008

10-5-17 Organization: Vice president for advancement.

(A) The vice president for advancement shall, under the general supervision of the University of Cincinnati president, be responsible for all fund-raising activities of the University of Cincinnati foundation and of the university. The president of the University of Cincinnati foundation shall act and serve ex officio as vice president for advancement.

(B) The University of Cincinnati president may assign additional responsibilities to the vice president for advancement as deemed necessary.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03
Prior Effective Date: November 17, 1995

10-5-20 Organization: HIPAA administration and compliance.

(A) The university is committed to compliance with all requirements of the Health Insurance Portability and Accountability Act of 1996 and its implementing regulations (hereinafter “HIPAA”), as they may be amended from time to time.

(B) Because the university only uses, and engages in electronic transactions involving, HIPAA protected health information for a part of its operations, the university has designated itself as a hybrid entity for purposes of HIPAA compliance. The designated health care components of the university’s hybrid entity subject to the specific requirements of HIPAA are the following:

University health services
Hoxworth blood center
College of medicine
Human resources component administering the university’s health plans
Office of general counsel
UC information security department
Office of research compliance & regulatory affairs
Internal audit
Such other components as may be required to comply with changes in the law, or that are necessary for the orderly operation of the university as determined in writing by the senior vice president for academic affairs and provost.

In the event an additional university component is designated as part of the university’s hybrid entity, the senior vice president for academic affairs and provost shall report such designation to the board for information at its next regular meeting.

(C) Overall administration of university’s HIPAA compliance program shall be the responsibility of the university HIPAA privacy official, who shall be appointed by and shall report to the senior vice president and provost. The responsibilities of the university privacy official shall include:

Developing, implementing and maintaining the HIPAA compliance program
Coordinating the implementation of appropriate policies and procedures
Developing and overseeing the training of employees in the healthcare components of the hybrid entity and other employees as appropriate
Serving as the contact person for any HIPAA related complaints and administering appropriate complaint procedures and processes
Overseeing HIPAA breach notification
Coordinating the implementation and enforcement of sanctions against employees who violate HIPAA policies
Conducting HIPAA audits
Overseeing institutional HIPAA compliance
Developing, implementing and monitoring all other obligations of the university under HIPAA

(D) Although only the healthcare components of the university’s hybrid entity are part of a covered entity for purposes of HIPAA compliance, all employees of the university are required to protect and safeguard the confidentiality of individually identifiable health information relating to the physical or mental health or condition of an individual, the provision of health care to an individual or the payment for health care for an individual. This requirement is a statement of university policy and is not intended to subject components of the university that are not part of the university’s hybrid designation to the specific requirements of HIPAA.

Effective: July 15, 2011
Date: June 21, 2011 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03

University Committees

10-6-01 University committees: Presidential search committee.

(A) Whenever a vacancy shall occur in the office of the president, or is imminent, the chairperson of the board of trustees shall appoint the members and the chair of a search committee with the advice and approval of the board of trustees. The search committee shall be composed of:

Two members, whom the chairperson shall select from among the members of the board of trustees;
Two faculty members elected by faculty senate;
Two members, whom the chairperson shall select from among the members of the student body, one of whom shall be from the graduate student government and one from the undergraduate student government;
Two members, whom the chairperson shall select from among the deans of the colleges of the university;
One member, whom the chairperson may select from the community;
Two members, whom the chairperson may select from the board of directors of the University of Cincinnati foundation, one of whom must be an alum of the University of Cincinnati;
One staff member elected by staff senate;
One member, selected by the chancellor of the Ohio department of higher education;
The current chairperson of the board of trustees; and
One member, whom the chairperson shall select from among the former members of the board of trustees.

(B) The search committee shall assist the board in identifying candidates. The executive director of board relations shall serve as secretary to the search committee.

Effective: May 29, 2019
Date: May 13, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective dates: March 16, 1978; September 29, 1978; November 25, 1978; September 8, 1980; December 7, 1980; November 8, 1982; November 30, 1983; November 1, 1984; January 10, 1985; March 8, 1985; August 9, 1985; February 3, 1986; December 25, 1987; March 24, 1989; February 13, 1990; April 18, 1990; May 2, 1994; August 12, 1994; February 28, 1995; August 21, 1995; February 12, 1996; April 23, 1996; October 11, 1997; August 4, 1998; April 20, 2000; July 2, 2001; February 11, 2002; December 11, 2002; February 5, 2007; June 10, 2008; April 1, 2009; February 15, 2010

10-6-02 University committees: Guidelines for provost and dean search and for decanal review process.

(A) Provostal searches: establishment and composition of a provostal search committee.

The action necessary to establish a search committee for a provost will be taken by the president.
The search committee for a provost will consist of the following:
1. Four presidential appointments (one of whom shall chair the committee) to include the following:
  1. Two faculty members, one of whom must be from the provostal area and one of whom must be a member of the bargaining unit.
  2. One dean.
  3. One open appointment.
2. Three faculty elected by the faculty senate.
3. One dean elected by the council of deans.
4. One undergraduate student elected by the undergraduate student senate.
5. One graduate student, elected by the graduate student association.
6. The composition of the above committee shall reflect special needs (e.g., affirmative action and special interest off-campus groups). If these needs are not met, then up to two additional members may be added by the president.

(B) Decanal searches: establishment and composition of a decanal search committee.

The action necessary to establish a search committee for a dean will be taken by the appropriate provost.
The search committee for a dean will consist of the following:
1. Five provostal appointments to include the following:
  1. The chair – must be an outside dean or senior administrator with a faculty appointment and will be a non-voting member of the committee.
  2. Two faculty members – must be members of the college for which a dean is being sought.
  3. A student in those colleges which have both graduate and undergraduate programs; otherwise, an open appointment.
  4. A student.
2. Three faculty elected by the faculty in the college.
3. In case of special need (e.g. to give weight to affirmative action, departmental interests in multidepartmental colleges, or to represent off-campus groups) up to two additional members may be added to a search committee by the provost.

Confidentiality.
1. Because of the sensitive nature of decanal and provostal searches and reviews, the internal proceedings of all the committees described in this document will be kept confidential to the extent permitted by law.
2. The committee will not accept anonymous information and opinions. All written material submitted to and retained by the search committee is subject to disclosure under Ohio law.
Orientation Session
1. Before the committee begins its work, there will be an orientation and training session arranged by the appropriate provost or the president. At this session, the provost or president will discuss with the committee:
  1. The charge for the committee.
  2. As part of the charge provide the chair with copies of the “affirmative action pre-employment guidebook” published by the office of affirmative action and the “search committee manual” published by the personnel department of the university in order to become familiar with these documents prior to the first meeting of the search committee.
  3. A representative from the office of affirmative action should inform the committee of the utilization of minorities in the area of the search and therefore of the affirmative action goals for that unit. The rules of operation will be shared with the affirmative action office for their information.
2. At this session, the provost or the president will discuss with the committee:
  1. The number of candidates who may be brought to the campus for interviews.
  2. The number and ranking of candidates who should be recommended for the position.
  3. The kind of interaction which the provost or president wishes to have with the search committee during the search.
  4. The criteria or objectives which should be used during the search, and
  5. The deadline or desirable date for soliciting applications and completing the search.
3. The search committee and the relevant provost or president will agree upon the procedures for the search and the criteria to be used in the search to evaluate candidates. These criteria must be uniformly applied to all candidates.
Rules of operation.
1. All specific rules listed in these guidelines will be observed. In all other situations, “Robert’s Rules of Order” will govern the operations of the committee unless the committee agrees to a different set of rules.
2. At its first meeting(s), the committee will establish a rule defining attendance and search committee participation requirements. Members of the committee who do not meet these attendance and participation requirements may be removed by a majority vote of the committee. Any vacant position may be filled through the same procedure by which the position was originally filled.
Staff support.
1. The appropriate provost or the president will provide the committee with such staff support or office help as is necessary for the performance of its functions.
2. Minutes of the official actions of the search committee meetings will be kept. Copies of the minutes will be given promptly to all committee members.
Solicitation of candidates.
1. No advertising or solicitation for the position will take place before the search committee and the relevant provost or president agree upon the appropriate criteria to be used in the search to evaluate the candidates. Before placing any ads, the search committee will secure confirmation by the affirmative action office that the ads match the description of the position for which the search is being conducted. The chairperson of the committee will be responsible for advertising and solicitation.
2. The job description and other requirements and criteria will be distributed to the university community and posted on the web along with an invitation to send the committee either names of possible candidates or letters of application. In the case of a decanal search, the same information and invitation will be sent in writing to all faculty, administration and staff of the college the dean is to head.
3. If the search is to be partly or wholly external, it will be advertised in appropriate media with special attention to media catering to groups covered by affirmative action.
4. At the discretion of the committee, initial screening may involve personal interviews.
Initial screening of candidates.
1. The complete file of every candidate will be made available to every member of the search committee. Committee members are to treat all files and copies as confidential and will refrain from public comment on the committee’s deliberations through the initial screening process.
2. In a timely manner, the committee or a special subcommittee, will undertake a preliminary screening to determine how representative the pool of candidates is in regard to the search criteria and to the affirmative action goals. The committee will determine whether additional steps need to be taken to produce a pool which better reflects the hiring goals and the search criteria for that position.
3. If a consultant or search firm is authorized, that consultant or search firm:
  1. Should be approved by the committee;
  2. Should conduct a search according to the terms and conditions set forth by the committee; and
  3. Shall work with and report to the committee.
4. When preliminary screening is completed, the committee will then screen the applicants and decide approximately how many candidates should be interviewed and will then choose which ones to invite for on campus interviews and in what order.
Notifying eliminated candidates.
As soon as the committee is convinced that any particular candidate is not a viable candidate, such a candidate should be promptly notified in writing that he or she has been eliminated.
On campus interviews.
1. All candidates should be interviewed in a comparable fashion.
2. The committee as a whole will interview each invited candidate. If possible, the committee should arrange for some of its members to talk with the candidate in an informal setting, for example, at lunch or dinner or some other social function.
3. The committee will schedule on campus interviews with groups from the appropriate college or university, including the faculty, administrators, staff, and students.
4. The on campus group interviews will be advertised as extensively as possible. It is imperative that there be timely notification of the times and dates of such interviews, including distribution of the candidate’s qualifications.
5. In addition, as it deems advisable, the committee may invite particular individuals and groups to hold separate interviews with the candidate. Some possible individuals and groups are:
  1. For provostal searches:
    The president
    The senior vice presidents and provosts
    Deans of appropriate provostal units
    Vice and associate provosts
    Provostal staff
    The faculty senate executive committee
    Representatives from appropriate students’
    governance groups
    Representatives from appropriate interest groups, such as black and women’s faculty, administration, and staff groups
    Relevant community groups
  2. For decanal searches:
    The president
    The appropriate provost
    The current dean
    Associate and assistant deans
    Unit heads of the colleges
    The college faculty executive committee
    Appropriate student groups
    Representatives from appropriate special interest groups, such as black and women’s faculty, administration, and staff groups
    Relevant community groups
    
    At all interviews, the participants will be invited to provide comments to the search committee.
Selection.
1. After the interviews are completed, the committee will discuss each interviewed candidate and, if it deems itself ready, will select by vote the persons it wishes to recommend to the president or relevant provost as finalists.
2. All voting at this stage in the process may be by secret ballot and confirmed by at least two members of the committee.
3. After this vote there may be a meeting of the committee and the president or relevant provost to discuss the relative strengths and weaknesses of final candidates. The president or relevant provost shall then determine which, if any, of the finalists to recommend to the board of trustees.
4. Before making public the decision on whom to recommend, the relevant provost or the president should meet with the committee to inform and discuss his or her decision.
Publicity.
The chairperson will provide periodic and timely written reports on the progress of the committee without compromising the issue of confidentiality. Such reports will be distributed as appropriate to the university community. In addition, committee members should make regular reports to their constituencies by other means regarding the progress of the search. All reports should be accompanied by an invitation to send comments to the committee.

(D) Decanal review.

Section 1. Criteria.
Following the search process and as part of the appointment of any new dean, that dean and the relevant provost will decide upon the performance criteria and operationally meaningful measures by which the dean is to be judged. These criteria will include but need not be limited to:
1. Generic criteria – those criteria which relate to the tasks performed by any dean; and
2. College specific criteria – those criteria which relate to the responsibilities specific to that college, including the relationships to local, state and professional agencies and societies (e.g., relation to the artistic community and performance world for the “CCM” dean; designation as a state of Ohio defined head of teacher education for the college of education dean; responsibilities of the college of law dean to certify to the state of Ohio regarding graduates of the college of law; and the relationship between the county medical society and the dean of the college of medicine); and
3. Specified unit expectations at a given point in time which may be determined relative to available resources, university initiatives or strategic plan, or other imposed restrictions.
Section 2. Annual assessment.
Each dean will be assessed on an annual basis by the relevant provost using the above criteria and measures. This annual assessment should be summarized by the provost in a written report to the dean who, in turn, should respond to the report in writing if the dean wishes to do so. Following the annual assessment, each dean shall make a meaningful, written report to the faculty of the college regarding how the goals and objectives of the college are being met.
Section 3. Decanal review.
Early in the fall term of the penultimate year of each dean’s appointment, the relevant provost shall ascertain if the dean wishes to serve another term. If the dean does wish to serve another term, the dean shall be reviewed by the relevant provost using the annual assessments and the following new materials and assessments prepared for that review.
1. A brief (no more than ten pages) self-assessment of the dean’s tenure. In addition, the dean will provide additional material as requested by the provost.
2. Letters of support solicited by the provost from a list of individuals submitted by the dean.
3. Assessment of the dean’s role in achieving the current goals and objectives of the college.
4. Assessment of the dean’s role in achieving the level of education, research (as appropriate) and service (as appropriate) that is carried on within the college.
5. Assessment of the dean’s performance by college administrative staff, solicited by the provost.
6. Assessment of the dean’s performance by administrative peers, solicited by the provost. Administrative peers may include individuals both inside and outside of the university.
7. Assessment by other relevant groups or individuals of the provost’s choice (e.g., students, alumni, professional or community groups such as the county medical society or the bar, as appropriate).
8. Assessment by a committee of faculty of that college charged to report to the provost on the quality of leadership provided by their dean in accomplishing the goals and objectives for the college.
  
  When the relevant provost has considered all of the above and has determined whether to recommend reappointment of the dean, the provost shall first meet with the faculty assessment committee to discuss this decision. If the reappoint/not reappoint decision is contrary to the recommendation of the faculty assessment committee, the provost will present to the committee the justifications for the contrary decision. Following this meeting, the provost will meet with the dean. Should the decision be to recommend reappointment of the dean, the provost and the dean will review and update, as appropriate, the goals and objectives for that particular college; the dean will then issue a report to the faculty as done after each of the annual assessments including in that report the length of the reappointment. If the decision of the provost is not to recommend reappointment of the dean, the provost will convene a search committee as outlined in the university rules.
  
  This review process should begin within two months of the dean’s notification to the provost of the intent to serve another term and is to be completed within three months, excluding regular academic breaks, from the first meeting of the faculty assessment committee.
Section 4. Faculty assessment committee. The faculty assessment committee (a.k.a. faculty decanal review committee) shall report to the provost on the quality of leadership provided by their dean in accomplishing the goals and objectives for the college.
1. All individuals holding a full-time faculty title in the college will be eligible to serve on a decanal review committee. The faculty assessment committee will consist of:
  1. Five faculty members from the dean’s college elected by the faculty of the college, at least one of whom shall be a tenured faculty member and at least one of whom shall be an untenured faculty member (at the time of the election), unless no untenured faculty member is willing to serve. The relevant provost will meet with the faculty of the college to explain the review process and to call for the election of these five committee members through the faculty governance structure of the college.
  2. At his/her discretion, the relevant provost may appoint an additional faculty member from the dean’s college to the faculty assessment committee in order to achieve balanced faculty representation.
  3. In accordance with established college procedures, up to two non-voting student members may be selected from the students in the college.
2. This committee, when formed, will meet with the relevant provost to receive its charge. The provost will provide the committee with copies of the annual reports that the dean has prepared for the faculty during the dean’s tenure plus those items listed in this rule in paragraphs (D)(3)(a) [self assessment], (D)(3)(b) [letters of support], (D)(3)(e) [assessment by college administrative staff], (D)(3)(f) [assessment by administrative peers], and (D)(3)(g) [assessment by other relevant groups or individuals] of this rule. The dean shall also submit to the committee his/her dossier: included should be the college’s mission statement and/or long-range plan, and any other relevant material the dean wishes to include.
  While the faculty assessment committee may set its own agenda, it must function in a confidential manner during its deliberations to the extent permitted by law. In addition to a review of the above listed materials, it is recommended that the committee’s review include:
  1. The current goals and objectives of the college, how well they are being met, and how well the faculty perceives they are endorsed and furthered by the incumbent dean;
  2. The overall quality of the education, research (as appropriate) and service (as appropriate) that is carried on within the college as it reflects the leadership of the dean and the resources made available to the dean; and
  3. Significant issues that the faculty of the college perceive as being consequential within the college or the university.
3. In support of its agenda the faculty assessment committee may collect data from the faculty of the college by interviews, solicitation of letters, and/or surveys.
4. Any written material submitted to and retained by the faculty assessment committee is subject to disclosure according to the laws of the state of Ohio. Any material to be considered by the committee must be submitted in writing and must be signed. The committee may consider anonymous information only when it is derived from a general survey used to determine the level of support for and confidence in the dean. The survey must be reviewed, approved, and executed by an appropriate research group on campus such as the institute for policy research. This group shall compile the results of the survey, including those open-ended comments provided in response to the survey but excluding ad hominem attacks. These compiled results will be presented to the faculty assessment committee for its review and consideration.
5. When the faculty assessment committee has gathered its data and completed its internal deliberations, it shall meet with the provost to present its findings, to respond to questions by the provost, and to ask questions of the provost. Following this dialogue the committee will submit a summary report to the provost, including a recommendation for reappointment or non-reappointment of the dean.

Replaces: Former 3361:10-6-01
Effective: December 11, 2002
Date: November 29, 2002 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective date: June 20, 1988; July 5, 1988; January 8, 1990; February 13, 1990; June 20, 1997

10-6-03 University committees: Special and advisory committees.

Special and advisory committees, which shall include non-board members, may be appointed by the Chairperson of the Board of Trustees.

Replaces: Part of 3361:10-1-05
Effective: December 11, 2002
Date: November 29, 2002 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective dates: March 16, 1978; September 29, 1978; November 25, 1978; September 8, 1980; December 7, 1980; November 8, 1982; November 30, 1983; November 1, 1984; January 10, 1985; March 8, 1985; August 9, 1985; February 3, 1986; December 25, 1987; March 24, 1989; February 13, 1990; April 18, 1990; May 2, 1994; August 12, 1994; February 28, 1995; August 21, 1995; February 12, 1996; April 23, 1996; October 11, 1997; August 4, 1998; April 20, 2000; July 2, 2001; February 11, 2002

Affirmative Action

10-13-01 Affirmative action: University policy on non-discrimination.

(A) The University of Cincinnati is committed to excellence and diversity among its students, faculty, and staff, and in its programs and activities. In order to achieve excellence and diversity, the university is fundamentally committed to ensuring equal opportunity for all through affirmative action, and by providing an inclusive environment free from discrimination and harassment. The university reaffirms its policy that discrimination and harassment on the basis of age, ancestry, color, disability, gender identity and/or expression, genetic information, military status (including veteran status), national origin, race, religion, sex, sexual orientation, parental status (including status as a foster parent), pregnancy, or any other status protected by law (collectively, “protected class”) are prohibited in any of its activities, programs, admissions, or employment. Furthermore, where past or present discrimination continues to have an adverse impact upon a protected class, the university will take affirmative action in order to carry out its policy of non-discrimination and equal opportunity for all.

(B) The university president has authority to create and implement policies to bring the university in compliance with Title IX regulations and applicable laws. The president may delegate this authority to the proper university department, who must work in consultation with the office of general counsel and in coordination and collaboration with other appropriate university offices.

Effective: September 25, 2020
Date: September 11, 2020 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03; R.C. 3333.041; R.C. 5903.08; R.C. 4112.02
Prior effective dates: March 16, 1978; October 17, 1980; October 15, 1992; May 17, 2002; February 15, 2009; April 11, 2011; January 8, 2020

Conduct & Ethics

10-17-01 Conduct and ethics: Statement on political policy.

(A) The University of Cincinnati, a public institution dedicated to providing an environment conducive to teaching, learning, research, and a continuing search for truth, will generally remain neutral on any matter of political advocacy or public controversy or concern. The board of trustees, or its designee, shall determine whether the university will take a position on any matter of political advocacy or public controversy or concern. Notwithstanding the foregoing, under no circumstances will the university take a position in support of or against a political candidate for office.

(B) This rule is not intended to limit university staff, faculty, or the student body from engaging in constitutionally protected activity in their capacities as individual citizens. However, since the collective reputation of the university cannot be abrogated by an individual or group, any such activity must be taken in a way to make clear that it is not being carried on by or in the name of the university, unless authorized by the board of trustees, or its designee, as set forth in section (A).

(C) Letters, statements, or other means of communication or support by members of the staff, faculty, or student body on matters of political advocacy or public controversy or concern may not use the university’s name, logos, copyrights, trademarks, or other university resources unless authorized by the board of trustees, or its designee, as set forth in section (A).

Effective: January 8, 2020
Date: December 18, 2019 (signature on file)
Promulgated under: R.C. Section 111.15; Rule amplifies: R.C. 3361.03; R.C. 3345.021; R.C. 3345.21;
Prior effective dates: March 16, 1978; October 28, 1998

10-17-02 Conduct and ethics: Specific violations.

(A) Students: Students are expected to conform to those standards of conduct applicable to them as students. The standards of conduct and accompanying procedures are detailed in division 40 of the rules of the university. Violations of the university motor vehicle regulations by students are heard by student court. Violations of the state motor vehicle code will be heard by the Hamilton County Municipal Court.

(B) Employees: University employees are subject to university rules, regulations, policies and standards of conduct applicable to their respective positions and which provisions do not conflict with pertinent collective bargaining agreements. Other employee standards of conduct are detailed in the "Personnel Policies and Procedures Manual" and the "Staff Handbook." Violations of university motor vehicle regulation by faculty, staff and administrators are heard by the university parking appeals committee. Violations of the state motor vehicle code will be heard by the Hamilton County Municipal Court.

Effective: October 28, 1998
Date: October 7, 1998 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03; R.C. 3345.21-26; R.C. 3345.13; R.C. 1347.05; R.C. CH. 102; R.C. 2917.32.
Prior effective dates: March 16, 1978; April 26, 1982; November 1, 1984; February 25, 1985

10-17-03 Conduct and ethics: Code of Conduct.

(A) Introduction, purpose & scope:

Introduction As members of the University of Cincinnati (“university” or “UC”) community, all faculty, staff, students, members of the board of trustees, university officers and affiliates are responsible for maintaining the highest ethical standards of this institution, and of the broader community in which we function. The university values integrity, honesty and fairness and strives to integrate these values into its teaching, research, service and business practices.
Purpose This code of conduct (the “code”) is a statement of UC’s commitment to upholding the ethical, professional and legal standards we use as the basis for our daily and long-term decisions and actions. We all must be cognizant of and comply with the relevant policies, standards, laws and regulations that govern or relate to our role in the university community. We are each individually accountable for our own actions and, as members of the university community, are collectively accountable for upholding these standards of behavior and for compliance with all applicable laws and policies.
Scope The code applies to the following members of the university community:
1. members of the board of trustees;
2. faculty and staff;
3. any individual employed by the university, using university resources or facilities, or receiving funds administered by the university; and
4. volunteers and other representatives when speaking or acting on behalf of the University. Students are governed by rule 3361:40-5-05 of the Administrative Code.
Violations All members of the university community are responsible for bringing suspected violations of applicable standards, policies, laws or regulations to the attention of the appropriate office (see section J, below). University policy prohibits retaliation against individuals reporting suspected violations. Confirmed violations will result in appropriate disciplinary action up to and including termination from employment or other relationships with the university. In some circumstances, civil and criminal charges and penalties may apply.
Questions Any questions regarding the intent or applicability of this code should be directed to the office of the general counsel.

(B) Guiding principles
It is vital to the University’s missions of education, research and service that it maintain a reputation for integrity that includes, but is not limited to, compliance with laws and regulations and its contractual obligations. As a public institution supported by public resources, even the appearance of misconduct or impropriety can be very damaging to the university. UC must strive at all times to maintain the highest standards of quality and integrity. This involves more than merely complying with the law. Frequently, UC’s business activities and the other conduct of its community members are not governed by specific laws or regulations. In these instances, principles of fairness, honesty, and respect for the rights of others will govern our conduct at all times. In addition, each individual is required to conduct university business transactions with the utmost honesty, accuracy and fairness. Each situation needs to be examined in accordance with this standard. No unethical or unfair practice can be tolerated on the grounds that it is “customary” or a “standard business practice” for entities or individuals outside of UC or because it serves other worthy goals. Expediency should never compromise integrity. In complying with these guiding principles, you should ask yourself the following questions to aid in making the right decision about a possible course of action:

Are my actions illegal or unethical?
Am I being fair and honest?
Would I be embarrassed or unwilling to tell my family, friends or coworkers?
Would the reputation of UC be harmed if the action were revealed in the newspaper?
Am I personally uncomfortable with the course of action?
Could someone’s life, health, safety or reputation be endangered by my action?
Could the intended action appear inappropriate to a third party? These same questions can be used to evaluate the conduct of others.

(C) Confidentiality and privacy
Though UC is a public institution subject to state open records laws, members of the university community generate certain types of confidential, proprietary and private information that are exempt from disclosure. State ethics laws specifically prohibit the unauthorized disclosure of such information even after an individual is no longer employed by UC. It is imperative that each community member complies with all university rules, federal laws, state laws, agreements with third parties, and university policies and principles pertaining to the use, protection and disclosure of such information. Information on specific privacy laws, such as the Family Educational Rights and Privacy Act (FERPA – student records), and the Health Insurance Portability and Accountability Act (HIPAA – personal health information) may be obtained from the office of the general counsel.

(D) Conflict of interest/conflict of commitment UC faculty and staff owe their primary professional allegiance to the university and its mission to engage in the highest level of education, patient care, service, research and scholarship. Outside professional activities, private financial interests or the receipt of benefits from third parties can create an actual or perceived conflict between the university mission and an individual’s private interests. Such activities may also be unlawful under state ethics and other laws. In order to protect our primary mission, community members with other professional or financial interests shall make timely disclosure of such interests on an outside activity reporting form (OAR) in compliance with applicable conflict of interest/conflict of commitment policies, which are available on the following websites:

Rule 30-21-02 Employment: policy on collateral employment for faculty members and librarians.
Rule 30-21-03 Employment: collateral employment policy for all employees (excluding faculty and librarians).
Rule 10-17-08 Conduct and ethics: policy on conflicts of interest in the conduct of research at the University of Cincinnati.

Information on state ethics laws is available on the office of general counsel website and on the website of the Ohio ethics commission.

(E) Human Resources
The university’s mission statement includes a commitment “to excellence and diversity in our students, faculty, staff, and all of our activities.” Our strategic plan, UC|21, includes as one of its goals a commitment to “establish a sense of place.” Central to these commitments is the principle of treating each community member fairly and with respect. To encourage such behavior, the university prohibits discrimination and harassment and provides equal opportunities for all community members and applicants regardless of their race, color, religion, national origin, ancestry, disability, medical condition, marital status, sex, age, sexual orientation, veteran status, gender identity and expression or any other characteristic protected by law or policy. Where actions are found to have occurred that violate this standard the university will take prompt action to end the offending conduct, prevent its recurrence and discipline those responsible. Specific rules and policies in support of this standard are found at these locations:

University rule 10-13-01: University policy on non-discrimination
Office of equal employment opportunity website

In addition, the university places significant responsibility on those who supervise or instruct employees or students. Managers, supervisors, instructors, and advisors are expected to:

ensure access to and delivery of proper training and guidance on applicable workplace and educational rules, policies, and procedures, including this code;
ensure compliance with applicable laws, policies, and workplace rules;
review performance conscientiously and impartially;
foster intellectual growth and professional development;
promote a healthy, innovative, and productive atmosphere that encourages dialogue and is responsive to concerns

(F) Research university researchers have an ethical obligation to the university and to the larger global community as they seek and produce knowledge. Community members are expected to:

propose, conduct, and report research with integrity and honesty;
protect people and humanely treat animals involved in research or teaching;
learn, follow, and demonstrate accountability for meeting the requirements of sponsors, regulatory bodies, and other applicable entities including the appropriate use of finances;
faithfully transmit research findings;
protect rights to individual and university intellectual property;
ensure originality of work, provide credit for the ideas of others upon which their work is built, and be responsible for the accuracy and fairness of information published; and
fairly assign authorship credit on the basis of an appropriate array of significant intellectual contributions, including: conception, design, and performance; analysis and interpretation; and manuscript preparation and critical editing for intellectual content

Please see University rule 10-17-05 for policy for investigation of research misconduct.

Please see University rule 10-17-10 for ethical conduct in research involving human subjects

(G) Records accuracy All university records, whether they concern individual employees, the business dealings of the university, student records or research endeavors must be accurate, clear and complete. Examples include accounts, financial reports, tax returns, expense reimbursement requests, employee applications for benefits, time sheets and any other record that is submitted to or generated by the university for the purpose of carrying out its business, including those submitted to government agencies. All entries in university books and records, including departmental accounts and individual expense reports, must accurately reflect each transaction.

(H) Compliance with laws and standards Members of the university community must transact university business in compliance with applicable laws, regulations, and university policy and procedure. Managers and supervisors are responsible for being aware of their compliance obligations, for making sure that those persons they supervise are aware as well, and for monitoring compliance. When questions arise pertaining to interpretation or applicability of policy, the designated individual who has oversight of the policy must be contacted. Unresolved questions and/or interpretation of laws and regulations should be referred to the office of general counsel.

Contractual obligations: The acceptance of an agreement, including sponsored project funding, may create a legal obligation on the part of the university to comply with the terms and conditions of the agreement and applicable laws and regulations. Therefore, only individuals who have authority delegated by an appropriate university official are authorized to enter into agreements on behalf of the university.

Please see University rule 10-1-06 for information on execution of instruments.
Environmental health & safety, including workplace health and safety
Members of the university community must be committed to protecting the health and safety of its members by providing safe workplaces. The university will provide information and training about health and safety hazards and safeguards. Community members must adhere to good health and safety practices and comply with all environmental health and safety laws and regulations. University environmental guidelines are maintained on the university’s environmental health and safety website.
Non-university professional standards
Some professions and disciplines represented at the university are governed by standards and codes specific to their profession (such as attorneys, certified public accountants, and medical doctors). Those professional standards generally advance the quality of the profession and/or discipline by developing codes of ethics, conduct, and professional responsibility and standards by which their members are guided. Those belonging to such organizations are expected to adhere to university policies and codes of conduct in addition to any professional standards. If a community member believes there is a conflict between a professional standard and university policy, he/she should contact the office of the general counsel

(I) Use of university resources
University resources may only be used for official university business and not or personal gain or convenience. University resources include, but are not limited to, the use of university systems, such as telephone systems, data communication and networking services, and the UC domain for electronic communication forums; the use of university equipment, such as computers and peripherals, university vehicles and other equipment; the use of procurement tools such as purchasing cards and petty cash; and the time and effort of other staff, students and others at UC. University resources can only be disposed of in accordance with the policies established by the vice president for finance.

University rule 10-17-04 Conduct and ethics: use of university resources.

(J) Reporting suspected violations

Reporting to management
Members of the UC community should report suspected violations of applicable laws, regulations, government contract and grant requirements or this code. Reporting should normally be made initially through standard management channels, beginning with the immediate supervisor, instructor or advisor. If for any reason it is not appropriate to report suspected violations to the immediate supervisor (e.g., the suspected violation is by the supervisor), individuals may go to a higher level of management within their school or department.
Other reporting
If reporting to management is impractical or unreasonable under the circumstances, violations of laws or regulations should be reported internally to the anonymous reporting hotline (1-800-889-1547 or online), to the office of the internal auditor or to the office of the general counsel (513) 556-3483.
Confidentiality – Any reports may be made confidentially, and even anonymously, although the more information given, the easier it is to investigate the reports. Raising such concerns is a service to the University and will not in itself jeopardize employment.
Cooperation – All employees are expected to cooperate fully in the investigation of any misconduct.
No retaliation – Employees making reports of suspected violations in good faith shall be protected from any retaliation for making such reports.

Effective: February 15, 2009
Date: January 27, 2009 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361; R.C. 102; R.C. 2921
Rule replaces part of: R.C. 3361: 10-17-03
Prior effective date: November 1, 1984; March 16, 1978; June 21, 1980

10-17-04 Conduct and ethics: Use of university resources.

Members of the faculty, administration, student body, volunteer workers, and staff are responsible for the appropriate use of university resources. Use of university resources in a manner inconsistent with this rule is a violation subject to disciplinary action.

(A) University funds: All members of the university community are personally accountable for university funds over which they have control. Anyone having questions about the appropriate use of university funds should talk with his or her supervisor, or a university official with authority regarding the use of funds.

(B) University property, facilities and services:

University property including but not limited to tools, equipment, motor vehicles and supplies, shall not be used for personal benefit or any other improper purpose and it shall not be sold, loaned, given away or otherwise disposed of, regardless of condition or value, except as provided in paragraph (b) of Rule 3361:60-5-01 of the Administrative Code. University stationery or supplies shall not be used for personal letters.
The campus mail service may be used only for official university business without cost. Appropriate postage is required for the delivery of personal mail using the campus mail services.
All university information technology resources shall be used solely for authorized academic, instructional, research, administrative, or contract purposes. The President shall have the authority to issue and approve university policies governing the use of information technology resources. Nothing in this paragraph shall prohibit administrators, supervisors and other university officials from issuing policies governing the use of information technology resources in specific workplaces, classrooms and other units so long as such policies are consistent with university policies approved by the President. Any unauthorized use of information technology resources or violation of information technology policies will subject the violator to university disciplinary action.
Uses of university facilities are governed by the use of facilities handbook promulgated by the president.

(C) University personnel: university employees are only expected to fulfill the duties and responsibilities of their respective positions. Persons in positions of authority may not require subordinate employees to perform personal services for anyone.

Effective: June 16, 2000
Date: May 25, 2000 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03; R.C. 3345.21.
Prior effective date: April 24, 1978; September 29, 1978; November 1, 1984

10-17-05 Conduct and ethics: Policy for investigation of research misconduct.

(A) Definitions

As used herein, the following terms have the indicated meaning:

“Fabrication”: making up data or results and recording or reporting them.
“Falsification”: 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.
“Inquiry”: Gathering information and initial fact-finding to determine whether an allegation or apparent instance of scientific misconduct warrants an investigation.
“Investigation”: the formal examination and evaluation of all relevant facts to determine if misconduct has occurred and if so, to determine the responsible person and the seriousness of the misconduct.
“ORI”: office of research integrity, the office within the United States department of health and human services (HHS) that is responsible for the scientific misconduct and research integrity activities of the public health service (PHS).
“Plagiarism”: the appropriation of another person's ideas, processed, results, or words without giving appropriate credit.
“Research integrity officer or RIO”: the individual appointed by the provost responsible for assessing allegations of scientific misconduct and determining when such allegations warrant inquiries and for overseeing inquiries and investigations.
“Research records”: any data, document, computer file, external hard drive/flash drive, or any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of scientific misconduct. A research record includes, but is not limited to, grant or contract applications, grant or contract progress and other reports, laboratory notebooks, notes, correspondence, videos, photographs, x-ray film, slides, biological materials, manuscripts and publications, equipment use logs, laboratory procurement records, animal facility records, human and animal subject protocols, consent forms and patient record files.

(B) The university endorses the following introductory statement in the “Framework for Institutional Policies and Procedures to Deal with Fraud in Research,” issued November 4, 1988, by the “Association of American Universities, National Association of State Universities and Land-Grant Colleges, and Council of Graduate Schools.”

“Fraud in research undermines the scientific enterprise in ways that go far beyond the waste of public funds. Although an uncommon event relative to the large scientific literature, violations of accepted standards inevitably appear in this as in all human pursuits. Institutions engaged in research have a major responsibility, not only to provide an environment that promotes integrity, but also to establish and enforce policies that deal effectively and expeditiously with allegations or evidence of fraud.

In dealing with this problem it is important not to create an atmosphere that might discourage openness and creativity. Good and innovative science cannot flourish in an atmosphere of oppressive regulation. Moreover, it is particularly important to distinguish fraud from the honest error and ambiguities of interpretation that are inherent in the scientific process and are normally corrected by further research.”

Generation of new knowledge through scholarly and creative works is a fundamental goal of the University of Cincinnati. This work is broadly defined as research. Individuals directly engaged in research, those charged with supervision of research, and collaborators of university investigators outside their own units shall bear obligations to pursue their studies in an ethical manner. Supervisors of research shall bear responsibility for the ethical conduct of research in their own unit as well as the laboratories of their collaborators.

This rule is designed to be consistent with the Public Health Service (PHS) policies on research misconduct, 42 CRF part 93, adopted 16 June 2005. However, the policy and process is generally applicable to all research irrespective of funding source.

(C) Research misconduct is defined as fabrication, falsification or plagiarism in proposing, performing, or reviewing research proposals or in reporting research results. Research misconduct does not include honest error or differences of opinion that arise out of proposing, performing, reviewing or reporting research.

(D) Misconduct, which has been established by a preponderance of evidence, may constitute grounds for administrative action including termination of the individual’s appointment at the university. It shall be recognized that accusations of falsifying or misrepresenting data or authorship shall be among the most serious charges that may be lodged against an investigator. Any person contemplating such accusations shall fully consider the gravity of the accusation and its consequences and shall make every reasonable effort to avoid lodging charges that shall prove to be devoid of a substantial element of truth. Frivolous or false accusations may also constitute grounds for administrative action. Likewise, it shall be the policy of the University of Cincinnati that no individual who, in good faith, shall have reported apparent scientific misconduct of research shall be subject to retaliation by the university or any member of the university community. Impermissible retaliation shall be subject to university discipline. The reputations of all involved parties will be protected to the extent possible and measures to restore reputations will be undertaken as appropriate. Documentation of any adverse action taken with respect to any individual employee shall remain permanently in that employee’s personnel file.

(E) When misconduct shall have been alleged, a sequence of events shall take place within the institution to provide maximal opportunity for reaching valid conclusions about the alleged misconduct. In addition to reaching valid conclusions, it shall be imperative that due process shall be followed and protection be afforded to the rights and reputation of both accuser and accused, collaborators of the accused, those investigating the allegations, any sponsoring agency, any publisher, and the university. Thus, university legal counsel shall provide advice and counsel throughout the proceedings.

(F) During inquiry into and investigation of allegations, confidentiality shall be observed in the interests of all parties except that the appropriate college dean (hereafter referred to as dean) shall inform, and keep apprised of the investigation, the vice president for research and the senior vice president and provost for baccalaureate and graduate education or the dean may delegate any authority described herein.

(G) Appropriate administrative action may be taken as necessary to ensure the integrity of the research, to protect the rights and interests of research subjects and the public, to protect sponsoring agency funds, and to assure that the purposes of the financial assistance are met. Allegations which meet the following criteria for special circumstances should be reported to the vice president for research, the research integrity officer, the appropriate funding agencies and office of research integrity. These include, but are not limited to:

risk to public health or safety including immediate need to protect human or animal subjects;
Threats to agency resources, reputation or other interests that need protecting;
any reasonable indication of possible violations of civil or criminal law;
suspension of research activities;
need for federal action to protect the interests of a subject of the investigation or of others potentially affected; or
the scientific community or the public should be informed.

(H) All proceedings shall be in accordance with applicable rules and contractual obligations of the University of Cincinnati. Any individual meeting with an inquiry or investigating committee may be accompanied by a representative. Each committee may establish its own rules of conduct within these guidelines. All members of the University of Cincinnati community are expected to cooperate with the proceedings, inquiries, and investigations.

Allegations:
Charges of misconduct shall be brought to the research integrity officer (RIO) who will assess the allegations to determine whether they are credible and specific and warrant further investigation. If the decision is in the affirmative, the RIO will communicate them immediately to the director or head of the department or unit in which such conduct allegedly occurred. The director or head shall immediately inform the dean of the college. If the person being accused is a department or unit director or head, the charge shall be brought directly to the dean.
Assessment of allegations.The RIO shall make an initial assessment of whether the reported allegations are credible and specific so that
1. Potential evidence of research misconduct may be identified.
2. The allegations fall within the jurisdictional criteria of 42 CFR 93.102(b).
3. The allegation falls within the definition of research misconduct in this policy and 42 CFR 92.103. If these criteria are met then an inquiry must be conducted. The assessment should be concluded within one week. The RIO shall convey charges of misconduct to the dean of the college.
Initial inquiry: if the RIO determines that the criteria for an inquiry are met, he or she will immediately initiate the inquiry process. The purpose of the inquiry is to conduct an initial review of the available evidence to determine whether or not there may be substance to the allegations that warrants an investigation. All proceedings shall be in accordance with applicable rules and contractual obligations of the University of Cincinnati.
1. Notice to the accused: at the time of or before beginning an inquiry, a good faith effort must be made to advise the accused of the allegations in writing.
2. Prior to or concomitant with, notification of the respondent concerning the allegation, the RIO will obtain custody of, inventory and sequester all research records and evidence necessary to conduct the research misconduct proceedings.
3. The RIO will consult with the ORI for advice and assistance where appropriate.
4. The RIO, in consultation with the dean shall appoint an inquiry committee of no more than three individuals to conduct an initial inquiry into the allegations. Appointments shall avoid any real or apparent conflict of interest. The inquiry committee shall contain individuals with the necessary and appropriate expertise to interview the principals and key witnesses, and conduct a thorough and equitable inquiry. University legal counsel shall advise the inquiry committee. The dean shall identify one member as the chair of the body. The object of the initial inquiry shall be to determine whether or not there may be substance to the allegations that warrants an investigation and to recommend appropriate action to the dean.
5. In the inquiry stage, factual information is gathered by the inquiry body and reviewed to determine if an investigation is warranted. The inquiry is designed to separate allegations deserving further investigation from unsubstantiated or frivolous allegations. Private and separate sessions shall be conducted to hear the accuser, the accused, and others as determined necessary by the inquiry committee. All relevant evidence that is produced shall be reviewed and secured. Once sufficient information is obtained to decide whether an investigation is warranted, the inquiry process shall conclude and an inquiry report will be submitted to the dean.
  The inquiry committee shall make a written report and recommendation to the dean within fifteen working days after the dean has been informed of the charge. Under exceptional circumstances the dean may extend this period. The written report shall state what evidence was reviewed, a summary of relevant interviews, the reason for any delays, and the recommendation of the inquiry committee. The determination of the dean shall be final and should be completed within thirty days of receiving the draft report.
6. Two basic recommendations may follow from this initial inquiry:
  1. the allegations are without merit; or
  2. the allegations have sufficient substance to warrant further investigation. In either case, subsequent action may be recommended. If the student was supported with PHS funds, the RIO will provide ORI with the dean’s written decision and a copy of the inquiry report. The RIO must provide the following information to the ORI upon request:
    1. The institutional policies and procedures under which the inquiry was conducted.
    2. The research records and evidence reviewed, transcripts or recordings of any interviews and copies of all relevant documents.
    3. The charges to be considered in the investigation.
7. The dean shall review the recommendation of the inquiry committee and decide whether to request complete investigation as described in paragraph (G)(3) of this rule or take any other appropriate action pursuant to university rules or contractual agreements. This decision shall be delivered in writing with the inquiry committee report and recommendation to the accused, accuser, the inquiry committee, the vice president for research and the senior vice president and provost for baccalaureate and graduate education who in turn shall notify the president of the university without unnecessary delay. Any comments submitted by the accused may be added to the record. If the dean decides that an investigation is not warranted, the RIO shall secure and maintain for seven years after the termination of the inquiry sufficiently detailed documentation of the inquiry to permit a later assessment by ORI of the reasons why an investigation was not conducted. These documents must be provided to ORI or other authorized HHS personnel upon request.
Investigation: (if warranted) An investigation must begin within thirty days of the completion of the inquiry and must be completed within one hundred twenty days of its initiation. The purpose of the investigation is to develop a factual record exploring the allegations in detail and examining the evidence in depth, leading to recommended findings on whether research misconduct has been committed, by whom, and to what extent. If there is evidence to suggest that there are additional instances of possible research misconduct, the scope of the investigation may be broadened beyond the initial allegations. This is particularly important if the alleged misconduct involves clinical trials, potential harm to human subjects, the general public or if it affects research that forms the basis for public policy, clinical practice or public health practice.
1. The dean shall determine whether sponsored research is involved and shall so inform the vice president for research who shall determine if the sponsoring agency shall be notified that an investigation is under way. If the allegations involve PHS support, on or before the date on which the investigation begins the RIO must:
  1. Notify the ORI director of the decision to begin the investigation and provide ORI a copy of the inquiry report.
  2. Notify the respondent in writing of the allegations to be investigated and notice if any new allegations of misconduct are to included in the investigation.
2. The RIO, in consultation with dean shall appoint an investigating committee and the committee chair within ten days to conduct a complete investigation of the allegations to determine if misconduct has occurred and, if so, to assess its extent and consequences. Appointments shall avoid any real or apparent conflict of interest. The investigating committee shall not be excessive in size but shall contain individuals with sufficient expertise and dedication to conduct a thorough and equitable investigation. University legal counsel shall advise the investigating committee.
3. The investigation shall be thorough and timely and shall provide both notice of all allegations to the accused and an opportunity for the accused to fully respond to all allegations and findings. It shall require the dedicated attention of the investigating committee. An investigation must begin within thirty days of the completion of the inquiry and must be completed within one hundred and twenty days of its initiation. Extensions may be approved only by the vice president for research and the senior vice president and provost for baccalaureate and graduate education who shall first secure any necessary approvals from sponsoring agencies.
4. Investigative process: necessary support (e.g., clerical, information gathering, witnesses, organizational, security, record keeping and confidentiality) shall be arranged by the office of the dean. The investigation committee and the RIO must:
  1. Ensure that the investigation is thorough and sufficiently documented and includes examination of all research records and evidence relevant to reaching a decision on the merits of each allegation.
  2. Take reasonable steps to ensure the investigation is impartial and unbiased to the maximum extent practical
  3. Conduct private and separate sessions to hear the accuser, the accused and others as determined necessary by the investigating committee.
  4. Produce and review all relevant evidence (including, but not limited to research data, publications, correspondence and telephone memoranda) that has been produced shall be reviewed and secured.
  5. Interviews with any individuals shall be recorded by tape recorder or court reporter unless the investigating committee shall otherwise be advised by legal counsel.
5. The investigative report: the investigating committee shall provide a written report of its findings, conclusions and recommendations, together with all pertinent documentation and evidence, to the dean. The RIO will assist the investigation committee in finalizing the draft report to be submitted to ORI within one hundred twenty days. Each member of the investigating committee shall sign the report or submit a signed dissenting report. The dean will determine in writing, (1) whether the institution accepts the investigation report, its findings and the recommendations and (2) the appropriate institutional actions in response to the finding. If this determination varies from the findings of the committee, the dean will, as part of the written determination, explain in detail the basis for rendering a decision different from the committee.
External review:
The dean may appoint an external committee of faculty members and/or administrators from another institution or institutions to review and provide written comment on the findings, conclusions and recommendations of the investigating committee. They shall be appointed in a manner that ensures the official nature of their involvement and provides them with legal protections available to university employees to the extent possible.
Administrative action:
1. The dean shall review the report of the investigating committee and the comments of the external committee, if any, and recommend further action to the vice president for research and the senior vice president and provost for baccalaureate and graduate education. This recommendation shall be delivered in writing together with the committee report and any comments from the external committee to the accused, the accuser, and the investigating committee. Any comments submitted by the accused shall also become part of the record. The vice president for research and the senior vice president and provost for baccalaureate and graduate education shall inform the president of the university without unnecessary delay.
2. With the advice of the university legal counsel, the vice president for research and the senior vice president and provost for baccalaureate and graduate education shall decide how to proceed under applicable university rules and contractual agreements and shall deliver that decision in writing to the accused, the accuser, both committees, the dean, and the president without unnecessary delay. A copy shall be permanently placed in the personnel file of the accused. Collaborators of the accused shall be advised of any substantiated misconduct or questions related to their research. The president shall advise the board of trustees as necessary.
3. At any time that misconduct as defined herein or significant errors are substantiated in any sponsored or reported research, the vice president for research and the senior vice president and provost for baccalaureate and graduate education shall notify the sponsoring agency or publisher without delay in writing.
4. If PHS funds are involved, the dean will make the final determination whether to accept the investigation report, its finding and recommendations for action. If this determination varies from that of the investigation committee, the dean will explain in detail the basis for rendering a decision in the report transmitted to ORI. The RIO must maintain and provide to ORI upon request records of research misconduct proceedings as that term is defined by 42 CFR 93.317. Unless custody has been transferred to HHS or ORI has advised in writing that the records no longer need to be retained, records of research misconduct proceedings must be maintained in a secure manner for seven years after completion of the proceeding or the completion of any PHS proceeding involving the research misconduct allegation. The RIO is also responsible for providing any information, documentation, research records, evidence or clarification requested by ORI to carry out its review of an allegation of research misconduct or of the institution's handling of such an allegation.
5. Following a final finding of no research misconduct, including ORI concurrence where required by 42 CFR Part 93, the RIO will, at the request of the respondent, undertake all reasonable and practical efforts to restore the respondent's reputation. Depending on the particular circumstances and the views of the respondent, the RIO should consider notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of research misconduct was previously publicized, and expunging all reference to the research misconduct allegation from the respondent's personnel file. Any institutional actions to restore the respondent's reputation should first be approved by the dean.

Effective: February 15, 2008
Date: January 29, 2008
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective date: June 10, 1990; August 23, 199; October 28, 1998; October 20, 1999; June 17, 2003; March 21, 2005

10-17-06 Conduct and ethics: Tobacco and smoke free environment.

(A) Rationale

Smoking is one of the largest causes of illness and premature death in the United States. Research findings indicate that nonsmokers who are regularly exposed to tobacco smoke are also at increased risk of illness. The university recognizes that smoking any substance in any form poses a public health hazard. For purposes of this policy, “smoking” has the same meaning as in section 3794.01 division (A) of the Revised Code, which is the inhaling, exhaling, burning, or carrying any lighted cigar, cigarette, pipe, or other lighted smoking device for burning tobacco or any other plant. Additionally, this prohibition includes all tobacco-derived or tobacco-containing products including, but not limited to, cigarettes, electronic cigarettes, vaporizing devices, cigars and cigarillos, hookah smoked products, pipes, oral tobacco (e.g., spit and spitless, smokeless, chew or snuff) and nasal tobacco (e.g., snus). It also includes any product intended to mimic tobacco products, contain tobacco flavoring or the smoking of any other substance that delivers nicotine.
The university has had smoking regulations in place that are stipulated by the state of Ohio and, as a matter of policy, it shall be dedicated to providing a safe and healthy environment. Furthermore, the university has substantial commitments to health-related research, teaching and patient care. Thus, the university community has a particular obligation to be sensitive to health-protection issues and as a result, the University of Cincinnati intends to provide a one hundred percent tobacco and smoke free environment. The following policy has been developed with these interests in mind and shall be applied consistently to all faculty, staff, students, visitors, volunteers, contractors and patients of the University of Cincinnati. Exemptions can include cessation devices approved by the federal drug administration (not including electronic cigarettes), nicotine replacement therapy, university-sponsored research, and conduct protected by the American Indian Religious Freedom Act codified under 42 U.S.C. § 1996.

(B) Restrictions.

Effective May 1, 2017, smoking and tobacco use (including chewing tobacco and electronic cigarettes as outlined in (A)(1) above) shall be prohibited by students, staff, faculty, visitors, vendors, and contractors at all times in or on University of Cincinnati Properties, including events on university property during non-school hours, including but not limited to the following: all facilities owned or leased by the University of Cincinnati as well as the grounds of any property owned or leased by the university. This includes all shelters, indoor and outdoor theaters and athletic facilities, bridges, walkways, sidewalks, residence halls, parking lots, and street parking and garages owned by the university. Please note this also prohibits smoking inside personal vehicles parked on university property as well as any vehicles owned, operated or leased by the University of Cincinnati.
To ensure compliance with this regulation:
1. “No tobacco use” signage shall be posted in appropriate locations;
2. University literature and advertising, particularly that which is related to the posting of employment opportunities and campus events, shall identify the university as being one hundred percent smoke and tobacco free; and
3. Announcements regarding this policy shall be made during university-sponsored events, as well as at campus functions where deemed appropriate. Event programs shall include a written reminder of this policy.
Tobacco advertising, sales and distribution are prohibited on college campus grounds, in all sponsored publications and at all college campus sponsored events, that are affiliated organizations are prohibited from accepting any form of contribution including, but not limited to, financial support, gifts (such as curriculum, book covers, speakers, etc.) or in-kind support from the tobacco industry for the sponsorship or promotions of any event or activity affiliated in an manner with the University of Cincinnati.
Although not under the authority of the University of Cincinnati, all students, staff, faculty and visitors of the university are requested to refrain from smoking and tobacco use on sidewalks and other areas adjacent to university property in an effort to remain good neighbors with our community.

It shall be the responsibility of all members of the University of Cincinnati community to observe this rule, both smokers and nonsmokers. Enforcement of this policy will depend on the cooperation of all faculty, staff, and students to not only comply with this policy but to encourage others to comply as well. This helps promote a healthy environment in which to work, study and live. Civility and respect is expected at all times in regards to this policy.
The appropriate union contract or university policies shall prevail in addressing those faculty and staff who fail to comply with this rule.
Tobacco education and cessation shall be closely coordinated with other components of the University of Cincinnati’s wellness program.
Any employee of the University of Cincinnati who violates this policy may be subject to disciplinary action up to and including termination and may be subject to monetary fines for violating Ohio’s smoking ban (Chapter 3794 of the revised code).
Any student of the University of Cincinnati who violates this policy may be subject to sanctions pursuant to the student code of conduct and may be subject to monetary fines for violating Ohio’s Smoking Ban (Chapter 3794 of the revised code).
Any visitor who violates this policy may be denied access to University of Cincinnati campuses and may ultimately be subject to arrest for criminal trespass.

Replaces: Former 3361:10-17-06
Effective: September 23, 2016
Date: August 23, 2016 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective date: September 1, 1991; October 18, 1991; May 2, 1994; April 19, 1995; January 1, 2006

10-17-07 Conduct and ethics: University alcohol policy.

(A) Introduction. It is the goal of the University of Cincinnati to maintain an on campus environment that is conductive to intellectual, emotional, and social growth of all members of its community. The University of Cincinnati has established the following policy governing the possession, sale, and consumption of alcohol on its campuses. It is the university’s intention through these policies to be clear about university consequences attributed to irresponsible or illegal usage of alcohol on campus.

(B) Alcohol policy. The university shall implement and enforce the laws of the state of Ohio as sated in the Ohio Revised Code. It is the responsibility of each student, staff, and faculty member to be familiar with the requirements of the Ohio Revised Code and the provisions of this policy and to conduct themselves accordingly. As permitted by law individual students, faculty and/or staff may purchase, possess and/or consume beer or intoxicating liquor on campus at certain campus events, in designated campus facilities and in campus facilities having permits issued by the Ohio department of liquor control. Restrictions in the Ohio Revised Code include the following:

It is unlawful for a person under 21 years of age to purchase, consume, possess, or transport any beer or intoxicating liquor.
It is unlawful to knowingly and falsely misrepresent one’s age to obtain alcoholic beverages and/or to misrepresent that another is of legal age for such purpose.
It is unlawful to have in one’s possession in a public place without a permit an open container of beer or intoxicating liquor.
It is unlawful to possess an open container and/or consume any beer or intoxicating liquor in a motor vehicle.
It is unlawful to serve, distribute beer and/or intoxicating liquor to a minor. These laws are contained in Chapter 4301 of the Ohio Revised Code. The complete test of the state liquor laws and administrative regulations may be obtained from the department of campus security, campus library, or the Ohio department of liquor control. Student organizations will be permitted to schedule and/or sponsor oncampus events at which alcohol would be available only at those locations having permits issued by the Ohio department of liquor control. Student organizations that sponsor off-campus events are expected to adhere to state law. Organizations found to have violated state law may be subjected to the loss of registered status. Administrative and academic units (colleges, departments) are permitted to schedule and/or sponsor on-campus student events at which beer or intoxicating liquor would be available only in designated areas within those units and only with the approval of the unit head. These events may not be all campus events and must adhere to regulations for on-campus events

(C) Policy for campus events. The following regulations must be followed at on-campus events at which beer or intoxicating liquor are served and/or sold:

The events must be properly authorized by the administrative unit responsible for the facility(s) to be used.
Consumption and/or sales are permitted only within the approved area for the event.
Non-alcoholic beverages must be available at the same place as alcoholic beverages and featured as prominently as the alcoholic beverages.
The sponsors of the event will implement precautionary measures to ensure that alcoholic beverages are not accessible or served to persons under the legal drinking age or to persons who are intoxicated.
The sponsors of the event must require proof of legal age for those individual in question as to legal age.
Marketing, advertising and promotion of events with alcoholic beverages being served should not emphasize the serving of alcohol and/or have any drinking games there associated with the event.
Management of licensed facilities on-campus reserve the right to limit consumption and/or sales at events in the designated facilities.

(D) Policy violations and sanctions. Individuals and organizations found in violation of university regulations will be subject to disciplinary action and may be subject to action outlined in the Ohio Revised Code. To be enacted.

Effective: March 29, 1993
Replaces: Rule 3361:40-5-06 (which was effective 2/15/91)
Date: March 9, 1993 (signature on file)
Promulgated under: R.C. Section 111.15
Rule Amplifies: R.C. 3345.21-25 R.C. 3361.03 R.C. 4301.

10-17-08 Conduct and ethics: Policy on conflicts of interest in the conduct of research at the University of Cincinnati.

(A) Rationale

The University of Cincinnati is committed to maintaining the highest ethical standards in research conducted by its faculty and staff by identifying potential financial conflicts of interest and taking the necessary actions to manage, reduce, or eliminate them.

(B) Scope This rule applies to all university faculty and staff involved in designing, conducting, or reporting research as part of their university duties.

Employees engaged in research shall fully disclose all financial and other interests on an outside activity reporting form “OAR” as required by rule 3361:30-21-01 of the Administrative Code and any policies issued by the president of the university pursuant to that rule.
Any university official or committee charged with the review, approval, or oversight of research for the purpose of identifying and managing conflicts of interest shall have access to the “OAR” forms of university faculty and staff engaged in research to the extent necessary to conduct such review, approval, or oversight.

(D) Training All employees engaged in research must complete training regarding the university’s conflict of interest policies and the employee’s responsibilities thereunder prior to proposing or engaging in research.

(E) Standing committee on conflicts of interest

The president of the university will appoint a standing committee on conflicts of interest. The committee shall be composed of seven members serving three year terms with staggered rotation. The members shall have sufficient breadth of research experience and knowledge of university policies and federal and state laws governing conflicts of interest in research to provide substantive analyses of the activities and relationships submitted for review. Four members shall be appointed by the president and three shall be selected by the faculty senate. The president shall appoint two faculty members in the college of medicine who engage in research and two faculty members from the college of engineering who engage in research. The president may also appoint non-voting exofficio members. The committee shall adopt written procedures to govern the submission and review of potential conflicts of interest, subject to the approval of the president and the vice president for research.
The vice president for research or the dean of any college may refer potential conflicts of interest to the committee to review. Where the committee determines that a conflict exists, the committee shall provide to the vice president for research written recommendations to manage, reduce, or eliminate the conflict of interest. The vice president or the vice president’s designee shall issue a decision adopting, rejecting or modifying the determination and recommendations of the committee.
A researcher who disagrees with the decision of the vice president for research may appeal by delivering a written notice of appeal to the vice president within fourteen calendar days of the date of the decision is sent to the researcher.
1. Upon receipt of a notice of appeal, the vice president for research shall appoint a three member ad hoc committee to consider the appeal.
2. Within thirty days of its appointment, the ad hoc committee shall complete its review and send its recommendation to the vice president for research or the vice president’s designee, who shall make a final decision and send written notification to the individual and to the standing committee.
3. The vice president for research shall adopt written policies governing the appeal process.

(F) Compliance with federal law The vice president for research shall promulgate policies as necessary to comply with federal laws governing conflicts of interest in research funded or regulated by the federal government.

Effective: June 15, 2012
Date: May 24, 2012 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361:03; R.C. 3361:10-17-02; R.C. 3361:10-17-03; R.C. 3361:30-21-02; R.C. 3361:30-21-03; R.C. 102.03; R.C. 102.04
Prior effective date: December 29, 1995; April 20, 1998; July 13, 2007

10-17-09 Conduct and ethics: Employee financial interests in private companies that are commercializing university discoveries, inventions or patents.

(A) Policy statement

The board of trustees has determined that the best interests of the University of Cincinnati will be served if employees who create new technology are afforded the opportunity to hold personal financial interests in companies that are engaged in commercializing their inventions. Employee participation with outside companies in technology development activities will facilitate the university’s goal of making its research available for use in the private marketplace by giving researchers an incentive to develop inventions with commercial applications. The opportunity to participate in commercialization activities is also essential to the university’s efforts to attract and retain highly qualified researchers. The procedures and guidelines set forth in this rule are intended to enable the university to realize the benefits of such entrepreneurial activities while protecting the integrity of its research and educational mission and to comply with university policies and with applicable federal and state laws.

(B) Applicability

Scope and definitions.
1. This policy applies to any faculty, staff or student employee who is the creator of a discovery or invention that is owned by the university of Cincinnati through the operation of rule 3361:10-19-01 (Patents and copyrights: policy on inventions and discoveries) of the Administrative Code (“inventor”) and who desires to acquire an equity or other financial interest (“financial interest”) in a firm, corporation, or other association to which the university of Cincinnati has assigned, licensed, transferred or sold its interests in the discovery or invention made or created by that employee or in a patent issued to that employee (“technology development company”).
2. This policy deals only with the acquisition by an inventor of a financial interest in a company that is developing technology based on a discovery, invention or patent (“intellectual property”) that was created by that inventor; accordingly, the term “technology development company” refers only to such a company. For purposes of this policy, “inventor” includes the inventor’s spouse and members of his or her immediate family and any firm, corporation or other association controlled by the inventor; and “financial interest” includes any stock, bond, warrant, option, loan or other equity or debt interest in a technology development company, or promise of the same, as well as paid consulting or employment with a technology development company.
Relation to the Ohio ethics laws.
1. This policy creates an exception to chapter 102 and sections 2921.42 and 2921.43 of the Revised Code (collectively, the “Ohio ethics laws”). Among other things, these laws prohibit public officials from having an interest in the profits or benefits of a public contract entered into by or for the use of the governmental unit with which he/she is connected, or from soliciting or accepting anything of value that is of such character as to manifest a substantial and improper influence upon him/her with respect to the performance of his/her duties. Compliance with this policy will provide an inventor who acquires a financial interest in a technology development company with an exemption from these and other possibly applicable provisions of the Ohio ethics laws. A failure to comply with this policy could result in a violation of the Ohio ethics laws.
2. This policy applies only to inventors, as defined. Consequently, employees other than inventors who acquire a financial interest in a company that is developing university-owned intellectual property should consult their own legal advisers to determine whether the transaction violates the Ohio ethics laws.
Relation to other university rules.
Inventors seeking to comply with this policy should also consult other rules of the Administrative Code on related subjects, such as rules 3361:10-17-03 (Conduct and ethics: employee responsibilities); 3361:10-17-04 (Conduct and ethics: use of university resources); 3361:10-17-08 (Conduct and ethics: policy on conflicts of interest in the conduct of research at the university of Cincinnati); rule 3361:10-19-01 (Patents and copyrights: policy on inventions and discoveries); and rules 3361:30-21-02 (Employment: policy on collateral employment for faculty and librarians) and 3361:30-21-03 (Employment: collateral employment for employees other than faculty and librarians). It is the intent of this policy that it be administered consistently with all other university rules and policies that may apply to the same circumstances.
Other matters not covered.
This policy does not deal with the terms and conditions under which the university will assign, license, transfer or sell intellectual property to a company that will become a technology development company upon acquisition of rights in the intellectual property, or with the terms and conditions upon which the university will require or accept an equity interest in a licensee company. These and all other terms and conditions of licensing agreements will be determined on a negotiated basis by the office of the vice president for research (“office of research”) pursuant to the university’s patent policies that are set forth in rule 3361:10-19-01 of the Administrative Code. Generally, such transfers and/or equity participations will not be made or entered into unless it is determined both that the proposed technology development company has the resources (or a reasonable plan to obtain the resources) necessary to development of the technology, and that it has a satisfactory business plan for such development.
Effective date.
This policy shall apply only to acquisitions of financial interests that occur on or after the date of its initial adoption.

An inventor may solicit or accept a financial interest in a technology development company if, but only if, he or she has first complied with the requirements of this rule.
It should be noted that a company organized for the purpose of commercializing intellectual property will not become a technology development company until the university has assigned, licensed, transferred or sold its interest in the intellectual property to the company. Consequently, an inventor who is participating in the organization of a company that expects to license intellectual property from the university should comply with this policy before the intellectual property has been licensed to the company, or before soliciting or accepting a financial interest in the company if it already has acquired the license.
The university will not knowingly license intellectual property to a company in which an inventor has a financial interest until there has been compliance with this policy. It may, however, grant an option to acquire the license conditioned on compliance with the policy. This will protect the company’s interest in obtaining the necessary license while the inventor seeks approval for the proposed financial interest.
Employees who wish to participate in a start-up company may discuss initial company formation with the office of research. However, negotiations between the university and a company seeking to license its intellectual property should to the extent possible be conducted by company representatives other than the inventor.

(D) Approval process.

Compliance with collateral employment requirements.
An inventor seeking approval to hold a financial interest in an existing or proposed technology development company shall first comply with rule 3361:30-21-02 or 3361:30-21-03 of the Administrative Code, as applicable, relating to consulting and collateral employment. This requirement applies regardless of the nature of the financial interest involved, and thus must be met even in cases where no consulting will occur and the only financial interest is a passive equity interest in the company. In addition to the collateral employment forms that are required by the applicable rule, the inventor shall submit a supplemental report containing:
1. A complete disclosure of the inventor’s proposed financial interest in the technology development company; and
2. A conflicts management plan that addresses the following issues:
  1. Management of university obligations. The conflicts management plan shall describe the inventor’s university duties (e.g., teaching loads, committee assignments, etc.) and explain how potential conflicts of commitment will be managed so that these university duties can continue to be fully performed. Inventors who are unable to perform the full range of their university duties must request a reduction of appointment or other approved leave. Professional improvement leave authorized under section 3345.28 of the Revised Code may not be used for private business purposes.
  2. Proposed participation in management of the technology development company. Inventors may hold temporary management positions in a technology development company that is in the start-up phase. However, it is expected that the company will obtain professional management as soon as this is practical, and that the inventor’s participation in the company’s management will decrease as the company develops. The conflicts management plan must describe the contemplated participation in management and provide enforceable milestones for the reduction of the participation. Inventors may not hold management positions in established technology development companies.
  3. Limitation of equity ownership. Although an inventor may hold a significant equity interest or debt position in a technology development company in its initial stages of development, it is expected that the inventor’s percentage of ownership will decrease as the company develops and attracts additional investment. The conflicts management plan must describe the inventor’s contemplated initial equity and/or debt participation in the technology development company and provide enforceable milestones for reduction of that interest to not more than twenty-five per cent of the company’s total equity or debt, as the case may be.
  4. Use of university facilities. The conflicts management plan shall describe any proposed use of university facilities, equipment or other resources to further the business interests of the technology development company. No such use will be permitted except pursuant to a sponsored research agreement, facilities use agreement or other appropriate contractual arrangement with the technology development company that is approved by the office of research and processed in accordance with the university’s contracting procedures.
  5. Student employment. The conflicts management plan shall describe any proposed use of university students to further the business interests of the technology development company. The inventor may not use university students for this purpose as part of a student’s assigned academic work, but the technology development company may employ students pursuant to an employment plan that has been approved by the chair of the student’s department and, if applicable, the chair of the graduate studies committee. A student may not be employed by the technology development company if:
    1. The student is enrolled in a course taught by the inventor,
    2. The inventor is a member of the student’s thesis or dissertation committee, or
    3. The inventor is the student’s advisor or the director of his or her thesis or dissertation research. However, such students may perform research that benefits the technology development company when the work is being performed pursuant to a sponsored research agreement or a formal internship agreement between the technology development company and the university.
Approval by research office.
Upon compliance with the applicable collateral employment procedures, the approved collateral employment form and conflicts management plan shall be forwarded to the office of research for final approval by the vice president for research. In granting such approval, the vice president for research may consult with the senior vice president for academic affairs and provost, the vice president for health affairs and the office of general counsel and may make such additional conflict management requirements as are deemed necessary to approval of the inventor’s proposed financial interest in the technology development company.
Enforcement.
Enforcement of an approved conflicts management plan shall be the responsibility of the inventor’s academic unit head and dean or staff supervisor, as the case may be, in consultation with the office of research. Violations of the conflicts management plan may subject the inventor to university discipline, or deprive the inventor of the exception of the Ohio ethics laws that would otherwise be applicable. In addition, the university’s license agreement, facilities use agreement, sponsored research agreement or other agreement with the technology development company may provide for termination or other remedy if the inventor fails to comply with the conflicts management plan.
Annual review.
To assure continued compliance with the plan, the office of research shall annually conduct an assessment of the inventor’s performance under the conflicts management plan. Such assessment shall include a report from the inventor’s academic unit head and dean or staff supervisor respecting the adequacy of the inventor’s performance of his or her assigned university duties and a review by the office of research of the extent to which the milestones that are contained in the conflicts management plan have been met. Any deficiencies that are noted shall be discussed with the inventor with a view to achieving compliance or modifying the plan or the related agreements with the technology development company. A failure to reach agreement on compliance can result in one or more of the consequences described in paragraph (D)(3) of this rule.
Freedom from conflicts in the administration of this rule.
University officers and employees who participate in the approval process or in the administration or enforcement of this rule may not have a financial interest in the technology development company. If such an interest exists, the person with the conflicted interest shall be replaced with a person who does not have such an interest.

Effective: April 7, 2008
Date: March 18, 2008 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03; R.C. 3345.14.
Prior effective date: October 17, 2001; March 21, 2005

10-17-10 Conduct and ethics: Ethical conduct in research involving human subjects.

Employees and students of the University of Cincinnati conduct human subjects’ research ethically and in accordance with this rule, with the ethical principles stated in the “Belmont” report and with all applicable federal, state, and local law and regulations, including regulations of the department of health and human services (DHHS) regulations for the protection of human research subjects, 45 C.F.R. part 46 subpart A, and FDA regulations governing research with drugs, devices, and biologics, C.F.R. title 21 (food and drugs), parts 50 (protection of human subjects) and 56 (institutional review boards).

(A) To assure such compliance, the university has a federal wide assurance with DHHS regulations certifying that procedures will be followed that will assure the protection of all human subjects involved in research projects. This certification applies anyone engaged in human subjects research on the premises of the University of Cincinnati, and to faculty, students, staff, or other representatives of the university engaged in human subjects research conducted elsewhere on behalf of the University of Cincinnati.

(B) The university has established institutional review boards ( “IRB” ) to review research involving human subjects. The IRB reviews research involving investigational drugs, biologics, devices, and medical treatments and other research involving human subjects. All research to which this rule applies must be reviewed and approved by a university IRB before research begins.

The IRB shall establish policies and procedures for membership, regular meetings, review and approval of protocols and consent forms, modifications to approved research, the risk/benefit ratio of the research to the subjects involved, protection of the confidentiality of the subjects’ private information, and the reviews of approved research protocols at timely intervals.
The IRB may suspend or terminate approved research if it is not being conducted in accordance with this policy, with IRB requirements, or if it may pose the risk of serious harm to human subjects.
The IRB has authority, as a condition of approval of a protocol, to observe, or have a third party observe, the consent process; and to observe, or have a third party observe, the conduct of the research at any time.
The IRB shall act independently of university officials. No university official shall attempt to influence the IRB inappropriately on any matter before the IRB or within the IRB’s jurisdiction.

(C) The vice president for research or designee shall serve as the institutional official for human subjects’ research and is responsible for administering this rule. Any violation of this policy should be reported to the institutional official who shall have the authority to take such action as required to bring the university into compliance.

Replaces: Former 3361:50-47-50
Effective: July 18, 2019
Date: June 25, 2019 (signature on file)
Promulgated under: R.C. 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.
Prior effective dates: March 16, 1978, October 28, 1998, December 3, 2004, February 15, 2008

10-17-11 Conduct and ethics: Export control regulations administration and compliance.

(A) Purpose.

This rule describes the roles and responsibilities of university faculty, staff, students, volunteers, and visitors to facilitate compliance with the United States Export Control Regulations.

(B) Scope.

All faculty, staff, students, volunteers, and visitors involved in the following activities on behalf of the university are subject to this rule:

Research
Development, production, or use of export controlled items or technical data
International travel
International shipments
International collaborations
Proprietary work

As used herein, the following terms have the indicated meaning:

Educational Exclusion:
Information released by instruction in catalogue courses and associated teaching laboratories, even if the information being shared is controlled by the Department of Commerce Export Administration Regulations (EAR). Information and technology covered by the International Traffic in Arms Regulations (ITAR) do not qualify for the educational exclusion.
Export Controls Regulations:
The body of regulations that restrict the dissemination of information, new knowledge, technology, goods and/or services to non-US persons. These regulations include: the ITAR (22 CFR § 120-130), the Export Administration Regulations (15 Code of Federal Regulations § 730-774), Office of Foreign Asset Control Regulations (31 CFR § 500-599), and part 810 of the Atomic Energy Act (10 CFR § 810).
Export Controls Officer:
The individual appointed by the president or his or her designee responsible for facilitating compliance with Export Controls Regulations and with investigating and reporting non-compliance.
Fundamental Research Exclusion:
Basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research the results of which ordinarily are restricted for proprietary or national security reasons. The Fundamental Research Exclusion ONLY applies to information, NOT to developed products (National Security Decision Directive 189).
Public Domain:
Research or information that is published and generally available or accessible by the public.
U.S. person: A U.S. citizen or lawful permanent resident (green card holder); any corporation, business association, partnership, society, trust, or any other entity, organization or group that is incorporated to do business in the United States; or any U.S. governmental (federal, state or local) entity.

(D) Policy.

It is the policy of the university that all faculty, staff, students, volunteers, and visitors engaged in activities on behalf of the university as listed in paragraph B of this rule, comply with all U.S. laws and regulations as they relate to university activities, including Export Control Regulations. Teaching, research, and public service are generally intended to be accomplished openly and without prohibitions or limitations on publication and dissemination of scholarly work. Export Control Regulations may restrict or limit opportunities of foreign students or employees or international collaboration in certain areas. Whenever possible and appropriate, the university should utilize exemptions to the Export Controls Regulations. The Export Controls Officer is charged with reviewing activities and identifying applicable regulatory exemptions (primarily the Fundamental Research Exclusion, the Educational Exclusion, and information in the public domain).
The Export Controls Officer, in conjunction with university leadership, should develop policies and/or procedures for the assessment and management of export controlled activities.
All university faculty, staff, students, volunteers, and visitors should complete training when involved in activities listed in paragraph B, of this rule.
No individual who, in good faith and based upon a reasonable belief, reports apparent violations of the Export Controls Regulations shall be subject to retaliation by the university or any member of the university community.

Replaces: Former 3361:10-30-01
Effective: January 29, 2018
Date: January 12, 2018 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective date: August 5, 2005

10-17-12 Conduct and ethics: sports wagering activities policy.

(A) Purpose.
This rule sets forth the responsibilities of the university of Cincinnati board of trustees, employees, students, volunteers, and independent contractors of the university with respect to sports wagering activities.

(B) Definitions.

Sports wagering.
Sports wagering includes placing, accepting or soliciting a wager (on an individual’s own behalf or on the behalf of others) of any type with any individual or organization on any university of Cincinnati sporting events. Examples of sports wagering include, but are not limited to, the use of a bookmaker or parlay card; internet sports wagering; auctions in which bids are placed on teams, individuals or contests.
Wager.
A wager is any agreement in which an individual or entity agrees to give up an item of value (e.g., cash, shirt, dinner) in exchange for the possibility of gaining another item of value.

The following individuals are prohibited from knowingly participating in sports wagering activities or providing information to individuals involved in or associated with any type of sports wagering activities:
1. Board of trustees and members of the board of trustees’ office;
2. President and members of the president’s office;
3. Members of the president’s cabinet; and
4. Deans.
No employee or independent contractor for the university may knowingly participate in sports wagering activities or provide information to individuals involved in or associated with any type of sports wagering activities when the participation or information provided is based on knowledge gained through the individual’s relationship with the university of Cincinnati.
Individuals governed by the rules, regulations, and bylaws of the national collegiate athletic association, such as members of the department of athletics, must comply with the more stringent of the following: a) the provisions set forth in this rule or b) the rules, regulations, and bylaws set forth by the national collegiate athletic association on sports wagering. The director of athletics may also establish a sports wagering policy for members of the department of athletics that is more stringent than both this rule and the rules, regulations, and bylaws of the national collegiate athletic association on sports wagering.

(D) Reporting.
Reports involving an alleged violation of this policy should be immediately reported to the violating party’s immediate supervisor or appropriate administrator. In some instances, it may also be appropriate to report the violation to the director of athletics for NCAA compliance purposes.

(E) Violations.
Alleged violations of the sports wagering activities policy will be processed in accordance with the applicable policies, collective bargaining agreement, or other contract.

Effective: September 1, 2023
Date: August 22, 2023 (Signature on file)
Promulgated under: 111.15
Statutory authority: 3361
Rule amplifies: 3361.03

10-17-13 Conduct and ethics: Information security.

(A) The associate vice president and chief information security officer has authority, in consultation with the office of general counsel and in coordination and collaboration with other appropriate university offices, to establish and maintain a university information security program to protect the security, integrity, and availability of sensitive information by implementing appropriate security controls and maintaining compliance with the applicable laws and regulations.

(B) The associate vice president and chief information security officer may, in consultation with the office of general counsel and in coordination and collaboration with other appropriate university offices, establish written information security policies, procedures, and standards to comply with the information security program and to support reduction of risk to university technology or data assets.

(C) The office of information security may establish protocols, in consultation with the office of general counsel and in coordination and collaboration with other appropriate university offices, for the collection, processing, and management of digital evidence and electronics records as necessary to support university departments tasked with investigating violations of university rules, policies, procedures, and standards.

(D) The associate vice president and chief information security officer shall at least annually provide a written report to a subcommittee of the Board of Trustees on the state of the university information security program.

Effective: October 24, 2024
Promulgated under: R.C. 111.15
Statutory authority: R.C. 3361
Rule amplifies: R.C. 3361.03, R.C. 1354

Patents & Copyrights

10-19-01 Patents and copyrights: Policy on inventions and discoveries.

(A) Preamble.
As an institution of higher learning, the University of Cincinnati is concerned with learning and teaching — with study and research on one hand and with communication of what is learned on the other. Without intending to narrow the pursuit of research to only the pursuit of patents, the university believes it has a responsibility to:

Encourage innovation.
Promote the use of inventions and discoveries for public good.
Provide for equitable distribution of income, if any, resulting from invention and discovery between the university and an investigator. In recognition and furtherance of the above objectives and consistent with section 3345.14 of the Ohio Revised Code, the University of Cincinnati sets out the following policy and procedures regarding inventions and discoveries.

(B) Applicability.
This policy applies to all discoveries, inventions or patents that result from research or investigation conducted by:

Any person, whether employee, student or volunteer, in any experiment station, bureau, laboratory, research facility, or other facility of the university or with funding, equipment, or infrastructure provided by or through the university; or
An employee of the university acting within the scope of his or her employment, regardless of the location of the research or the nature of the funding, equipment or infrastructure used. Any such discovery, invention or patent shall be defined as a "university invention." Students play an important role in innovation at the university and the university recognizes that inventions may result from student coursework. A student who was not performing work for the university and did not make significant use of university resources in developing the invention may request that the university release its rights in the invention and assign the rights to the student. Significant use of university resources does not include a student’s use of resources to fulfill course requirements, nor does it include nominal or incidental use of resources, including the use of routinely available office equipment, assigned office space, desktop and laptop computers, telephones, library facilities, and copiers.

(C) Rights and obligations of the parties.
In accordance with section 3345.14 of the Revised Code, all rights to and interests in university inventions shall be the sole property of the University of Cincinnati. All such rights and interests may be licensed, transferred, assigned, sold or otherwise disposed of, in whole or in part, in accordance with the university's contracting procedures.

Inventor obligations and rights.
1. Obligations:
  1. To report promptly to the office of innovation all university inventions. The inventor makes this report by completing and submitting the appropriate disclosure form.
  2. To assign all rights, title and interest in the university invention to the university.
  3. To cooperate:
    1. In executing declarations, assignments, or other documents as may be necessary in the course of invention evaluation, patent prosecution, or protection of patents or analogous property rights, to assure that title in such inventions shall be held by the university or by such other parties designated by the university as may be appropriate under the circumstances.
    2. In any litigation a, dispute or controversy that arises out of, or is related to the university invention.
    3. In reasonable marketing efforts related to the invention or discovery.
    4. In providing any information, data, knowledge related to the invention or discovery, necessary for the university to evaluate the commercial potential of, the university’s rights in, the protectablility of, and the technical feasibility of the university invention or discovery.
  4. To execute an agreement acknowledging an obligation to execute all papers necessary to obtain appropriate legal protection for the university invention or discovery.
2. Rights.
  1. disclosure to the university of a university invention, to receive notice within a reasonable time of the university's intention to file or not to file a patent application or to otherwise retain title to the university invention.
  2. To receive a share of any royalties or licensing fees and any stock or other ownership interests received for the university invention according to the schedules contained in paragraphs (E) and (F) of this rule.
  3. To receive title to any university invention for which the university chooses not to retain title, subject to the following conditions:
    1. The university retains a royalty-free, perpetual non-exclusive license to make, have made, and use the invention and any improvement thereon for research and educational purposes;
    2. The transfer of title complies with any overriding obligations to outside sponsors of research including federal agency approval when required by law; and
    3. In the case of multiple inventors, all the inventors having reached a written agreement as to the disposition of title.
  4. To the right of timely publication of their findings consistent with any applicable licensing agreement. Delays over ninety days in length shall require inventor approval.
University's obligations.
1. To keep the faculty, staff and students apprised of the university's policy on inventions and discoveries through means that include a web site containing links to relevant university rules and any associated commentary and forms.
2. After a university invention is reported, to act in a timely manner to determine whether the university chooses to retain title and/or to determine whether a patent application should be filed and to inform the university contributors of its determination.
3. For any university invention subject to the Bayh-Dole Act, to inform the inventor of the university's election to take title from the sponsoring agency.
4. To distribute any royalties or licensing fees and any stock or other ownership interests received for a university invention according to the schedules contained in paragraphs (E) and (F) of this rule.
5. To assign to the inventor title to any university invention for which the university chooses not to retain title subject to the conditions set forth in paragraphs (C)(1)(b)(iii)(a) through (C)(1)(b)(iii)(c) of this rule.

(D) Administration.

The office of innovation shall have overall responsibility for administration of the university's patent program, including assuring that valuable property rights are not lost by the university. Specific responsibilities of this office, which may be delegated to a patent officer, shall be to:
1. Act upon recommendations of the university intellectual property committee and equity committee.
2. Authorize commitment of resources necessary to carry out intellectual property committee and equity committee recommendations.
3. Annually, or at such other intervals as the board shall direct, provide the board with a summary report of the university's patent, equity and licensing activity or other contracts or actions approved under this subparagraph, including total revenues derived from all outstanding technology transfer contracts for the period covered by the report as well as current problems, issues and trends.
4. Function as a contact point and resource with regard to university patent policy and procedure.
5. Receive reports of all university inventions.
6. Exercise responsibility for assessing the commercial potential of inventions and discoveries.
7. Control the preparation and prosecution of patent applications and maintenance of any issued patents on inventions and discoveries governed by this policy, in collaboration with the office of general counsel as appropriate.
8. Exercise responsibility for marketing inventions and discoveries.
9. Approve terms for licensing, sale, assignment, transfer or other disposition of the university's intellectual property rights in inventions, discoveries, and patents.
10. Exercising the voting rights associated with any equity held by the university in entrepreneurial projects or legal entities formed in connection with entrepreneurial projects as permitted by this rule.
There shall be established a university intellectual property committee, which shall report to the chief innovation officer or his/her designee. The committee shall be composed of five members, three appointed by the innovation officer or his/her designee, and two appointed by the chairperson of the university faculty, and shall be chaired by one of the members selected by the innovation officer or his/her designee in consultation with the chairperson of the faculty. Specific functions of the intellectual property committee shall be to:
1. Provide advice, as requested, to the chief innovation officer or his/her designee as to whether the university should:
  1. Prepare and prosecute a patent application on a university invention.
  2. Determine if a reported invention or discovery falls outside the scope of this policy (i.e., is not a university invention).
  3. Claim copyright in works with respect to which the university has ownership rights, as provided in rule 3361:10-19-02 of the Administrative Code.
  4. Surrender all university rights in a work to the author, as provided in rule 3361:10-19-02 of the Administrative Code.
  5. Waive some or all university rights in a university invention to the inventor(s).
2. Act as a fact-finding body and make recommendations to the chief innovation officer or his/her designee on any disagreements arising out of the administration of the university's patent and copyright policies.
Once a patent is obtained, disputes between the inventor and the university which cannot be resolved by the university intellectual property committee, shall be resolved by a committee consisting of five members, the inventor and the intellectual property committee each selecting two members, with the fifth member, who shall be the chairperson, being selected by the four members so chosen.
There shall be established a university equity committee, which shall report to the chief innovation officer or his/her designee. The committee shall be composed of three members, a member appointed by the chief investment officer of the university, a member appointed by the senior vice president for administration and finance, and a member appointed by the chief innovation officer or his/her designee from the office of innovation. The chief innovation officer shall select one of the members to serve as chair of the committee. Specific functions of the equity committee shall be to:
1. Make recommendations to the chief innovation officer as to whether the university should accept equity in an entrepreneurial project (as defined in section 3345.36 of the Ohio Revised Code) or legal entity formed in connection with an entrepreneurial project.
2. Make recommendations to the chief innovation officer as to when equity held by the university in an entrepreneurial project or legal entity formed in connection with an entrepreneurial project should be sold.
3. Assist the university in implementing and adhering to the equity acquisition policy, which shall be developed and administered by the chief innovation officer.
4. Make recommendations to the chief innovation officer on any proposed modifications to the equity acquisition policy.
5. Act as a fact-finding body and make recommendations to the chief innovation officer on any disagreements arising out of the administration of the university’s equity acquisition policy.

(E) Royalties.

"Net royalties" shall be defined as gross royalties or other payments, such as option payments, received by the university minus the sum of:
1. any royalty shared with other entities (e.g., as required by an agreement with a funding source or as the result of an interinstitutional agreement with a co-owner of the university invention),) and
2. and any fees or costs directly attributable to the university invention being licensed. Examples of such direct fees are patent filing fees, fees for patent searchers and legal advice, fees arising out of litigation, or marketing costs. Indirect university overhead and other university costs normally associated with the operation of a university and not directly attributable to the university invention shall not be deducted from gross royalties or otherwise allocated to costs or fees associated with the university invention.
For all university inventions for which the university receives royalties, the royalties received by the university shall normally be distributed as set forth in paragraphs (E)(2)(a) through (E)(2)(c) of this rule:
1. Zero dollars to two hundred and fifty thousand dollars total net royalties:
  - Sixty per cent to the inventor;
  - Fifteen per cent to the department;
  - Five per cent to the college;
  - Twenty per cent to the university ;
2. On total net royalties in excess of two hundred and fifty thousand dollars
  - Thirty percent to the inventor;
  - Thirty percent to the department;
  - Twenty percent to the college;
  - Twenty percent to the university
Any net royalties received by the university, department or college shall be administered by the office of the innovation and shall be used to support scientific research and education.
If there is more than one inventor, the university shall distribute the inventors' share of any net royalties in accordance with their mutually agreed apportionment. In the event the inventors are unable to reach a mutual agreement on apportionment, the university shall distribute the inventors’ share of any net royalties equally among the inventors. College and department share of any net royalties will be apportioned in accordance with the percentage distributions allocated to the inventors who are associated with the participating colleges and departments.

(F) Equity.

“Equity” shall be defined as stock or other ownership rights in an entrepreneurial project or legal entity formed in connection with an entrepreneurial project received by the university in return for the grant of rights to a university invention. “Equity” shall be defined to not include stock or other ownership rights received in return for the investment of money. "Net equity" shall be defined as gross equity received by the university minus any equity shared with other entities (e.g., as required by an agreement with a funding source or as the result of an inter-institutional agreement with a co-owner of the university invention).
For all university inventions for which the university agrees to receive equity, the equity received by the university shall normally be distributed as follows:
- Thirty per cent of net equity to the inventor;
- Thirty per cent of net equity to the department;
- Twenty per cent of net equity to the college;
- Twenty per cent of net equity to the university
The distribution of net equity must be in accordance with the university equity acquisition policy.
Any net equity received by the university, department or college shall be administered by the office of innovation and shall be used to support scientific research and education.
If there is more than one inventor, the university shall distribute the inventors' share of any net equity in accordance with their mutually agreed apportionment. In the event the inventors are unable to reach a mutual agreement on apportionment, the university shall distribute the inventors’ share of any net equity equally among the inventors. College and department share of any net equity will be apportioned in accordance with the percentage distributions allocated to the inventors who are associated with the participating colleges and departments.
If equity is converted to cash prior to the distribution of the inventor’s share of net equity, the university shall distribute cash proceeds in accordance with the schedule set forth in paragraph (E)(2)(a) through (E)(2)(c) of this rule.

(G) Research agreements involving patent rights.

It is not uncommon for university investigators to conduct research that is funded by private industry and/or foundations. It is also not uncommon for investigators to conduct research in cooperation with colleagues at other universities. The university recognizes that to continue these relationships it must be willing to consider a variety of contractual terms and conditions. In order to protect the academic freedom tradition within the university, to assist investigators in evaluating proposals and to protect the university's interest in university inventions, the following policies shall apply to these relationships:

For the purpose of assuring any rights the university may have and may choose to retain in university inventions are appropriately protected, all agreements with private industry, with foundations or with other universities utilizing university resources to conduct research shall be reviewed by the office of innovation in coordination with other institutional representatives, as appropriate.
The university shall protect the right to publish as provided in rule 3361:10-30-02 of the Administrative Code.
Normally, title to all documents, records, notebooks and other repositories of information from research shall be held in the name of the university as described in rule 3361:10-43-18 of the Administrative Code.
The university shall agree that proprietary information received from a private entity remains the property of that entity. However, written agreements shall provide for clear designation of information that is considered to be proprietary in nature.

(H) Operational entities.

The operational entities responsible for implementing this policy shall be the office of innovation, the chief innovation officer or his/her designee, the university intellectual property committee, and the university equity committee.

Effective: February 1, 2019
Date: January 18, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03; R.C. 3345.14.
Prior effective dates: September 15, 1983; August 23, 1991; April 22, 1999; October 17, 2001; July 23, 2004; April 18, 2005; December 01, 2009

10-19-02 Patents and copyrights: Copyright policy.

(A) Applicability.

Scope.
This policy shall be applicable to all units of the university, including its colleges, schools, departments, centers, institutes, and libraries, and to all of the University’s faculty and staff, and to any other persons, including students, who are aided by the significant use of university facilities, staff, or funds. This policy applies to “original works of authorship” protectable under state and federal intellectual property laws irrespective of the format or medium of expression.
Effective date.
This policy shall apply only to copyrightable material completed on or after the date of its initial adoption.

(B) Rights and obligations of the parties.

Traditional works.
This policy does not change the traditional relationship between the university and authors of textbooks and other scholarly and artistic works. Unless the production of such materials is subject to paragraphs (B)(2) to (B)(4) of this rule, the university disclaims ownership of copyrights in textbooks, monographs, papers, articles, musical compositions, works of art and artistic imagination, unpublished manuscripts, dissertations, theses, popular nonfiction, novels, poems and the like that are created by its faculty, staff and students.
Externally sponsored works.
The ownership of any material that may be developed as the result of externally sponsored works will be determined as part of the ordinary contracting process that relates to externally sponsored projects. In any such agreements, the university shall not waive the right to publish results of research, but may agree to reasonable delays. If the agreement contains no provision for copyright, the university shall own any work created. The ownership of works that are created by the recipients of scholarships and fellowships shall be as specified in the applicable donor agreements; if there is no specification for ownership, ownership shall be in the recipients of the scholarships and fellowships.
University sponsored works.
The university claims ownership as works for hire under the copyright laws of the intellectual property rights that arise from works created as the result of specific assignments; works supported by a direct allocation of university funds for the pursuit of a specific project; and works that are specially commissioned by the university. A faculty member’s general obligation to produce scholarly works does not constitute a specific university assignment, nor is the payment of regular salary, the use of office and library facilities, or the provision of incidental clerical support or reasonable data and word processing considered a direct allocation of university funds for the purposes of this paragraph.
University supported work.
The university claims copyright to works produced with significant use of its resources. The payment of regular salary, the use of office and library facilities, or the provision of incidental clerical support or reasonable data and word processing is not considered a significant use of university resources for purposes of this paragraph. All proposals for use of university resources that exceed the normal amount of resources available to faculty, staff and students for the performance of their normal functions must be approved in advance by the vice president for research and university dean for advanced studies. Proposals for the use of significant university resources should specify how projected income from the work would compensate the university for its expenditures, including costs associated with obtaining the copyright and in its licensing, sale, enforcement and use and how net income from any projected copyright royalties would be distributed.
Creator rights and obligations.
1. To report promptly all copyrightable works to which the university claims ownership under this policy to the office of the vice president for research.
2. To assign title to the work to the university.
3. To cooperate:
  1. In executing any legal documents;
  2. In any litigation arising out of the work;
  3. In reasonable marketing efforts related to the work.
4. After disclosure to the university of a work, to receive notice within a reasonable time of the university’s intention to retain title to the work.
5. To receive a share of any royalties or licensing fees that may be due in accordance with an applicable agreement.
6. To receive title to any work for which the university chooses not to retain title.
7. To the right of timely publication of the work, consistent with any applicable licensing agreement.
University’s rights and obligations.
1. To keep the faculty, staff and students apprised of the university’s policy on copyrightable works and of any university-wide agreements with external sources that may be in effect regarding the evaluation and/or marketing of such works.
2. After a work is reported, to act in a timely manner to determine whether the university chooses to retain title.
3. To give notice to a creator of the intention of the university to retain title to a work.
4. To assign to the creator title to any work subject to this rule and for which the university chooses not to retain title.
Income. Unless otherwise provided in the agreements or authorizations referred to in paragraphs (B)(2) to (B)(4) of this rule, net royalty income retained by the university after meeting costs directly attributable to a copyrighted work shall be used for research or scholarly activity, with preferential consideration being given to the field of activity in which the copyrightable material was generated.

The office of the vice president for research shall have overall responsibility for administration of the university’s copyright program, including assuring that valuable property rights are not lost to the university. Specific responsibilities of this office shall be:
1. To provide information on copyrights and the university copyright policy to the university community.
2. In consultation with the general counsel and vice president for legal affairs, to determine the rights of the university in any copyrightable works created or to be created with university resources.
3. To develop and approve agreements for the use of university resources in the creation of copyrightable works.
4. To provide assistance in securing the copyright to any works in which the university has rights.
5. To exercise responsibility for marketing, licensing or distributing copyrightable works in which the university retains title.
6. To arrange distribution of royalty income.
7. Subject to the supervision of the contracting officer, to approve terms for licensing, sale, assignment, transfer or other disposition of the university’s property rights in copyrightable materials.
University intellectual property committee. The university intellectual property committee shall have the responsibilities for copyright program administration that are set forth in rule 3361:10-19-01 of the Administrative Code and in addition shall advise the vice president for research on the administration of university copyright policy.

Replaces: Former rule 3361:10-19-02.
Effective: March 21, 2005
Date: March 9, 2005 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3345.14; 3361:10-19-02 6 R.C. 3361.03.
Prior effective dates: December 16, 1986; August 23, 1991; January 10, 2000; October 17, 2001

Development

10-21-01 Development: Gifts of personal property.

It will be the policy of the University of Cincinnati to accept all gifts of tangible personal property (e.g., antiques, equipment), and intangible personal property (e.g., patents, copyrights, software licenses) so long as it can be determined that a gift is either readily marketable or that it can or will contribute to the operations or mission of the university. The senior vice president for administration and finance or the senior vice president's designee shall have authority to accept such gifts on behalf of the university and to promulgate policies and procedures consistent with this rule for determining which gifts should be accepted. The University of Cincinnati foundation shall also have the authority to accept gifts of personal property on behalf of the university and to promulgate policies and procedures consistent with this rule and the related policies and procedures of the university.

Effective: December 1, 2009
Date: November 17, 2009 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03; R.C. 3361.04; R.C. 3345.16; 3361-10-01-04.
Prior Effective Date: March 16, 1978; December 18, 1997; March 21, 2005

Research

10-30-02 Research: Publication restrictions in sponsored research.

(A) The University of Cincinnati is committed to maintaining a teaching and research environment that is open to the free exchange of ideas. The university will not approve agreements for the conduct of externally sponsored research which impose unreasonable limitations on the freedom to publish or to disseminate the results of sponsored research. As used herein, "Sponsored Research" includes any research activity which is designed to produce findings of the type which are commonly published in the scientific literature. "Sponsored Research" shall not include testing agreements, fee-for-service agreements, and similar projects which have been determined by the university as being unlikely to produce any publishable or patentable results.

(B) The university will not permit terms in agreements for the conduct of "Sponsored Research" which allow for sponsor editorial control over the publication of research results or conclusions; call for unreasonable delays in dissemination of research results; or which interfere with the evaluation of a student or fulfillment of degree requirements.

(C) Subject to the foregoing limitations, the university will accept reasonable limitations on the right to disseminate research findings in the following circumstances:

Sponsor comment period.
Agreements covering "Sponsored Research" projects may provide for delay of publication, not exceeding one hundred and twenty days, when requested to permit a sponsor to offer comments or suggestions, provided that such terms shall not include a requirement that the author is bound to accept such comments or suggestions.
Reviews for proprietary information.
Agreements covering “Sponsored Research” which require access to and/or use of a sponsor’s bona fide proprietary data or materials will be accepted only if terms regarding access, use, and protection of such data or materials do not unreasonably restrict the dissemination of scholarly findings made within the project.
Delays for intellectual property protection.
Delays, not exceeding one hundred and twenty days concurrent with the review period in section C(1), above, are permitted to enable the university and/or sponsor to screen proposed publications for possibly patentable ideas and to commence necessary steps to assure appropriate legal protection for such patentable ideas.
Multicenter clinical trials.
A delay for up to eighteen months following the conclusion of a multi-center clinical trial is acceptable when necessary to permit a first publication from the trial to represent the work from all sites. Any term reflecting this delay must affirmatively provide for the ability of the faculty member to publish site-specific results if no multi-site publication has occurred within the twelve-month period, and for the right of the faculty member to petition the sponsor to provide information (e.g. randomization codes) which is reasonably necessary to permit a site-specific analysis and publication to occur.

(D) In any circumstance in which a publication restriction appears in a written agreement in violation of this rule, the appropriate office of sponsored programs in coordination with the office of general counsel and the principal investigator shall promptly confer with the sponsor in an effort to remove or modify such restriction. If such efforts are unsuccessful, such restriction or delay may be approved only upon written request of the principal investigator subject to approval by the Vice President for Research, who shall retain records of all such approvals.

Effective Date: November 10, 2022
Date: October 25, 2022 (Signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03
Prior Effective Date: August 5, 2005

10-30-03 Research: Policy on sensitive but unclassified research.

(A) Purpose.

This rule describes the responsibilities of university of Cincinnati faculty and staff, students, volunteers, and visitors to comply with university policies and procedures and, as applicable, federal, state and local laws and regulations concerning activities involving the access, dissemination or storage of sensitive but unclassified information at the university, or with the direct or indirect use of university resources. Sensitive but unclassified information includes but is not limited to export-controlled information, controlled unclassified information (CUI), law enforcement sensitive (LES), sensitive homeland security information, sensitive security information (SSI), or critical infrastructure information (CII).

(B) Scope.

All university faculty, staff, students, volunteers, and visitors involved in the development, production, handling, and storage or use of sensitive but unclassified information and any related research, international travel, international collaboration, or proprietary work (collectively referred to herein after as “activities involving sensitive but unclassified information”) at or on behalf of the university are subject to this rule. The policy excludes personal consulting activities under the existing rules and regulations of the university that do not involve the use of university facilities or resources and that are outside activities approved in accordance with university policy.

The university of Cincinnati values the free dissemination of knowledge through education, publication, and other means. To the greatest extent possible, the university of Cincinnati seeks to ensure that research and other information developed is available to the public without restriction. There may be instances where government funded research or other university research may require protection of information, such as in the context of sensitive but unclassified information. The university of Cincinnati recognizes that there may be instances in which the expertise of the university and its facilities may be needed to meet sponsor or contract requirements and that such circumstances may justify a determination that the performance of activities involving sensitive but unclassified information is in the best interests of the university.

(D) Requirements for approval of activities involving sensitive but unclassified information.

Activities involving sensitive but unclassified information require the approval of the vice president for research. Such approval should be obtained prior to the submission of a formal proposal to the potential sponsor where possible. In all cases, however, approval is required before acceptance of the award by the university. The vice president for research, in collaboration with the general counsel and other appropriate university offices, shall establish procedures setting out the process for vice president for research approval of activities involving sensitive but unclassified information and any training or other requirements for access and storage of sensitive but unclassified information consistent with this board rule, applicable U.S. federal, state and local laws and regulations, university policies and procedures, and the mission of the university.
Requests for approval of activities involving sensitive but unclassified information will be submitted to the office of research with the following information:
1. Project title
2. Names of principal investigator and co-investigators
3. The University of Cincinnati location of the activity
The following factors should be considered in connection with a decision to approve of activities involving sensitive but unclassified information:
1. Whether the individual undertaking the activity is appropriate, supported, and capable of doing the proposed activity;
2. Whether the proposed activity is appropriate for the university and aligned with the university’s mission and values, appropriate mechanisms are in place to ensure continued alignment with university mission and values throughout the course of the project or activity, and necessary and comprehensive oversight and management over the activity will remain in place to ensure compliance with applicable policies, procedures, laws, and regulations;
3. Whether the university has the appropriate facilities and capabilities to undertake the proposed activity in compliance with applicable policies, rules, laws and regulations; and
4. Whether the merits of the proposed activity and the potential benefits outweigh the disadvantages and costs of engaging in activities that involve compliance with appliable policies, rules, laws and regulations.
All proposed activities involving sensitive but unclassified information shall be reviewed and approved by the appropriate academic unit head prior to submission to the vice president for research.
Projects receiving continuation funds may require further review and approval in accordance with a change in the scope of the required security arrangements.

(E) Additional conditions for the performance of approved activities involving sensitive but unclassified information:

Export controls.
Any activities involving sensitive but unclassified information must be conducted in compliance with all federal export control laws and regulations and university board rule 3361:10-17-11.
Classified research.
Any activities involving classified information must be conducted in compliance with all federal classified research laws and regulations and university board rule 3361: 10-30-04.
Patent rights.
The interests of university faculty and of the university in patentable discoveries, inventions, and improvements that are made during the performance of approved activities involving sensitive but unclassified information shall be subject to the university's patent policy.
Human and animal studies.
Federal law and guidelines mandate that the usual committee reviews for human and animal studies, when included in sensitive but unclassified research, will not be modified in any way from those required for other types of research.
Utilization of sensitive but unclassified research in faculty personnel decisions.
The university will continue to base decisions concerning faculty personnel matters on contributions to teaching, research, and service. Sensitive but unclassified research results which may not be published in the open literature will not be considered in faculty personnel decisions until and unless the research results are released for publication, unless the information cannot be released publicly due to federal law or regulation (e.g., export control).
Student theses/dissertations.
Students must be free to pursue knowledge in an open environment. Consequently, formal academic work by students (coursework, theses, dissertations, etc.) shall not include sensitive but unclassified research unless approved by the appropriate academic unit head and vice president for research and is conducted in compliance with applicable policies, rules, laws and regulations governing sensitive but unclassified information.

(F) Training and visitors.

All university employees and students engaged in activities at or on behalf of the university involving sensitive but unclassified information shall receive regular training on all applicable U.S. federal, state and local laws and university policies associated with sensitive but unclassified information on no less than an annual basis, or more frequently, as determined by the vice president for research.

(G) Compliance with applicable laws and regulations.

All faculty, staff, students, volunteers, and visitors engaged in activities at or on behalf of the university involving sensitive but unclassified information must comply with all applicable federal, state and local laws and regulations as they relate to such activities.

Effective date: January 5, 2023
Date: December 14, 2022(Signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03
Prior effective date: August 2, 2005, November 10, 2022

10-30-04 Research: Policy on classified research.

(A) Purpose.
This rule describes the responsibilities of University of Cincinnati faculty and staff, students, volunteers, and visitors to comply with university policies and procedures and, as applicable, federal and state laws and regulations concerning activities involving the access, dissemination or storage of classified information at the university, on behalf of the university, or at any facility controlled by the university, or with the direct or indirect use of university resources. Classified information is defined as certain information requiring protection against unauthorized disclosure in the interests of national defense and security or foreign relations of the United States pursuant to federal statute or executive order. The term includes restricted data, formerly restricted data, and national security information.

(B) Scope.
All university faculty, staff, students, volunteers, and visitors involved in the following activities (collectively referred to hereinafter as “activities involving classified information”) at or on behalf of the university are subject to this rule:

Seeking or being awarded classified contracts or subcontracts, seeking to or in any way performing research or other activities involving access to, dissemination of, or storage of classified information;
Development, production or use of classified information;
International travel and collaborations that involve classified research.

The University of Cincinnati may seek and be awarded classified contracts or subcontracts approved and funded by the U.S. government. When awarded a classified contract or subcontract, there will be limitations on public dissemination of certain information in accordance with U.S. laws and regulations and/or the terms and conditions of the contracts or subcontracts. As set forth below, decisions to engage in activities involving classified information will be made by university leadership only when doing so is (i) in the best interests of the university, (ii) consistent with the university’s mission, and (iii) in full compliance and accordance with any and all laws and regulations concerning classified information.

(D) Requirement for requisite clearances.

Prior to undertaking activities involving classified information, the university of Cincinnati shall be sponsored for and granted a facility clearance at the appropriate level, as determined by the agency’s cognizant authority. As part of this process, the following university of Cincinnati personnel, as well as any additional personnel designated by the agency, shall be processed for and granted a personnel security clearance at the same level or higher:

president;
executive vice president for academic affairs and provost (“provost”);
vice president for research;
employees of the university who require personnel security clearances in order to perform or assist with the review, oversight or performance of activities involving classified information in connection with a contract pursuant to which the university of Cincinnati is sponsored for or required to hold a facility security clearance.

(E) Responsibilities of the president of the university.

While other university personnel will assist the president of the university of Cincinnati, the president maintains ultimate authority on behalf of the university over activities involving classified information undertaken at the university or at any facility controlled by the university, on behalf of the university, or with the direct or indirect use of any university resources or by any university faculty, staff, students, volunteers, or visitors (“the classified research program”). No individual can engage in activities involving classified information at the university, on behalf of the university, or at any facility controlled by the university, or with the direct or indirect use of university resources without the president’s knowledge and express approval. The president, with assistance of other university personnel including the vice president of research and provost, will take necessary and appropriate steps to regularly (no less than annually) review and monitor the classified research program and activities involving university employees, university facilities or resources.

(F) Responsibilities of the vice president for research of the university.

The vice president for research will assist the president in the performance of his/her duties and responsibilities in connection with the classified research program. The vice president for research will also be responsible for the creation, dissemination and tracking of the requisite trainings as referenced in section I below, as well as the requisite financial and foreign travel disclosures. In addition, it shall be the responsibility of the vice president for research, in collaboration with the advisory committee on classified research (described below), and in consultation with the general counsel, to develop unclassified policies and/or procedures for the conduct of classified research (to include policies related to access to, dissemination of, and storage of classified information, and reporting as applicable) consistent with this board rule, U.S. laws and regulations, other university policies and procedures and with the mission of the university.

(G) Responsibilities of the provost of the university.

The provost will assist the president in the performance of his/her duties and responsibilities in connection with the classified research program. The provost, in collaboration with the president and the vice president for research, will also be responsible for the final step in the approval process described below.

(H) Advisory committee on classified research.

The president, in consultation with the vice president for research and the provost, shall appoint a university advisory committee on classified research (“ACCR”) to include at a minimum, the vice president for research, facility security officer (“FSO”), insider threat program senior official (“ITPSO”), and at least one university faculty member or dean holding the requisite personnel security clearance. The president may appoint additional university faculty or staff to the ACCR, or remove any appointee from the ACCR, at the president’s sole discretion. The ACCR shall be responsible for the following activities:

Making recommendations to the president, vice president for research, and the provost in connection with the approval process described below concerning the appropriateness of the university engaging in certain activities involving classified information;
Assisting with providing oversight of the university’s classified research program;
Reviewing and recommending policies and operational matters impacting the university’s classified research program; and
Assisting the president with regular review and monitoring of the university’s classified research program for conformance with applicable policies and regulations.

(I) Training and visitors.

All university employees and students engaged in activities at or on behalf of the university involving classified information or otherwise involved in the classified research program shall receive regular training on all applicable U.S. laws and policies associated with classified information on no less than an annual basis, or more frequently, as determined by the ACCR or applicable laws and regulations. The FSO shall be responsible for ensuring that any visitors who will have access to classified information possess a personnel clearance at that requisite level and a need to know and that the visitor is a representative of an organization with a clearance at the requisite level and a need to know.

(J) Compliance with applicable laws and regulations.

All faculty, staff, students, volunteers, and visitors engaged in activities at or on behalf of the university involving classified information must comply with all applicable laws and regulations as they relate to such activities.

(K) Requirements for approval of activities involving classified information.

To ensure that all activities involving classified information are aligned with the mission and values of the institution and to ensure appropriate oversight, assessment, security, and accountability, the following approval process must be adhered to. No activities involving classified information can be undertaken until the following levels of review and approval have all been obtained and the president of the university has expressly approved:

Proposal development review
The initial level of review will involve the FSO and faculty member(s) seeking to engage in activities involving classified information, including the applicable program manager (“investigator”). To obtain approval at this level of review it must be determined that the university has the appropriate facilities and capabilities to undertake the proposed research in compliance with applicable policies, rules, laws and regulations, and that the investigator has or is eligible for a security clearance.
Opportunity review
The second level of review will involve the appropriate local academic leadership (i.e., department head(s) and dean(s)). To obtain approval at this level, it must be determined that the investigator is appropriate, supported, and capable of doing the proposed activity involving classified information.
Administrative review
The third level of review will involve the ACCR. To obtain approval at this level, it must be determined that the proposed classified research is the type of work appropriate for the university and aligned with the university’s mission and values; it must also be determined that the appropriate mechanisms are in place to ensure continued alignment with mission and values throughout the course of the project or activity, and also that necessary and comprehensive oversight and management over the project or activity will remain in place to ensure compliance with applicable policies, procedures, laws, and regulations. If the ACCR agrees to support and recommend the classified research request, it may impose conditions on its approval consistent with laws and regulations and university rules and policies governing access to, dissemination of, and storage of classified information. The ACCR is the only entity empowered to make recommendations to senior leadership regarding approval/disapproval of activities involving classified information.
Senior leadership review
If the ACCR approves the project or activity, it will make a recommendation to senior leadership defined here as the president, provost, and vice president for research. Approval by university senior leadership must be granted before any individual with a verified security clearance may engage in activities at, or on behalf of, the university that involves access, dissemination, or storage of classified information. In determining whether to grant approval, senior leadership should consider the following, among other things;
1. The criteria used at the prior levels of review;
2. Whether the merits of the proposed research and the potential benefits outweigh the disadvantages and costs of engaging in activities that involve the restriction of information to individuals with appropriate clearances and compliance with appliable security regulations and other laws;

(L) Ongoing oversight of activities involving classified information.

The classified research program and all those engaged in activities involving classified information shall comply with all laws and regulations and university policies and procedures for classified research.
Violations of U.S. law must be reported to the cognizant authority with knowledge of the president and ACCR as required by the cognizant authority. Violations of university policies and procedures shall be reported to the provost and vice president for research immediately upon discovery and within seventy-two hours to the ACCR.
The vice president for research shall annually remind those engaged in activities involving classified information and/or in any way related to the classified research program of the confidential communication system for university employees to report violations of U.S. law and regulation and university policies and procedures involving classified research (e.g., ethicspoint or its successor and others detailed in the insider threat program). There shall be no negative employment outcomes or considerations for reports submitted through this confidential communication system or to university or leadership.
The FSO and ITPSO in collaboration with the ACCR and the applicable program manager(s) shall submit an annual report (unclassified and classified versions) to the president concerning its conduct of classified research at the university. The report shall summarize classified activities conducted in the previous twelve months, identify any matters (positive or negative) of concern, identify existing and/or future needs, discuss regulatory and university compliance, and provide any other comments concerning how to improve university classified activities.

Effective date: November 10, 2022
Date: October 25, 2022 (Signature on file)
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361.03

Records

10-43-10 Records: Records creation and retention requirements.

(A) The University of Cincinnati has adopted this rule for establishing and administering its records program in order to apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposition of its records. The program shall be administered by the archives and rare books department of the university libraries ("university archives"), which shall have authority to develop administrative procedures and guidelines to implement this rule.

(B) "Records" includes any document, device, or item, regardless of physical form or characteristic, including electronic records as defined in R.C. 1306.01, that is created or received by or comes under the jurisdiction of the university and which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university.

(C) "Non-record materials" are documents, devices, or items in the university's custody that do not meet the above definition because they are not needed to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university. Examples include rough notes and drafts which do not contain any information that needs to be preserved, or which merely duplicate information that is being preserved in other documents that are records; extra copies of documents kept only for reference; stocks of publications and processed documents; and library or museum materials intended solely for reference or exhibition. Paragraph (e) of this rule does not apply to non-record materials, which may be retained or discarded in the discretion of the employees who create or receive them.

(D) University employees shall make such records as are necessary for the adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the university and for the protection of the legal and financial rights of the state and persons directly affected by the university's activities. The creation of unnecessary and duplicative records should be avoided.

(E) University records shall be retained for such period as is required by retention schedules established by the university archives, and may be disposed of only in accordance with disposition instructions issued by the university archives. Removal, destruction, mutilation, alteration, transfer, or other disposition of university records except as authorized by this rule is prohibited and may result in disciplinary action.

(F) Each vice president or other officer having custody of university records shall appoint one or more persons to administer the records in his or her custody in accordance with the requirements of this rule. Each person so appointed shall cooperate with the university archives in preparing an inventory of such records and shall be responsible for complying with the administrative procedures and guidelines that are established to implement this rule.

(G) The general counsel of the university shall have authority to promulgate a university policy governing the requests for public records under R.C. 149.43.

Effective: January 8, 2020
Date: December 18, 2019 (signature on file)
Promulgated Under: R.C.Section 111.15
Rule Amplifies: R.C. 121.211; R.C. 149.011; R.C. 149.33; R.C. 149.35; R.C. 149.351; R.C. 3361.03.
Prior effective dates: December 16, 1999; October 15, 2007

10-43-11 Records: Rights of privacy, general policy and procedure statement.

(A) The academic record of a student is confidential. The University of Cincinnati affords all the rights under the law to students and will only disclose personally identifiable information and/or education records in accordance with the Family Educational Rights and Privacy Act of 1974,” as amended (FERPA).

(B) Pursuant to FERPA, within the University of Cincinnati community, only those school officials, individually or collectively, who have a legitimate educational interest are allowed access to student education records. Generally, a school official has a legitimate educational interest if the official needs to review an education record in order to fulfill the official’s professional responsibility. A school official is an employee, agent or other person acting on behalf of the university, which include: a person employed by the university in an administrative, supervisory, academic, research, or support staff position; a person or company with whom the university has contracted as its agent to provide a service instead of using university employees or officials; a person serving on the board of trustees; or a student serving on an official committee.

(C) In accordance with FERPA, at its discretion, the institution may provide items identified as “directory information” to third-party requests without the student’s prior consent. Directory information is information contained in the education records of a student that would not generally be considered harmful or an invasion of privacy if disclosed. The office of the registrar, in consultation with the office of general counsel, will provide notice as to the types of information it has designated as “directory information” on its website. Students may have directory information withheld from release to third-party requests by notifying the university registrar pursuant to procedures established by the office of the registrar. The university will honor a student’s requests for non-disclosure of directory information until such time as the student rescinds the request by following the procedures established by the office of the registrar.

(D) Students have the right to inspect and review information contained in their education records, to challenge the contents of their education records, to have a hearing if the outcome of the challenge is unsatisfactory, and to have explanatory statements included in their files if they find the decisions of the hearing to be unacceptable. The university registrar has been designated by the university to coordinate the inspection and review procedures for student education records. Students wishing to review their education records must make a written requests to the office maintaining the records to be reviewed, listing the records of interest. The university will make covered education records available within forty-five days of the request. The university may provide students with copies of their records, in accordance with the appropriate provisions of FERPA. The university will make any such copies at the students' expense at prevailing rates, which are available on request.

Effective: January 31, 2022
Date: December 15, 2021 (signature on file)
Promulgated under: R.C. 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03; R.C. 149.43; R.C. 1347.09; R.C. 1347.10.
Prior effective dates: March 16, 1978; February 17, 1998; March 21, 2005; June 19, 2006

10-43-13 Records: Corrections.

(A) Students who believe that their education record contains inaccurate or misleading information, or is otherwise in violation of their privacy or other rights, may discuss their problems informally with the office of the registrar. The office of the registrar may request that the student submit a written request for records correction along with corroborating documentation to the university registrar and/or to the designated records officer in the office where the records in question are maintained. This provision does not apply to disputes over the awarding of individual grades by class instructors. The university registrar and/or the designated records officer will reach a determination regarding the student’s claim that their education records contain information that is inaccurate or misleading, or is otherwise in violation of their privacy or other rights. The appropriate records shall be amended in accordance with that determination. If the university registrar or designated records officer determines that changes to the student’s educational records are unwarranted, the student shall be advised of that decision within a reasonable period; and the student will be informed by the office of the registrar of the student’s right to a formal hearing.

(B) Student requests for a formal hearing shall be made in writing to the university registrar. Within a reasonable period after the receipt of such a request, the concerned student shall be informed of the date, place, and time of the hearing. The student may present evidence relevant to the issues raised and may be assisted or represented at the hearings by one or more persons of the student’s choice, including attorneys, at the student’s expense. The hearing may be conducted by any individual who does not have a direct interest in the outcome of the hearing. That individual shall be appointed by the executive vice president for academic affairs and provost, or designee.

(C) Decisions of the hearing shall be final; shall be based solely on the evidence presented at the hearing; shall consist of written statements summarizing the evidence and stating the reasons for the decisions; and be delivered to all parties concerned within a reasonable time after the hearing. If the hearing officials decide in favor of the student, the education records shall be corrected or amended in accordance with the hearing decision. If the decisions are unsatisfactory to the student, the student may place statements with the education records commenting on the information in the records, or statements setting forth any reasons for disagreeing with the decisions of the hearing. The statements shall be placed in the education records, be maintained as part of the student’s records, and be released whenever the records in question are disclosed.

(D) Students who believe that the adjudications of their challenges were unfair for procedural reasons may appeal the procedural questions in writing to the executive vice president for academic affairs and provost. Additionally, students who believe that their rights have been abridged may file complaints with the Family Policy Compliance Office, Department of Education, Washington, D.C. 20201, concerning any alleged failures of the University of Cincinnati to comply with the Family Educational Rights and Privacy Act of 1974, as amended.

Effective: January 31, 2022
Date: December 15, 2021 (signature on file)
Promulgated under: R.C. Section 111.15
Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03; R.C. 149.43; R.C. 1347.09; R.C. 1347.10.
Prior effective dates: March 16, 1978; August 23, 1991; February 9, 1998; October 10, 2002; June 19, 2006; April 7, 2008

10-43-18 Records: Responsibilities and rights concerning ownership, access to and maintenance of original scientific records.

(A) This policy shall apply to all University of Cincinnati (UC) employees and to all research conducted on the premises of UC, utilizing UC resources or infrastructure, or utilizing funding provided by or through UC, regardless of the source of funding for the project.

(B) As used herein, “scientific record” shall mean all original research data and materials, and includes raw data and all other records describing or embodying research activities, such as laboratory notebooks, electronic records, reports, notes of observations, images, instrumental printouts, and the like, as well as any other information or materials which are reasonably necessary for the reconstruction and evaluation of reported results of research and the events and processes leading to those results, regardless of the form or the media on which they may be recorded including computer software. The scientific record shall not include any records to which federal or state law restricts access, for example, patient medical records.

(C) An accurate and complete scientific record is an essential component of any research project. Both UC and the “principal investigator” (PI) have responsibilities and rights concerning access to, use of, and maintenance of the original scientific record. UC has an obligation to protect the university, employees, and members of the general public from loss or misuse of the scientific record. UC is ultimately responsible for producing original records in a variety of circumstances, irrespective of the source of support for the research project. UC's ownership rights and obligations concerning the scientific record include, but are not limited to:

Compliance with the terms of sponsored project agreements and other contractual undertakings by the university;
Ensuring the appropriate treatment of animals and human subjects, and handling of hazardous and potentially hazardous materials;
Protection of the lawful rights of students, faculty and the general public, including, but not limited to, their rights to access the scientific record for research in which they participated;
Protection of intellectual property rights;
Facilitation of the investigation and resolution of disputes arising from research; and
Provisions of a record sufficient to demonstrate compliance by the university with applicable laws and regulations. UC must retain the scientific record in sufficient detail to accomplish these goals for a period of not less than five years beyond the completion of the research unless statute or regulation requires a longer retention period.

(D) Except as provided herein, title to the scientific record shall be vested in UC. Title to the scientific record may be transferred to a third party only in accordance with applicable law and the contracting rules of the university. In any such transfer of title, the university shall reserve such rights as shall be reasonably necessary to accomplish the goals set forth herein.

(E) Insofar as possible, the scientific record should be retained in the laboratory or work area in which the scientific record was originally generated. Any physical relocation of the scientific record must be fully documented in such a fashion as to expedite the prompt location of the materials if required. Except as specifically authorized by contract or by the office of the vice president for research, the scientific record may not be removed from the premises of the university. In case of removal, suitable provision shall be made to assure access to the removed scientific record by the university and those persons who created it.

(F) A research agreement may provide for confidential treatment of bona fide proprietary, competitive, or trade-secret information and data received from a private sponsor, provided that such materials can be readily identified and conditions for the confidential treatment and retention of such materials are reasonable in scope and duration. A research agreement may provide that information in the scientific record that is generated during the course of research may be afforded confidential treatment for a period not to exceed ninety days except as specifically authorized by the office of the vice president for research for the purposes of seeking protection under intellectual property laws.

(G) The PI is responsible for the collection, management and retention of the scientific record as directed by appropriate college and departmental officials. The PI must adopt an orderly system for management of the scientific record and should communicate the chosen system to all members of a research group and appropriate administrative personnel, where applicable. The scientific record must be archived for a minimum of five years after the termination date specified in the contract, grant, or award pertaining to that project or for such longer period as may be specified therein, with original scientific records retained wherever possible. In addition, any of the following circumstances may justify longer periods of retention:

The scientific record must be kept for as long as may be necessary to protect any intellectual property resulting from the work as directed by the university patent officer;
If the PI becomes aware of disputes regarding the research, the scientific record must be retained until alternate arrangements are authorized by appropriate university officials; and
If the scientific record has been generated as a part of a student’s academic requirement, the scientific record must be retained at least until the degree is awarded or it is clear that the student has abandoned the work as evidenced by no student activity over a three year period.

(H) Beyond the period of retention specified here, the destruction of the scientific record is to be only in accordance with disposition instructions issued by the university.

(I) The PI shall provide access to the scientific record to authorized representatives of the university in a manner specified by the office of the vice president for research as may be reasonably necessary to accomplish the goals set forth herein.

(J) If a PI leaves UC, and a research project is to be moved to another institution, custody of the scientific record may be transferred with the approval of the vice president for research and in accordance with procedures specified by that office. No request for the transfer of custody of the scientific record shall be approved unless accompanied by written agreement from the PI's new institution that guarantees:

Its acceptance of custodial responsibilities for the scientific record;
UC’s access to the scientific record, should that become necessary; and
Retention of a copy by UC for use by graduate students still working on the project.

Effective: March 21, 2005
Date: March 10, 2005 (signature on file)
Promulgated under: R.C. Section 111.15 Statutory authority: R.C. 3361.
Rule amplifies: R.C. 3361.03
Prior effective date: April 24, 2003

Safety

10-45-01 Safety: Policy statement on safety and environmental health at the University of Cincinnati.

(A) It is the policy of the University of Cincinnati to provide an environmentally safe work environment in support of the University of Cincinnati’s mission of teaching, education, and research.

(B) Equipment and design standards which meet or exceed applicable federal, state, and local regulations shall be adopted by the university to promote and effect this policy.

(C) Members of the university community shall support this policy by adhering to practices which meet or exceed applicable federal, state, and local standards for health and safety. At a minimum, these practices will include effective management of physical, chemical, biological, and radiological hazards, and controlled emission to the air, water, and land.

(D) All members of the university community shall report potential hazards to responsible parties, and shall work with the university to specify methods which will eliminate or minimize such hazards.

(E) To avoid injury and damage to themselves, others, and the environment, members of the university community shall respectfully use facilities and equipment.

(F) Each individual is responsible for managing his or her activities in a manner which prevents harm to the university community and its surrounding environs.

(G) Supervisors (including faculty and staff) are responsible for minimizing the risks to which students and employees may be exposed, and for correcting inappropriate behaviors. Supervisors shall assume this responsibility by monitoring students’ and employees’ compliance with the use of personal protective equipment and safe work practices. Supervisors shall also provide special, job-specific instructions commensurate with the specific demands of the students’ and employees’ tasks.

(H) The president has the authority to promulgate rules which implement this policy.

Replaces: Former Rule 3361:10-45-01 of the Administrative code.
Effective: October 28, 1998
Date: October 7, 1998 (signature on file)
Promulgated under: R.C. Section 111.15
Rule Amplifies: R.C. 3361.01
Prior effective date: October 12, 1987

Sales & Solicitation

10-51-01 Sales and solicitation: Policy and procedure.

(A) Policy.

Definitions. "Sales" is defined to mean the activity of exchanging a product or service in return for money, goods, or other services. "Solicitation" is defined to mean the activity or process of seeking to obtain the support of an individual for a cause, movement, doctrine, or commercial product through persuasion or formal application.
Sales by non-university organizations. There shall be no sales and solicitations conducted on university property, outside the parameters of this policy, except by vendors with whom the university has contracted for the sale of goods and services.
Sales (direct or sponsored) by registered student and official university organizations. The sale of service or products on university property shall only be conducted by students, faculty, or staff of the University of Cincinnati or by representatives of companies that have received approval from the required university office as outlined in paragraph (B) of this rule.
Sales limitations. Sales may not normally be conducted in competition with the products and services normally provided by the bookstores, Tangeman university center, or other university facilities. Exceptions to this policy may be made only with the concurrence of the university departments with which the activity will directly compete.
Tax liability.Sales taxes shall be paid to the state of Ohio for all sales to faculty, staff, and students as required under Ohio law.
Solicitation (direct or sponsored) by registered student and official university organizations. Solicitation on university property may only be conducted by students, faculty, or staff of the University of Cincinnati or by representatives of companies that have received approval from the required university office as outlined in paragraph (B) of this rule.
Employee solicitation. Employees may be solicited for purposes other than university business only during the non-working time for each employee. Non-university related literature may be distributed to employees only during the non-working time of each employee and in nonwork areas.
Solicitation - campus mail. The use of campus mails at no cost is limited to official university business.
Contract approval - university departments. All contracts between the university (or its departments) and other parties shall be approved in the required fashion using the university's contract approval process (form A-910).

(B) Procedure.

Sales or solicitation activity on university property.
Requests to conduct sales or solicitation on university property must be approved by the purchasing department which may consult with both the person(s) responsible for the building, as outlined in the University of Cincinnati use facilities policy manual and, if required, the office of student organizations and activities (for student sponsored activity on the west campus). Such sales or solicitations must be conducted by or sponsored by a registered student group or university department/affiliated group. Requests to conduct solicitation activity in academic buildings on west campus must also be approved by the chairperson of the use of facilities committee. The chairperson of the use of facilities committee may be contacted through the office of the student organizations and activities.

(C) Review and enforcement.
Ongoing review of the implementation of this policy, as well as any new concerns, will be reviewed on an as needed basis by the sales and solicitation committee. All concerns regarding this policy should be addressed to the chairperson of the sales and solicitation committee, who may be contacted through the office of the director of purchasing.

(D) Committee membership.
Committee membership shall be comprised of representatives from the university groups or departments shown below or as amended by the senior vice president for administrative and finance. Faculty senate Finance Graduate student governance association Provostal representative Student affairs and services Student government University libraries.

Effective: April 1, 2019
Date: March 18, 2019 (signature on file)
Promulgated under: R.C. Section 111.15
Rule amplifies: R.C. 3361.03
Prior effective date: March 30, 1984; July 1, 1985; August 12, 1994; February 9, 1998; March 21, 2005; April 7, 2008

Emergency Closures

10-55-01 Emergency closures: Announcement.

The University of Cincinnati is always officially open. During periods of severe inclement weather, public emergency, or other crisis, the president or the president’s designee of the University of Cincinnati may issue an announcement of campus status as appropriate to the situation on the university electronic mail system and through local mass media outlets. In general, such a campus status announcement will inform the general public, as well as University of Cincinnati students and employees, that the University of Cincinnati campus, or a specific designated portion of the campus, is closed for a specific time period.

(A) Such announcements may specify that University of Cincinnati classes, with the exception of the college of medicine, are canceled until or after a specific time, or for an entire day.

(B) Such announcements may specify that all events and programs, including both university events and non-university events held in university facilities, are canceled.

(C) Such announcements may specify that certain university offices and facilities are closed, except for essential offices that never close under any circumstances, which are identified in rule 3361:30-16-01 of the Administrative Code.

Effective date: April 1, 2019
Date: March 18, 2019 (signature on file)
Promulgated under: R.C. Section111.15
Statutory Authority: R.C. 3361
Rule amplifies: R.C. 3361.03
Prior Effective Date: February 17, 1998; June 30, 2005; August 31, 2015