Chapter 3333-1 General Provisions

3333-1-01 [Effective until 7/15/2014]Organization and procedure.

(A) Organization

(1) The Ohio board of regents (OBR) shall organize for the conduct of business at the regular November meeting each year, or the next regular meeting if no regular meeting is held in November, by electing from its membership a chairman, vice chairman and secretary. The board may also elect additional officers from time to time, as are deemed necessary and appropriate, who may or may not be members of the board.

(2) The board of regents shall appoint a chancellor as its chief executive officer. The chancellor shall serve at the pleasure of the board. The duties of the chancellor shall be prescribed by resolution of the board. The chancellor shall appoint members of the administrative staff, to comply with section 3333.03 of the Revised Code.

(3) The headquarters of the board shall be located in Columbus, Ohio.

(B) Meetings

(1) Meetings of the Ohio board of regents shall be held on a regular basis with the board meeting at least four times annually and as the board may otherwise determine from time to time. Additional meetings may be fixed by action of the board or upon call by the chairman. Public notice of meetings shall be given in accordance with rule 3333-1-14 of the Administrative Code.

(2) Members shall be given at least one month's advance notice of regular meetings.

(3) Meetings of the board may be held at any location in the state.

(4) Official business of the board shall be transacted only in meetings open to the public, except as executive sessions may be called for consideration of matters specified in division (G) of section 121.22 of the Revised Code.

(5) Members shall be given advance notice of the agenda of each meeting by the secretary or the chancellor.

(6) A majority of the entire membership of the board shall constitute a quorum, and official business shall be transacted only when a quorum is present.

(7) Except as otherwise provided by rule or other action of the board, all proceedings of the board shall be governed by parliamentary rules as set forth in "Robert's Rules of Order."

(C) Order of business

The order of business for regular meetings of the board shall be at the discretion of the chairman, but shall generally include the following:

(1) Call to order;

(2) Roll call;

(3) Certification of conformity with division (F) of section 121.22 of the Revised Code;

(4) Committee reports - including a summary of items agreed to by a majority vote of the committee, and items recommended for full board approval;

(5) Vote;

(6) Report of the chancellor;

(7) Consideration of new and amended administrative rules, distributions and releases of appropriated funds, certificates of authorization, new degrees and degree programs, controlling board requests, personnel actions, and other such items;

(8) Vote;

(9) Adjournment;

The order of business for special meetings shall be established by the chairman.

(D) Minutes

The board shall keep an official set of minutes of all official business transacted by the board. These minutes shall be authenticated by the chairman and secretary after approval by the board. Each member shall receive a copy of the minutes.

(E) Committees

(1) The board may authorize such standing or special committees as it may deem desirable from time to time. The chairman shall designate the members of such committees.

(2) The board may authorize the appointment of advisory committees from time to time. Such advisory committees will normally report to the board through the chancellor.

(F) Reports

The board shall also publish a master plan as required by law to be prepared by it, and may publish such other studies or reports from time to time as it may deem desirable. All published reports shall be made available to the governor and the general assembly, and to the general public via the OBR website.

(G) Compensation and expenses

(1) All members shall be reimbursed for necessary expenses incurred in the conduct of board business.

(2) The board shall adopt a budget annually in accordance with the state appropriations and other income received by the board. Said budget shall constitute authorization to the chancellor to incur obligations in accordance therewith.

(3) The compensation of all staff members who serve under the chancellor shall be determined by the chancellor.

(4) Staff members shall be paid travel expenses in accordance with the financial regulations of the state.

(5) All vouchers in payment of obligations of the board shall be signed by the chancellor or by the designated finance officer of the board.

(H) Amendment

These rules may be amended at any time by majority vote of the entire membership of the board.

Effective: 08/10/2006
R.C. 119.032 review dates: 05/10/2006 and 08/10/2011
Promulgated Under: 111.15
Statutory Authority: 3333.02 , 3333.04
Rule Amplifies: 3333.02 , 3333.04
Prior Effective Dates: 1-12-01

3333-1-01 [Effective 7/15/2014]Organization and procedure.

(A) Organization

(1) The Ohio board of regents ( the board), an advisory board to the chancellor appointed under section 3333.01 of the Revised Code, shall organize for the conduct of business at the regular November meeting each year, or the next regular meeting if no regular meeting is held in November, by electing from its membership a chairperson, vice chairperson, and secretary. The board may also elect additional officers from time to time, as are deemed necessary and appropriate.

(2) The chairperson, vice chairperson, and secretary shall be elected for a term of two years. Additional officers shall be elected for a term determined by the board at the time of their election.

(3) Newly appointed members before entering on official duties and after qualifying for office, shall take and subscribe to an oath of office, to uphold the constitution and laws of the United States and this state, and to perform the duties of office honestly, faithfully and impartially.

(4) The headquarters of the board shall be located in Columbus, Ohio.

(B) Meetings

(1) Meetings of the board shall be held on a regular basis with the board meeting at least four times annually and as the board may otherwise determine from time to time. Additional meetings may be fixed by action of the board or upon call by the chairperson. Public notice of meetings shall be given in accordance with rule 3333-1-14 of the Administrative Code.

(2) Members shall be given at least one month's advance notice of regular meetings.

(3) Meetings of the board may be held at any location in the state.

(4) Official business of the board shall be transacted only in meetings open to the public, except as executive sessions may be called for consideration of matters specified in division (G) of section 121.22 of the Revised Code.

(5) Members shall be given advance notice of the agenda of each meeting by the chairperson, chancellor, or chancellor's designee.

(6) A majority of the entire membership of the board shall constitute a quorum, and official business shall be transacted only when a quorum is present. Pursuant to section 3333.02 of the Revised Code, the formation of a quorum and the taking of votes at meetings conducted by interactive video teleconference is permitted if provisions are made for public attendance at any location involved in such a teleconference.

(7) Members are expected to attend all meetings of the board. Pursuant to section 3.17 of the Revised Code, any member who fails to attend three-fifths of the regular and special meetings held by the board during any two-year period forfeits the member's position on the board.

(8) Except as otherwise provided by rule, law, or other action of the board, all proceedings of the board shall be governed by parliamentary rules as set forth in "Robert's Rules of Order ," which can be accessed at http://www.robertsrules.com/.

(C) Order of business

The order of business for regular meetings of the board shall be at the discretion of the chairperson, but shall generally include the following:

(1) Call to order;

(2) Roll call;

(3) Certification of conformity with division (F) of section 121.22 of the Revised Code;

(4) Approval of the minutes

(5) New Business/Old Business

(6) Report of the chancellor;

(7) Adjournment;

The order of business for special meetings shall be established by the chairperson.

(D) Minutes

The board shall keep an official set of minutes of all official business transacted by the board and these minutes shall be open for public inspection. These minutes shall be authenticated by the chairperson and secretary after approval by the board. Each member shall receive a copy of the minutes.

(E) Committees

(1) The board may authorize such standing or special committees as it may deem desirable from time to time. The chairperson shall designate the members of such committees.

(2) Any standing or special committee appointed by the board may seek advice and counsel from members of the public with respect to the issues or subject matter being addressed by such committees.

(F) Reports

The board shall also publish an annual report on the condition of higher education. The board may divide the report into parts, one reflecting the board's findings regarding the topic selected for review, and one reflecting the annual evaluation of the chancellor as required by law.

(G) Compensation and expenses

All members shall serve without compensation; however, all members shall be reimbursed for necessary expenses incurred in the conduct of board business according to state procedures.

(H) Amendment

These rules may be amended at any time by majority vote of the entire membership of the board.

Effective: 07/15/2014
R.C. 119.032 review dates: 03/18/2014 and 07/15/2019
Promulgated Under: 111.15
Statutory Authority: 3333.02
Rule Amplifies: 3333.02
Prior Effective Dates: 1/12/2001, 8/10/2006

3333-1-02 Definition of headcount enrollment and full-time equivalent enrollment, and requirements for higher education data reporting.

(A) Authority

This rule is adopted under authority conferred upon the chancellor of the Ohio board of regents by section 3333.04 of the Revised Code.

(B) Definitions

For purposes of this rule:

(1) "Enrolled student" means a student who takes coursework or participates in instructional activities offered by an institution. Such courses and activities must be under the direct academic control or approval of the institution, and delivered through the use of institutional resources. The chancellor may adopt guidelines that allow institutions to consider certain students as enrolled students in specific instances where courses are not delivered through the use of institutional resources.

(2) "Institution" means a state institution of higher education as defined by section 3345.011 of the Revised Code.

(3) "Credit instruction" means academic instruction in the context of a course or activity leading to the award of credit by a regionally or nationally accredited institution of higher education. Such credit is generally acknowledged as applicable toward the attainment of a degree or certification.

(4) "Developmental course" means a course which is below college level and cannot be applied toward the requirements for a certificate or degree program.

(5) "General studies course" means a course of credit instruction which is general, introductory, or core in nature. Courses which satisfy distributive requirements, the set of courses which provide students with a broad knowledge base, generally in the humanities, mathematics, natural sciences and scial sciences, for a credit-bearing certificate, associate degree, or baccalaureate degree shall be considered to be general studies level courses.

(6) "Technical education course" means a course of credit instruction which is part of a credit-bearing certificate or associate degree program of technical education and is within the technical portion of a curriculum as defined by program approval standards established by the chancellor. Courses which are "basic" and "non-technical" within those standards shall be considered general studies level courses.

(7) "Baccalaureate course" means a course of credit instruction which is specialized within a discipline for the baccalaureate degree. The course if considered specialized when a specific set of knowledge or skills is required prior to enrollment. Typically these courses are reserved for students majoring in the field. Specialized course designed to serve a related discipline are also considered baccalaureate courses.

(8) "Master's course" means a course of credit instruction which is designed for graduate instruction and is not specifically designed as a doctoral course. Courses which represent the graduate level component of advanced undergraduate courses (where a specific designation has been made that the course is creditable toward a graduate degree) are considered master's level courses, as is the master's level component of a graduate course designed to serve both this level and the doctoral level.

(9) "Doctoral course" means a course of credit instruction which is specifically designed for the instruction of students enrolled in programs of study in which enrollment is normally available only to students who have progressed beyond the level of at least a bachelor's degree, and which typically results in the attainment of a doctoral degree. The doctoral level component of a graduate course designed to serve both the doctoral level and the master's level is considered a doctoral level course.

(10) "Professional course" means a course of credit instruction which is part of a program of study leading to the first professional degree. Fields of professional study may include, but are not limited to, law, dentistry, medicine, veterinary medicine, optometry, osteopathy, and pharmacy.

(11) "Non-credit instruction" means instruction in the context of a course or activity for which a learner does not earn any academic credit.

(12) "Contract and grant funded course" means a course or course section that is offered pursuant to a grant or contract from a sponsor such as a government entity, school district, or private enterprise where the intent of the grant or contract is to compensate the college or university for some or all of the costs of delivering the instruction to enrolled students.

(13) "Semester credit hour" means a minimum of seven hundred fifty minutes of formalized instruction that typically requires students to work at out-of-class assignments an average of twice the amount of time as the amount of formalized instruction (one thousand five hundred minutes). It is acknowledged that formalized instruction may take place in a variety of modes.

While awarding semester credit hours typically occurs for instruction delivered in accordance with an institution's standard semester calendar, it may also occur for instruction that may not follow the typical pattern of an institution's standard semester calendar as long as the criteria for awarding such credit is met.

Credit hours may be calculated differently for certain types of instructional activities, including but not limited to: laboratory instruction, clinical laboratory instruction, directed practice experience, practicum experience, cooperative work experience, field experience, observation experience, seminar, mixcellaneous and studio experience. The chancellor may adopt guidelines to specify these calculations.

(14) "Quarter credit hour" means a minimum of five hundred minutes of formalized instruction for an academic quarter that typically requires students to work at out-of-class assignments an average of twice the amount of time as the amount of formalized instruction (one thousand minutes).

While awarding quarter credit hours typically occurs for instruction delivered in accordance with an institution's standard quarter calendar, it may also occur for instruction that may not follow the typical pattern of an institution's standard quarter calendar as long as the criteria for awarding such credit is met.

(15) "Formalized instruction" means instruction for which the instructor bears the primary responsibility for delivery, acknowledging that the delivery may take place in a variety of modes.

(16) "Student credit-hour enrollment" generally means the number of student credit hours of course registration for each quarter, semester, or term as of the end of business on the fifteenth calendar day of classes reflecting all withdrawals or changes of registration as of the end of business on that date and subsequently approved by that office. Students enrolled in courses offered on a flexible schedule may be included if student registration is completed by the end of business as of twenty per cent of the time taken to complete the course. The chancellor may prescribe the manner by which student credit hour enrollment is to be reported with regard to courses meeting fewer than seven consecutive days, and with regard to programs operated on a calendar which is different from the regular institutional calendar.

(17) "Week of instructional time" means for purposes of the definition of academic semester, academic quarter and academic year, a week of instructional time is any period of seven consecutive days in which at least one day of regularly scheduled instruction, examination, or (after the last day of classes) at least one scheduled day of examinations occurs.

(18) "Academic year" means a period of time that is at least thirty weeks in length counting periods of time (terms) that begin on the first day of classes and end on the last day of classes or examinations. The thirty week requirement shall be measured exclusive of compressed terms (e.g., summer term).

(19) "Full-time-equivalent enrollment" means the measure of enrollment determined by dividing total student credit hour enrollment for an entire academic year by thirty for institutions using a semester calendar and by forty-five for institutions using a quarter calendar.

For purposes of computing the full-time equivalent enrollment at the master's doctoral and professional levels, only students who have been admitted as master's, doctoral, or professional students and who have earned a bachelor's degree shall be included.

(20) "Full-time-equivalent student in medical programs" means the headcount of students enrolled for the degrees doctor of medicine, doctor of osteopathy, doctor of veterinary medicine, and doctor of dental surgery.

(21) "Academic quarter" means a period of time that shall consist of no fewer than ten calendar weeks and no more than eleven calendar weeks of instructional time. The inclusion of breaks or holidays within any particular quarter shall be at the discretion of the institution so long as the institution is in compliance with the criteria that defines a week of instructional time, and is in compliance with the criteria for awarding quarter credit hours.

(22) "Academic semester" means a period of time that shall consist of no fewer than fifteen calendar weeks and no more than seventeen calendar weeks of instructional time. The inclusion of breaks or holidays within any particular semester shall be at the discretion of the institution so long as the institution is in compliance with the criteria for awarding semester credit hours.

(23) "Flexibly scheduled course" means a course section not meeting during the institution's regular academic term as well as a course section meeting during the regular academic term offered in a substantially different manner than a fixed number of meeting times per week for all weeks of the term.

(24) "Headcount enrollment" means a count of enrolled students in which each student, regardless of their level of instructional activity, counts as one student.

(25) "For audit purposes" describes enrollment by a student in a course section for which the student elects not to be awarded credit

(C) Higher education data reporting

(1) In accordance with the provisions of law, including, but not limited to, sections 3333.04 and 3333.07 of the Revised Code, requiring each institution to submit such information as is necessary in order to determine the appropriate subsidy payments, and for purposes of computing full-time-equivalent enrollment, each institution shall prepare and submit data files to the chancellor which accurately reflect student enrollments during the periods reported and the specific location of the instructional offering.

(2) Each institution shall submit such additional data to the chancellor as the chancellor may determine to be necessary in order to report on higher education outcomes and guide program development and assessment, strategic planning, and budget development and implementation.

(3) The staff of the chancellor may review the data submitted by institutions for consistency and accuracy. Such review may include audits that compare selected data supplied through file submissions to source data provided by institutions. If the results of these reviews indicate that institutional data are inaccurate, the chancellor may direct that the data be corrected and may further direct that any payment made to the institution relying on such data be recomputed.

(D) Reporting of student characteristics

In the enrollment files submitted each term, each institution shall report for each enrolled student, in the manner prescribed by the chancellor, characteristics specified by the chancellor. In addition to reporting such characteristics, each institution shall specifically indicate and identify the following:

(1) Male students who have failed to meet selective registration requirements set forth in section 3345.32 of the Revised Code and rule 3333-1-19 of the Administrative Code, and who do not qualify for exemption of the registration requirement.

(2) Students who have not paid fees for a prior term by the fifteenth day of the present term, and students who have not paid fees for the present term, without an exception as determined by the chancellor's staff. Those exemptions may apply to:

(a) Instances in which the student's financial aid and/or third party payment for the present term is in progress (examples could include state or federal government grants or employer or union tuition reimbursements).

(b) Instances in which the student signed a note agreeing to pay all instructional fees according to the policies of the college or university for the present term.

(3) The residency status of each student. In determining whether or not an enrolled student is an Ohio resident for purposes of the payment of state subsidy, each state-assisted institution shall rely on rule 3333-1-10 of the Administrative Code.

(4) Graduate students who, by the preceding term, have earned more than two hundred sixty quarter or one hundred seventy-four semester credit hours. For the purpose of calculating these credit hour values, a student should be credited with fifty-one quarter or thirty-four semester credit hours if that student has already earned a master's degree from another institution. Professional level credit hours are not included in this calculation.

(5) Medical students whose studies in professional level medical instruction will exceed thirteen quarters or nine semesters (four academic years and one summer) because the student was required by the institution to repeat a portion od the curriculum.

(6) Students who have earned more than one hundred thirty-five quarter hours or ninety semester hours of course credit while seeking a doctorate of audiology, physical therapy or occupational therapy.

(E) Reporting of course characteristics

In the course characteristics files submitted each term, each institution shall specifically indicate and identify, in the manner prescribed by the chancellor, the following:

(1) The course level for each course as prescribed by guidelines issued by the chancellor. The course level shall be one of the following:

(a) Developmental course

(b) General studies course

(c) Technical education course

(d) Baccalaureate course

(e) Master's course

(f) Doctoral course

(g) Professional course

(2) Whether the course is a course of credit instruction or of non-credit instruction.

(3) Whether the course is eligible or not eligible for state support.

(F) Reporting of student course enrollment characteristics

In the student course enrollment files submitted each term, each institution shall report the students enrolled in each course, in the manner prescribed by the chancellor. Additionally each institution shall specifically indicate and identify the following:

(1) Course enrollments by students for audit purposes only

(2) Student course outcomes in a manner prescribed by the chancellor.

Replaces: part of3333-1-02

Effective: 11/19/2010
R.C. 119.032 review dates: 11/19/2015
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3333.04
Prior Effective Dates: 7/1/76, 7/28/77, 6/3/78, 11/2/78, 5/3/79, 5/3/81, 2/27/84, 3/26/87, 6/15/92

3333-1-02.1 Relationship of enrollment data to state funding of higher education.

(A) Authority

This rule is adopted under authority conferred upon the chancellor of the Ohio borad regents by section 3333.04 of the Revised Code.

(B) Considerations for state funding

State funding support of institutions may be determined by a variety of factors that include, but are not limited to, the characteristics of enrolled students, the characteristics of course and course sections, and course outcomes. The computations of state funding support shall be computed pursuant to the manner prescribed by law.

(1) The following categories of students shall not be factored into computations that results in payments to institutions of higher education:

(a) Male students who have failed to meet selective service registration requirements set forth in section 3345.32 of the Revised Code and rule 3333-1-19 of the Administrative Code, and who do not qualify for exemption of the registration requirement.

(b) Students who have not paid fees for a prior term by the fifteenth day of the present term, and students who have not paid fees for the present term, without an exception as determined by staff of the chancellor.

(c) Students whose Ohio residency status under rule 3333-1-10 of the Administrative Code makes them ineligible for state funding support.

(d) Graduate students who, by the preceding term, have earned more than two hundred sixty quarter or one hundred seventy-four semester credit hours. For the purpose of calculating these credit hours if that student has already earned a master's degree from another institution. Professional level credit hours are not included in this calculation.

(e) Medical students whose studies in professional level medical instruction will exceed thirteen quarters or nine semesters (four academic years and one summer) because the student was required by the institution to repeat a portion of the curriculum.

(f) Students who have earned more than one hundred thirty-five quarter hours or ninety semester hours of course credit while seeking a doctorate of audiology, physical therapy or occupational therapy.

(2) The following course enrollments shall be factored into computations that result in payments to institutions of higher education as specified:

(a) Course enrollments reflecting students enrolled for audit purposes only shall not be factored into payment computations.

(b) Course enrollments in contract and grant funded course sections offered pursuant to a grant or contract from a sponsor such as a government entity, school district, or private enterprise where the intent of the grant or contract is to compensate the college or university for some or all of the costs of delivering the instruction to enrolled students may receive differential funding treatment. In cases where the total costs of delivering the instruction are covered by the grant or contract, the course enrollments will not be eligible for any state funding. The chancellor may issue guidelines on the specific definition of total costs to be used. In cases of partial cost coverage, the course enrollments may be eligible for reduced state support, pursuant to guidelines issued by the chancellor.

(c) Course enrollments in credit and non-credit instruction shall be separately factored into such payment computations as may be specified for each type of instruction.

Replaces: part of 3333-1-02

Effective: 11/19/2010
R.C. 119.032 review dates: 11/19/2015
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3333.04
Prior Effective Dates: 7/1/76, 7/28/77, 6/3/78, 11/2/78, 5/3/79, 5/3/81, 2/27/84, 3/26/87, 6/15/92

3333-1-03 Release of funds from appropriations for capital improvements.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents in the appropriation and reappropriation acts for capital improvements adopted by the general assembly as well as sections 3345.50 and 3345.51 of the Revised Code.

(B) Policy

The chancellor will recommend to the office of budget and management and controlling board the release of capital appropriations if it finds that:

(1) The use of funds requested for release corresponds substantially to the use of funds described in a program plan which has been submitted to and approved by the chancellor of the board of regents; and

(2) The institution stipulates that its request for release of funds meets the pertinent provisions of law, rules, regulations, and procedures which govern the implementation of capital improvements projects.

(3) Where the improvement is locally administered, the institution is executing the authority for local administration of the project in accordance with either rule 3333-1-24 or 3333-1-28 of the Administrative Code.

(C) Program plan

As a condition precedent to recommending the release of capital appropriations, a program plan for the project must be submitted to and approved by the chancellor, except when a bona fide emergency condition arises which makes the submission of a program plan impractical.

(1) The form and content of a program plan shall be established by the chancellor; the form and content may vary, depending upon the relative complexity of a particular project.

(2) Once a program plan has been approved, any significant modifications proposed must be submitted to and approved by the chancellor.

(3) The following criteria, when applicable to a project, shall be used to evaluate a program plan:

(a) Expenditures must be for capital improvements.

(b) The project scope must meet the intent and purpose of the appropriation.

(c) The location and positioning of the project should be in accord with a campus master plan or, in the absence of a master plan, should harmonize with the existing campus environment.

(d) The size, capacity and arrangement of the project should meet projected enrollment and programmatic needs.

(e) Project design should provide maximum flexibility to meet future facility requirements.

(f) Project design should give priority to development or renovation which yields the maximum amount of usable or net assignable space and a minimum amount of unusable or nonassignable space.

(g) Project design must be such that the project can and will be completed, including necessary equipment and furnishings, and ready for full occupancy without exceeding appropriated funds; should the project budget exceed appropriated funds, the institution must either supplement funding from its own resources or revise the scale or scope of the project to bring the budget into balance with appropriated funding. Project design should take into account the potential need to eliminate or defer project elements by establishing alternate construction packages which may be accepted or rejected, based on budgetary constraints. If a program plan is approved containing elements which could lead to costs exceeding appropriated funds, such approval shall not imply that any additional state funding, either through transfers from other appropriations or from future appropriations, is or will be supported by the chancellor of the Ohio board of regents.

(h) Design must give priority to meeting applicable building and safety codes.

(i) Design should seek ways to minimize increases in operating costs or, if possible, reduce operating costs.

(j) Design should maximize energy efficiency to provide for energy resource conservation.

(k) If not already accessible, renovated and new facilities should meet the requirements of the Americans with Disabilities Act.

(D) Compliance with law, rules, regulations, procedures

The chancellor of the Ohio board of regents, as a condition precedent to recommending the release of capital appropriations, will monitor institutional requests for funding releases to determine whether it appears that the institution has substantially met requirements of laws, rules and regulations related to the administration of a capital facilities project. Such monitoring will be performed primarily to see that necessary steps have been taken which can facilitate and expedite action by the director of budget and management and the controlling board in releasing the requested funds. Should it appear that provisions of a law or rule may not have been met, the chancellor will advise the institution. In addition, the chancellor shall monitor the applicable projects in accordance with the provisions of rule 3333-1-30 of the Administrative Code pursuant to division (D) of section 3345.51 of the Revised Code.

Monitoring will include, but not be limited to, applicable provisions of the capital appropriations or reappropriations acts and the Ohio Revised Code, and rules or procedures pertaining to capital improvements projects established by the Ohio public financing commission, controlling board, office of budget and management, and the department of administrative services, general services division.

(E) Capital projects - facilities not owned by state or institution Prior to recommending release of capital funds to institutions for facilities which, because of their unique nature or location, will be owned or will be part of facilities owned by a separate nonprofit organization or public body, the institution shall submit and the chancellor shall approve a joint use agreement which shall include provisions that:

(1) Specify the extent and nature of the space to which the institution is to be granted rights for use in its educational programs and the terms and conditions governing such use.

(2) Specify that the term of the agreement shall be for at least twenty years.

(3) Provide for reimbursement to the state should the institution's right to use the facility be terminated by the nonprofit organization or public body prior to the expiration of the twenty-year term, which reimbursement shall be calculated by dividing the funds contributed by the state of Ohio by fifteen and multiplying that sum by fifteen less the number of full years the facility is utilized by the institution.

(4) Provide that the nonprofit organization or public body comply with all pertinent federal, state and local laws as well as state administrative regulations.

(5) Specify that funds shall be used only for capital improvements as defined in the bill appropriating such funds.

(6) Identify the facility to be constructed, renovated or improved.

(7) Identify the ownership of the facility or the basic terms of the leasehold by the nonprofit corporation or public body.

(8) Specify that the nonprofit corporation or public body shall hold the institution harmless from all liability for the construction, operation and maintenance costs of the facility.

(9) Require the nonprofit corporation or public body to follow competitive bidding procedures which include, as a minimum, publishing advertisements to seek bids, receiving sealed bids, and awarding contracts to the lowest responsive and responsible bidders.

(10) Provide for reimbursement to the institution for administrative costs incurred as a result of the project, which sum shall equal one and one-half per cent of the appropriated amount.

(11) Provide that amendments to the agreement shall require approval by the chancellor of the Ohio board of regents.

Effective: 02/06/2014
R.C. 119.032 review dates: 11/22/2013 and 02/06/2019
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3345.50 , 3345.51
Prior Effective Dates: 10/13/75, 6/3/78, 5/3/79, 5/7/82, 2/2/85, 12/30/88, 06/11/07

3333-1-04 Standards for approval of associate degree programs.

(A) Authority

This rule is adopted under authority conferred upon the Ohio board of regents by section 3333.04 of the Revised Code.

(B) Definitions

The definitions developed by the Ohio board of regents to implement its legal charge are as follows:

(1) A "new degree" is any new appropriate recognition or award for completion of a prescribed degree program in a state-assisted institution of higher education designated by the customary titles of associate, bachelor, master, specialist, or doctor.

(2) A "new degree program" is any prescribed program of study in a state-assisted institution of higher education which constitutes an area of concentration or specialization leading to a designated degree.

(3) The two-year associate degrees which are authorized to be awarded by public institutions are defined as follows:

(a) The "associate of arts" and the "associate of science" are degrees awarded for successful completion of a planned program of study which is generally equivalent to the first two years of a baccalaureate degree program.

Baccalaureate programs in many disciplines require specific lower division coursework which must be completed in the freshman and sophomore years if the associate of arts degree is to signify a halfway point in the progression toward the baccalaureate degree. The above is in no way intended to relieve the student of the responsibility for completing the programmatic prerequisites and requirements of the baccalaureate program which he intends to follow at a particular four-year institution.

(b) The "associate of applied business" and the "associate of applied science" are degrees which are awarded for the successful completion of a planned program of instruction in a technology, the primary objective of which is the preparation of individuals for paid or unpaid employment in that technology, or for additional preparation for a career requiring other than a baccalaureate or advanced degree. Degree programs offered as technical education include two-year curricula in engineering and industrial technologies, business technologies, agricultural and natural resource technologies, health technologies, and public service technologies. The board of regents will develop and approve a standard taxonomy for all technical education offerings which should be used by all campuses in the titles of degree programs, and shall be contained in the Ohio board of regents' two-year campus operating manual.

(c) The "associate of technical study" is a degree awarded for successful completion of an individually planned technical education program designed to respond to a student's need for specialized technical education not currently available on a particular campus either through cooperative arrangements with public, private, or proprietary postsecondary institutions, vocational centers, or other educational enterprises, or through an intra-institutional, interdisciplinary combination of courses offered by the awarding institution.

(d) The "associate of individualized study" is a degree awarded for the successful completion of an individually planned degree program designed by a student with the assistance of a designated faculty advisor, generally containing an area of concentration formed either by an interdisciplinary combination of courses offered by the awarding institution, or through credits awarded by the awarding institution for educational experiences judged by the institution to be of college level.

(e) The "associate of labor studies" is a degree awarded for the successful completion of a program with a major emphasis in studies relating to the leadership of labor unions, designed to provide a broader understanding and perspective of economic, social, and political problems of our society and the role which labor unions and workers should play in it, and to equip members of labor organizations with skills needed to exercise their union and civic responsibilities.

(C) General standards for the approval of associate degree programs.

(1) Full-time faculty members and administrative personnel should be provided in numbers which will assure:

(a) Familiarity and identification with the goals of the field of concentration.

(b) The continuity of the program.

(c) Continuing interchange of ideas and experience within the faculty.

(d) Adequate attention to the needs of individual students in the program.

(2) A minimum of sixty per cent of the curriculum should be taught by faculty members who devote full time to the teaching and administrative responsibilities of the two-year campus.

(3) Persons holding top leadership responsibilities at the department level should hold either a master's degree, or a bachelor's degree with other advanced preparation, and have experience in the appropriate field of concentration.

(4) Faculty members whose assignments are primarily in the technical areas should evidence competency based upon:

(a) Formal education appropriate to the specialization, usually including the bachelor's or master's degrees or their equivalent as demonstrated by expertise, licensure, or certification; and

(b) Practical experience other than teaching in the appropriate specialization, as demonstrated by full-time employment for approximately five years in the career area, or a related field; and

(c) Evidence of professional development in the field of concentration as demonstrated by activity in professional associations, consultative practice, participation in seminars, workshops, and formal course work, and individual reading and research.

(5) Faculty members whose assignments are primarily in the teaching of the general studies curriculum should generally hold a master's degree in the subject matter discipline, and should also show evidence of professional development as indicated in section (C)(4)(c) of this rule.

(6) For approval by the Ohio board of regents, associate degree programs must contain a minimum of ninety quarter credits or sixty semester credits and should not exceed a maximum of one hundred ten quarter credits or seventy-three semester credits, exclusive of physical education. Exceptions may be granted where licensing procedures require additional hours.

(a) The academic quarter should be of eleven weeks duration with not less than ten weeks devoted to instruction.

(b) The academic semester should be of sixteen weeks duration with not less than fifteen weeks devoted to instruction.

(c) Academic credit awarded for successful completion of courses should be expressed in conventional quarter or semester credit hours.

(d) Associate degree programs should not exceed seven quarters (four semesters) of full-time study.

(e) Institutions desiring to deviate from these standards, because of unique educational programs, should obtain the concurrence of the vice chancellor for two-year campuses.

(7) Procedures for seeking approval of the Ohio board of regents to initiate a new degree or degree program are contained in the Ohio board of regents' two-year campus operating manual.

(D) Standards for approval of the associate of arts and the associate of science degrees.

(1) These degrees are awarded for the satisfactory completion of a minimum of ninety quarter credit hours of course enrollment (or equivalent semester hours).

(2) For maximum transferability to four-year institutions, the ninety credits should include as general education at least nine quarter credits in English composition and literature, fifteen quarter credits in the humanities, fifteen quarter credits in the social and behavioral sciences and fifteen quarter credits in the natural sciences (physical and biological) and/or mathematics (or equivalent semester credit hours).

(3) The associate of arts and the associate of science degrees may be authorized to be offered by community colleges, branch campuses of state universities, state community colleges, and by state universities offering a planned program leading to this degree for students who enroll in a unit of the university which serves the two-year mission.

(E) Standards for approval of the associate of applied business and associate of applied science degrees.

(1) Associate degree programs offered as technical education should provide as a minimum:

(a) Forty-five quarter credits or thirty semester credits of technical studies in courses clearly identifiable with the technical skills, proficiency, and knowledge required for career competency. Most courses classified as technical should include laboratory experience. Generally, technical courses should be distributed more or less evenly among the six or seven quarters of the degree program.

(b) Twenty-one quarter credits or fourteen semester credits in basic related studies. These courses should be carefully selected to serve as a base to the technical field and should be closely related to the technical specialty.

(c) Twenty-one quarter credits or fourteen semester credits of general or non-technical studies. These courses should include oral communication, written communication, social studies, and humanities. The general studies requirement may be a standard institutional requirement for all technical programs offered by the institution.

(2) To assure that the college's technical educational programs remain relevant to the needs of the community, each two-year campus will maintain an advisory committee for each technical program offered.

(3) These degrees may be authorized to be offered by community colleges, branch campuses of state universities, technical colleges, and state community colleges in business, health, engineering and industrial, agricultural and natural resource, and public service technologies, and may--in particular circumstances of community need where duplication of existing programs will not occur--be authorized to be offered by main campuses of state universities.

(F) Standards for approval of the associate of technical study degree.

(1) This degree is awarded for the satisfactory completion of a minimum of ninety quarter credit hours in an individually-planned technical education program, which contains an area of concentration formed either by:

(a) An intra-institutional, interdisciplinary, but coherent combination of courses drawn from two or more technical programs offered by the awarding institution, designed to serve an occupational objective; or by

(b) Credits awarded by the institution for courses completed or training received by a student at other postsecondary institutions, vocational centers, and/or other educational enterprises judged by the institution to be of college level.

(2) Prior to completion of sixty quarter credit hours, each degree candidate must complete an associate of technical study application form outlining his or her intended area of concentration and designating course areas for further study to accommodate this plan. Each student's individual curriculum must meet the minimum requirements of forty-five quarter credit hours in technical studies, twenty-one quarter credit hours in basic foundation courses and twenty-one quarter credit hours in general studies.

(3) Following approval of the application, each candidate will be required to complete no less than thirty quarter credit hours of coursework under the supervision of the institution granting the degree.

(4) A maximum of forty-five quarter credit hours can be recognized by the degree-granting institution for coursework completed in other public, private, or proprietary postsecondary institutions, vocational centers, and schools conducted by business and industry, prior to the declaration of candidacy for this degree.

(5) The degree awarded must contain the name of the student's area of concentration.

(6) This degree may be authorized to be offered by universities, community colleges, university branches, technical colleges/institutes, state community colleges, and urban centers of state universities. In the communities having both a technical college and a university branch on the same campus, the associate of technical study degree may be authorized to be awarded by only the technical college.

(G) Standards for approval of the associate of individualized study degree.

(1) This degree is awarded for the satisfactory completion of a minimum of ninety quarter credit hours in an individually-planned educational program. The curriculum is to be designed largely by the student with the assistance of a designated faculty advisor, and should contain an area of concentration which is formed either by:

(a) An intra-institutional, interdisciplinary, but coherent combination of courses drawn from the curriculum of the awarding institution; or by

(b) Up to sixty quarter credit hours (or equivalent semester hours) awarded by the institution for documentable educational experiences or courses completed at other postsecondary institutions, or educational enterprises judged by the institution to be of college level; or by

(c) An unusual but academically coherent combination of technical and general studies courses.

(2) Prior to completion of sixty quarter credit hours, each degree candidate must complete an associate of individualized study application form outlining his or her intended area of concentration and designating course areas for further study to culminate this plan. This requirement should provide assurance that students are not simply avoiding required courses.

(3) Following approval of the application, each candidate will be required to complete a minimum of thirty quarter credit hours (or equivalent semester hours) of coursework under the supervision of the institution granting the degree.

(4) This degree may be authorized to be offered by universities, community colleges, university branches, technical colleges/institutes, state community colleges, and urban centers of state universities. In the communities having both a technical college and a university branch on the same campus, the associate of individualized study degree must be offered cooperatively.

(H) Standards for approval of the associate of labor studies degree.

(1) This degree is awarded for the satisfactory completion of a minimum of ninety quarter credit hours in a program with a major emphasis in studies relating to the leadership of labor unions.

(2) Approval of these degrees will be restricted to a very small number of two-year campuses in the state, in locations where the need for such programs has been established in cooperation with statewide representatives of labor organizations.

(I) Standards for approval of one-plus-one technical programs.

The Ohio board of regents accepts the premise that because of limited employment opportunities in some regions and the high cost of technical laboratories, not all technical programs can be delivered on every two-year campus. Some students desiring specialized technical programs will have to attend a campus away from their home area. Some two-year campuses, through cooperative planning, have developed a one-plus-one program wherein the first year of a two-year technical degree is offered by several campuses with students transferring to other two-year campuses at the end of the first year.

(1) The first half of a one-plus-one sequence should contain not less than forty-five and not more than fifty-five quarter credit hours (or equivalent semester hours), and generally refers to a program which a full-time student can complete in one year. Part-time students will spend a longer period of time completing these academic requirements.

(2) Technical courses should comprise approximately fifty per cent of the first year curriculum.

(3) The first year of the program should provide students with a specific employment possibility.

(4) One-plus-one programs will be approved only for a group of campuses geographically related which have made arrangements guaranteeing that one of these colleges will admit students at the second year level with no loss of credit for courses completed successfully the first year.

(J) Program review.

Unless otherwise stipulated at the time a program is approved, all technical degree programs are approved for a period not exceeding five years. The staff of the board of regents will conduct periodic reviews of all approved technical programs following procedures outlined in the Ohio board of regents' two-year campus operating manual. Programs will be reviewed to assure continued adherence to the above standards, and to determine whether the board of regents should recommend to the state-assisted institutions the elimination of certain programs which constitute unnecessary duplication, are no longer needed in a particular area, or should be eliminated for other good and sufficient cause.

R.C. 119.032 review dates: 07/19/2005 and 07/19/2010

Promulgated Under: 111.15

Statutory Authority: 3333.04

Rule Amplifies: n/a

Prior Effective Dates: 11/16/79

3333-1-05 Procedure for consideration of new degrees and new degree programs other than doctoral degrees and associate degrees.

(A) AUTHORITY

Under the terms of Section 3333.04 , the Ohio Board of Regents is authorized to: (N) Approve or disapprove all new degrees and new degree programs at all state colleges, universities, and other state-assisted institutions of higher education;"

(B) DEFINITIONS

(1) A "new degree" means any new recognition or award for completion of a prescribed course of study in an institution of higher education evidenced by a diploma or certificate and designated by the customary form of Bachelor's, Master's, or Doctoral degree, other than a doctoral degree for graduate study beyond the baccalaureate, but including such degrees as Doctor of Medicine, Doctor of Dental Surgery, and Doctor of Jurisprudence.

(2) A "new degree program" means any prescribed course of study in an institution of higher education which constitutes an area of specialization or concentration leading to a recognized degree which was not in effect as of September 20, 1963, and which has not previously been approved by the Ohio Board of Regents.

(3) A "state-assisted institution of higher education" means any college or university receiving an appropriation subsidy for current operation of its instructional activity from an appropriation bill duly enacted into law by the State of Ohio.

(C) PROCEDURE FOR CONSIDERATION

(1) Any state-assisted institution of higher education desiring to introduce a new degree or new degree program shall discuss such plan with the staff of the Ohio Board of Regents. Such discussions should be undertaken approximately six months prior to formal application. A preliminary document should be prepared and indicate the reasons for the new degree or new degree program, an estimate of the number of students expected to enroll, and the availability of other such programs within a thirty-mile radius. The Board of Regents' staff will make available to the college or university such information as they may have to assist in better evaluating this preliminary planning for a new degree or new degree program.

The new degree or new degree program shall be presented to the Ohio Board of Regents for approval or disapproval after all required internal clearances or approvals have been provided, including approval by the Board of Trustees or Board of Directors of the institution.

(2) The proposal for a new degree or new degree program shall be presented to the Chancellor of the Ohio Board of Regents in ten (10) copies. The proposal will provide the necessary information as outlined below.

(3) The proposal will be reviewed by the staff of the Board of Regents. If it is deemed desirable to do so, the Chancellor may refer the request to an advisory committee of the Board for evaluation in terms of need and in terms of standards of desired performance. Or the proposal may be referred by the Chancellor to a consultant for evaluation in terms of need and in terms of standards of desired performance.

(4) The Chancellor shall present a recommendation to the Board for approval or disapproval of each proposed new degree or each proposed new degree program received by the Board. The interested institution shall be given an opportunity to present a statement of position on the matter at the same time.

(5) The Ohio Board of Regents will vote approval or disapproval of each new degree request or each new degree program request at an official and regularly scheduled meeting of the Board.

(D) INFORMATION NEEDED

Each proposal for a new degree or new degree program shall provide the following information:

(1) Designation of the new degree or new degree program, with a brief description of its purpose.

(2) Description of proposed curriculum.

(3) Administrative arrangements for program: department and school or college involved.

(4) Evidence of need for new degree or new degree program.

(5) Prospective enrollment.

(6) Faculty and facilities available for program and their adequacy.

(7) Needs for additional facilities and staff and plans for meeting these needs.

(8) Projected financial needs to support program and adequacy of expected subsidy and other income to meet these needs.

(9) Information about use of consultants or advisory committees in development of degree proposal or degree program proposal, with copies of reports from such consultants or advisory committees.

R.C. 119.032 review dates: 07/19/2005 and 07/19/2010

Promulgated Under: 111.15

Statutory Authority: 3333.04

Rule Amplifies: n/a

Prior Effective Dates: 11/16/79

3333-1-06 Public notice of proposed rule adoption, amendment, or rescission.

(A) Authority

This rule is adopted pursuant to the requirement of section 119.03(A)(3) , Ohio Revised Code.

(B) Procedure

When the Ohio Board of Regents is required by Chapter 119 of the Ohio Revised Code to conduct a public hearing prior to adopting a rule, amendment, or rescission, or revision thereof, the Board of Regents shall give public notice in the register of Ohio of its intention to consider adopting, amending, or rescinding such rule or rules. The content of such public notice shall conform to the requirements of section 119.03 of the Revised Code. The Board of Regents may give additional notice as the agency deems necessary; however, the giving of such notice shall not be mandatory and failure to give notice by any means other than in the register of Ohio shall not in any way invalidate any action which may be taken by the Board of Regents.

Effective: 04/17/2006
R.C. 119.032 review dates: 01/20/2006 and 04/17/2011
Promulgated Under: 119.03
Statutory Authority: 119.03
Rule Amplifies: 119.03
Prior Effective Dates: 5/1/1975

3333-1-07 Procedure for consideration of new doctoral degree programs.

(A) Authority

Under the terms of section 3333.04 of the Revised Code, the Ohio board of regents is authorized to: (N) Approve or disapprove all new degrees and new degree programs at all state colleges, universities, and other state-assisted institutions of higher education;"

(B) Definitions

(1) A "new doctoral degree" means any degree designation bearing the words "Doctor of Philosophy," "Doctor of Education," or "doctor" of other specialized field of professional education whose course and other requirements are based upon the prerequisite that the candidate already holds the baccalaureate, with the exception of the degrees Doctor of Medicine, Doctor of Dental Surgery, Doctor of Veterinary Medicine, Doctor of Optometry, and Doctor of Jurisprudence.

(2) A "new doctoral degree program" means any proposed course of study to result in award of a doctoral degree as defined above which was not offered by a state-assisted university as of September 20, 1963, and which has not previously been approved by formal action of the Ohio board of regents.

(3) A "state-assisted institution of higher education" means any university receiving an appropriation subsidy for current operation of its instructional activity from an appropriation bill duly enacted into law by the state of Ohio.

(C) General procedure for consideration

(1) The approval or disapproval of new doctoral degrees or new doctoral degree programs is a matter of particular importance to the state of Ohio and must necessarily be considered with special care.

(2) New doctoral degree programs submitted by state-assisted universities shall be planned and coordinated in terms of needs which cannot otherwise be met by existing doctoral degree programs.

(3) In planning and coordinating the development of new doctoral degree programs, the board of regents will be assisted by an advisory committee on graduate study to consist of one representative designated by the president of each state-assisted university and a representative of Case western reserve university and the university of Dayton, also designated by the presidents of those institutions.

(4) It is expected that new doctoral degree programs will be planned and developed over a period of time. It is desirable that the board of regents and the advisory committee on graduate study be informed and involved in such planning and development.

(D) Criteria for approval of new degree programs

(1) Doctoral degree programs are undertaken in the academic disciplines (humanities, social sciences, biological sciences, physical sciences, and mathematics) and in professional fields of study (business administration, teacher education, engineering, agricultural sciences, nursing, etc.) for two major purposes: (a) to prepare persons as teacher-scholars for staffing the instructional, research, and public service activities of colleges and universities; and (b) to prepare persons as professional practitioners for staffing the most exacting professional positions in private practice, business, government, and other agencies. The objectives to be achieved by a new doctoral degree program should be carefully specified.

(2) Doctoral degree students may be enrolled full time or part time. The enrollment objectives of a new doctoral degree program should be carefully specified.

(3) New doctoral degree programs have historically been needed for the following reasons:

(a) To meet a shortage of highly educated talent available to staff higher education programs and other professional positions.

(b) To augment existing programs at other institutions which are overcrowded or otherwise overburdened with doctoral degree students.

(c) To introduce new fields of study for which teacher-scholars or professional practitioners may be needed in the future.

(d) To provide opportunities for advanced scholarly and professional study which may not otherwise be available in a particular geographical area, especially a metropolitan area of five hundred thousand or more population.

The institution must make clear the purposes for which the program is proposed.

(4) In order to undertake a doctoral degree program, a state-assisted university must be able to demonstrate the following resources and circumstances:

(a) A qualified faculty group with appropriate breadth and depth of scholarly specialization and research experience.

(b) Necessary specialized facilities in library and laboratory resources.

(c) Reasonable prospect of enrolling a minimum number of qualified students.

(d) Availability of fellowship assistance or employment opportunities for doctoral degree students.

(E) Approval of doctoral degree programs for planning purposes

(1) At an appropriate time, a state-assisted university may formally submit to the Ohio board of regents a proposed new doctoral degree program for approval for planning purposes. Such a doctoral degree program proposal shall be submitted in fifteen copies.

(2) The doctoral degree program proposal shall provide the following information:

(a) The general nature of the proposed program, objectives to be accomplished, and the reasons why introduction of the program is desirable.

(b) The need for the program.

(c) The resources available or anticipated for operation of the program.

(d) Planned enrollment, desired student characteristics, and enrollment prospects.

(e) A description of the proposed curriculum.

(f) Organizational arrangements for operation of the program.

(g) Planned budget for first five years of program.

(3) It is anticipated that in evaluating new doctoral degree programs the Ohio board of regents will give special attention to evidence of local need for a program, to arrangements for interinstitutional cooperation in the conduct of a program, and to the innovative aspects of a program.

(4) Upon receipt of a new doctoral degree program proposal, the proposal will be distributed to the advisory committee on graduate study for review, comment, and recommended action. The chancellor may on his own volition or upon recommendation of the advisory committee retain the services of a consultant to review a new doctoral degree program proposal.

(5) The chancellor will submit his own recommendation and that of the advisory committee on graduate study to the board of regents for decision.

(F) University development

(1) When a state-assisted university has received approval for planning purposes of a proposed new doctoral degree program, the university will be expected to proceed with the execution of the plans for development of the program. The university will be expected to work closely with consultants from the appropriate accrediting body and with such other consultants as it may retain.

(2) It is also expected that the university will keep the advisory committee on graduate study and the chancellor informed on a regular six months' basis of progress in development of the new program.

(G) Approval of new doctoral programs

(1) When a state-assisted university believes that it has completed the necessary planning preparations to begin a new doctoral degree program, a proposal for approval of the program will be submitted to the Ohio board of regents. The proposal will be submitted in fifteen copies. The proposal for approval should include the following information:

(a) The nature and objectives of the program.

(b) The current assessment of need for the program.

(c) The current status of available resources in personnel and facilities for the program.

(d) The prospective enrollment of the program.

(e) The financial resources needed, including prospective subsidy per full-time equivalent student, and other needs over and above such subsidy.

(f) Status of arrangements for accreditation of the program.

(2) The proposal for approval of a new degree program will be referred to the advisory committee on graduate study for review. A recommendation of appropriate action on the proposal will be submitted by the chancellor to the board of regents.

(3) When the board of regents gives formal approval to a new doctoral degree program, the university may proceed to implement the program plans and to seek appropriate accreditation. Approval of a program may be contingent upon receipt of preliminary accreditation.

(4) The chancellor will incorporate the financial requirements of new degree programs in the budget appropriation requests submitted to the governor and general assembly. Final action in offering new doctoral degree programs may be contingent upon appropriation of the necessary funds for support of the programs.

(H) Effective date

The procedure established by this rule shall become effective as of July 1, 1977, and shall be applicable to all new doctoral degree programs pending as of that date or submitted thereafter.

R.C. 119.032 review dates: 07/19/2005 and 07/19/2010

Promulgated Under: 111.15

Statutory Authority: 3333.04

Rule Amplifies: 3333.04

Prior Effective Dates: 7/3/69, 7/1/77

3333-1-08 Standards for issuance of certificates of authorization under section 1713.03, Ohio Revised Code.

(A) Preamble

(1) The standards established herein for the award of academic degrees and the conduct of instruction creditable toward such degrees rest upon the fundamental conviction of the board of regents that teaching and scholarship are the basic building blocks of that learning which academic degrees attest. Accordingly, instruction leading to degree award necessarily requires an institutional setting which fosters both teaching and scholarship and in which faculty, financial, physical plant, and academic support resources are available in adequate measure to assure continuous nurture of both components of activity.

(2) The standards established herein further rest upon the fundamental conviction of the board of regents that the intellectual development and learning achievements of students to which academic degrees give testimony warrant and require the undivided dedication of institutions seeking identity as degree-granting colleges or universities. Accordingly, institutions seeking authority to award academic degrees or to conduct instruction creditable toward such degrees shall exist for the principal purposes of teaching and scholarship and shall be so organized and governed as to pursue freely such purposes.

(B) General standards

(1) Certificates of Authorization shall be issued by the Ohio board of regents to a non-profit university, college, academy, school, or other institution, incorporated or unincorporated, which offers instruction in one or more fields such as technical education, the arts and sciences, teacher education, business administration, engineering, philosophy, literature, fine arts, law, medicine, nursing, social work, theology, and other recognized academic and professional fields of study where there is the intention to award for successful completion of the equivalent of four semesters or six quarters of full-time study the associate degree in applied science, applied business, or in the arts, or credits applicable toward such degree; where there is the intention to award for successful completion of the equivalent of not less than eight semesters or twelve quarters of full-time study the baccalaureate degree of appropriate designation, or credits applicable toward such degree; where there is the intention to award for successful completion of the equivalent of not less than two semesters or three quarters of full-time study beyond the baccalaureate, the master's degree or appropriate designation of a graduate-professional degree, or credits applicable toward such degrees; and where there is the intention to award for successful completion of the equivalent of not less than six semesters or nine quarters of full-time study and research beyond the baccalaureate, the doctor of philosophy or other doctoral degree, or credits applicable toward such degrees.

(2) Applications for a Certificate of Authorization shall be submitted to the chancellor of the Ohio board of regents in accordance with forms or an outline of specifications as prepared by him. The application shall include a sworn statement of authenticity and truthfulness signed by the appropriate officer of the institution or educational corporation.

(3) If the applicant is an educational corporation, the applicant shall provide the Ohio board of regents with an authenticated copy of its articles of incorporation as filed in the office of the secretary of state of Ohio. The applicant shall provide a list of the names and addresses of the current board of trustees and of the principal administrative officers, such as president or director, vice presidents, deans, and business manager.

(4) If the applicant is an unincorporated institution, the applicant shall provide the Ohio board of regents with the by-laws or other evidence of the operating rules of the institution and with the names and addresses of the principal officials of the institution.

(5) The applicant shall certify that the incorporated or unincorporated institution represents an organization established for the principal purposes of teaching and scholarship and that the institution is not, through its stated purposes, its financial resources, the make-up of its governing board or administrative staff, or otherwise, effectively subservient to any organization or group of persons principally dedicated to purposes other than teaching and scholarship. This provision shall not prohibit the support of degree programs by duly constituted religious bodies otherwise meeting the standards set out herein.

(6) The application shall clearly indicate the name of the institution or educational corporation and the designation of the degree or degrees which the applicant proposes to offer. The name of the institution shall clearly indicate the nature of the academic program offered, such as:

(a) Institute or college for a program of not less than the equivalent of four semesters or six quarters of course instruction and for award of the associate degree.

(b) College for a program of not less than the equivalent of eight semesters or twelve quarters of course instruction and for award of the baccalaureate in arts and sciences and in not more than two professional fields of study.

(c) University for a program of not less than the equivalent of eight semesters or twelve quarters of course instruction and for award of a baccalaureate in arts and sciences and in three or more professional fields of study, for a program of not less than the equivalent of two semesters or three quarters of course instruction and for award of the master's degree, for a program of not less than the equivalent of four semesters or six quarters of course instruction and for award of the doctor's degree, and for a program of not less than the equivalent of four semesters or six quarters of course instruction and for award of a graduate-professional degree.

(d) School, college, or seminary for a program of not less than four semesters or six quarters of course instruction and for award of a graduate-professional degree.

(7) As a general practice, it will be the intention of the board of regents to list on the face of Certificates of Authorization all degree titles authorized to be awarded.

(a) Authorization will ordinarily be granted for the general use of such undergraduate degrees as the associate of arts, bachelor of arts, and bachelor of science for a full range of individual programs of instruction commonly recognized by award of these general degrees. Individual approval of fields of specialization within such general degrees will ordinarily not be required. However, such approval of general degrees will not constitute authorization of technical education and professional programs of instruction for which an institution may seek to award special degrees descriptive of individual fields of specialization, such as the associate of applied business in data processing, associate of applied science in respiratory therapy, bachelor of music, bachelor of science in nursing, bachelor of fine arts, and so forth. Resources adequate for the support of such specialized degrees shall be demonstrated separately by applicant institutions and will be separately listed on the face of Certificates of Authorization. In contrast to these procedures, all degree proposals at the masters and doctoral levels, whether resulting in award of the general degrees master of arts, master of science, or doctor of philosophy in particular fields of specialization or of professional degrees such as the master of business administration, master of social work, master of fine arts, doctor of education or the doctor of business administration must be authorized and will be listed separately in the issuance of Certificates of Authorization.

(b) In all cases, however, the board of regents may in its own judgment determine that award of general degrees should be limited to specific areas of instruction in accordance with demonstrated institutional resources. In such cases, limitations will be noted on the face of Certificates of Authorization issued. Institutions seeking broader authority in the use of general degrees subsequently may apply for that authority by demonstrating the development of appropriate resources to support additional fields of instruction.

(c) Notwithstanding the provisions of items (B)(7)(a) and (b), above, all individual programs of instruction currently operating on the effective date of this rule leading to award of previously approved general degrees of institutions holding Certificates of Authorization shall be considered to have been approved for these purposes.

(d) Institutions holding Certificates of Authorization and seeking additional degrees, may submit abbreviated application materials responding appropriately to sections (B)(6), (8), (9), and the several standards within section (B)(10), as those items relate to the additional degrees proposed to be awarded.

(8) In order to be considered for the Certificate of Authorization an applicant shall indicate that a period of academic planning has preceded the filing of said application, that educational consultants with appropriate educational qualifications have been retained in the development and evaluation of academic plans, and that applicant has consulted with the North Central Association of Colleges and Secondary Schools and where appropriate with the professional accrediting agency appropriate to the fields of study to be offered.

(9) In order to be considered for the Certificate of Authorization an applicant shall indicate its intention to qualify for regional and where appropriate professional accreditation within a reasonable period of time, not more than six years after the proposed date of initial instruction, and shall offer evidence of its current status as regards accreditation and of its efforts, plans, and timetables for achieving final accreditation. An applicant already possessing such accreditation shall be deemed to have met this requirement. This requirement may be waived in the instance of a seminary of theology where an appropriate professional accrediting organization is not in existence.

(10) In order to be considered for the Certificate of Authorization an applicant shall offer evidence of academic, fiscal, and other qualifications to support instruction and scholarship in accordance with the following minimum standards of current operating endeavor:

(a) Purposes of the institution

The educational mission of the institution must be clearly stated, including the types of instructional programs likely to be undertaken, the need for such service perceived by the sponsors, the clientele intended to be served, such uniqueness of programming or educational philosophy as may be inherent in the proposed degree programs, and the educational and administrative procedures according to which instructional services will be available to students.

Implementing procedures:

(i) The sponsoring institution shall submit a copy of its general catalogue as a part of its application materials.

(ii) The sponsoring institution is urged to submit as a part of its application materials a copy of such self-study materials as may have been prepared for accreditation agencies from which approval has been sought or received.

(b) Academic control

The design, conduct and evaluation of all instructional activities must be carried out within carefully outlined faculty and administrative control procedures, and clear provision must have been made for assuring a high level of academic performance of faculty and students.

Implementing procedures:

(i) The sponsoring institution must describe the role of faculty members in the design, conduct and evaluation of instructional activities.

(ii) The sponsoring institution must describe the provisions which have been made and which are operative for control of:

(a) Recruitment and counseling of students

(b) Admission of students to courses and to the institution's degree programs

(c) Course content and the conduct of instruction

(d) Evaluation of student performance

(e) Academic recordkeeping

(f) Appointment and evaluation of faculty

(c) Curriculum

The curriculum in whole and in its parts shall contain the essential components peculiar to the discipline it represents, as generally accepted by scholars in that discipline, and the courses taken together shall lead to a coherent and recognizable program goal.

Implementing procedures:

(i) The institution must demonstrate the relationship of each course offering to the degree programs for which it is creditable.

(ii) The institution must demonstrate that individual courses are clearly recognizable as appropriate to the level of education which they support (associate degree, baccalaureate, master's level, etc.).

(iii) The institution must offer evidence that a reasonable prospect exists that credits will be accepted for transfer by other well-established institutions of higher education wherever such transfer would ordinarily occur within generally prevailing practice.

(iv) The institution must furnish to the board of regents a copy of its most recent bulletin describing academic programs and the content of individual courses of instruction.

(d) Faculty

Faculty persons must be fully competent to undertake the level of instruction to which assigned and shall possess academic preparation and experience, including professional practice, appropriate to the fields of knowledge taught. Faculty persons shall be available in numbers sufficient and individually shall dedicate portions of their professional energies appropriate to the level of instruction undertaken, to assure sufficient curricular oversight and student evaluation, and to sustain an on-going body of scholarship appropriate to the teaching services rendered.

Implementing procedures:

(i) The institution must demonstrate that the academic preparation and scholarly and professional practice experience of faculty members are appropriate to the fields of knowledge within which each faculty member teaches.

(ii) The institution must demonstrate that its standards of faculty preparation are appropriate to the level of instruction to which individual members are assigned (generally a doctoral degree or its equivalent for graduate-level teaching, a master's degree or its equivalent for undergraduate teaching, a baccalaureate or its equivalent plus professional experience for technical education teaching, etc.).

(iii) The institution must demonstrate that faculty members have appropriate experience in teaching at the level of education to which they are assigned, and that they are engaged through scholarly and professional activities in a continuing refreshment of their academic competence.

(iv) The institution must demonstrate the presence of full-time faculty persons sufficient to cover the various fields of study encompassed within the proposed curricula, to assure an on-going dedication to scholarship underlying the instructional program, and to assure a collective faculty responsibility for continuing curricular review and assessment of overall student progress.

(v) The institution must demonstrate the adequacy of procedures by which the colleagueship of full- and part-time faculty members is assured in the sustaining of scholarship underlying the curricular program, in continuing curricular review, and in the assessment of overall student progress.

(vi) In regard to undergraduate degree offerings an instructional staff shall be provided in a ratio of not more than thirty full-time equivalent students to one full-time equivalent faculty member.

(e) Supporting services

Supporting resources and academic services shall be adequate to assuring a suitable learning environment for students and a stable institutional setting capable of continued satisfactory service to students.

Implementing procedures:

(i) The institution must demonstrate dependable sources and amounts of income adequate to fulfilling the planned purposes of the proposed degree programs over time, making possible the avoidance of undue reliance upon contributed services, and shall provide to the board of regents a general plan of expenditures capable within the confines of available income of conducting all programs on a full cost basis during a three year operational period.

(ii) The institution must provide physical plant resources adequate for classroom, laboratory, library, administrative, and student service programs appropriate to the conduct of all proposed degree instruction and scholarship.

(iii) The institution must demonstrate that satisfactory support in the form of library resources, laboratory and clinical experiences, and instructional supplies and equipment is at hand sufficient to sustain all degree programs. Arrangements shall be made for a library to provide not less than 5,000 volumes for a two-year program of study, of not less than 15,000 volumes for a four-year program of study, and of such size and quality as required by graduate programs of study.

(iv) The institution must demonstrate that satisfactory provision has been made for guidance and counseling services for students, for evaluation of student performance, for continuous monitoring of the progress of students toward their degree goals, and for appropriate academic recordkeeping.

(f) General operations

All institutional operations must be conducted in a manner consistent with high standards of ethical business practice.

(g) Accreditation

Evidence must be presented to the board of regents, and from time to time be updated, concerning the accreditation status of the institution.

(h) Visitation examination

Each institution seeking certification may be examined by representatives of the board of regents for the purpose of assessing the institution's fulfillment of these standards. The sponsoring institution must bear the reasonable costs of such visitation for the purpose of examining its programming. Wherever practicable, the board of regents will attempt to rely upon reports and site examinations made by regional accrediting associations to avoid duplicative and burdensome review processes.

(11) In addition to meeting the above standards, institutions whose instructional activities will encompass substantial components of teaching at locations removed from their permanent campuses, including major reliance on clinical and work-study experience or reliance upon nontraditional learning methods and environments removed from their permanent campuses, shall provide such services in accordance with standards set out in section (C) below.

(12) In the event that a newly established institution is unable during a developmental period to meet a particular standard or other requirement set out herein or in section (C), the board of regents, upon request of the institution, may in its own judgment waive such requirement for certification, subject to agreement upon a specific time schedule for full compliance with such standard. In the event that an applicant perceives that some uniqueness of program design or purpose makes inappropriate a particular standard or other requirement set out herein or in section (C), the applicant may offer supplementary testimony concerning such contention, and the board of regents may in its own judgment waive such requirement if it determines that the essential purpose of the requirement has been met.

(13) In order to be considered for a Certificate of Authorization, an applicant shall agree, upon request of the board of regents, to submit an annual report each year within a reasonable length of time after June 30 indicating the extent of continued compliance with the standards set out herein and in section (C).

(14) In order to be considered for a Certificate of Authorization, an applicant shall agree to permit a representative of the Ohio board of regents to inspect the records of the institution or educational corporation to verify the data provided in the annual report.

(15) The Ohio board of regents reserves the right to institute proceedings for the revocation or modification of a Certificate of Authorization under one of the two following conditions:

(a) Failure of an institution or educational corporation to maintain the minimum standards specified in paragraph (B)(10) above, and, if applicable, section (C), below.

(b) Failure of an institution or educational corporation to obtain and retain regional accreditation and where appropriate accreditation by an appropriate professional accrediting agency within six years of initial offering of instruction or within three years after suspension or withdrawal of such accreditation.

(16) Upon determination by the Ohio board of regents that an applicant institution is entitled to a Certificate of Authorization, an appropriate certificate attesting this action by the board shall be issued to the applicant institution by the chancellor and a copy of said certificate shall be filed with the secretary of state of the state of Ohio.

(17) An institution of higher education receiving a Certificate of Authorization shall be entitled in its catalogue and other official publications to state: "Certificate of Authorization received from Ohio Board of Regents."

(C) Standards for off-campus instructional activity

(1) In establishing instructional programs at locations removed from their permanent campuses, including major reliance on clinical and work-study experiences or reliance upon nontraditional learning methods and environments removed from their permanent campuses, colleges and universities properly should assume responsibility for added efforts to assure a high quality of educational experience for students served. Moving as they may do outside of long-established and home-campus based procedures for quality review and control, and in the absence at this point in time of specific accreditation review for off-campus activities, each sponsoring college and university must be prepared to bear the burden of demonstrating that sound quality control procedures are in effect. It is purpose of these standards to describe a pattern for such demonstration for use by colleges and universities seeking to sponsor off-campus instructional activities in Ohio.

(2) As used in these standards, "permanent campus" or "central campus" refers to the principal on-going physical campus traditionally recognized in American higher education as the permanent seat of an institution's instructional program, including its substantial and varied staffs and supporting resources, and from which off-campus instruction is most often extended. Institutions which utilize geographically dispersed arrangements for teaching and learning and which have no clearly identifiable permanent campus must bear the added burden of demonstrating that the stability of academic control, of continuing validation of credits awarded, and of supporting resources ordinarily associated with a permanent campus are somehow assured through its less traditional arrangements.

(3) In seeking a Certificate of Authorization in which off-campus instruction will constitute an important mode of operation, the applicant college or university must offer general testimony that each standard established below has been and will continue to be met. Upon request of the board of regents an applicant college or university shall offer further evidence satisfactory to the board in response to the implementing procedures or such other procedures which may appropriately relate to compliance with the board's standards.

(a) Purposes of off-campus activity

It must be clear that the overriding purpose of the off-campus instructional activity is to carry out an educational mission of the sponsoring college or university. Secondary or incidental purposes such as the generation of income beyond expenses incurred and the fostering of improved public relations must not predominate as purposes for off-campus programming.

Implementing procedures:

(i) The sponsoring institution must offer evidence that off-campus instruction in general is clearly related to the educational goals and objectives of the institution as they existed when the most recent accreditation review was made, or that established procedures for modification of such goals have been followed and that accreditation review has been sought.

(ii) The sponsoring institution must demonstrate the clear relationship of individual off-campus instructional offerings to the larger educational goals and objectives of the institution.

(b) Academic control

The design, conduct, and evaluation of all off-campus instructional activities must be under the direct and continuous control of the sponsoring institution's established process for academic planning and quality maintenance.

Implementing procedures:

(i) The sponsoring institution must offer evidence that the off-campus programming operates in a clear and effective way under the continuous academic control of the central institution.

(ii) The sponsoring institution must clearly define the relationship of off-campus coordinators, supervisors, and administrative personnel, to the central academic control processes.

(iii) The sponsoring institution must clearly define the provisions which have been made and which are operative for control of off-campus activities involving:

(a) Recruitment and counseling of students

(b) Admission of students to courses and to the sponsoring institution's degree programs

(c) Course content and the conduct of instruction

(d) Evaluation of student performance

(e) Academic recordkeeping

(f) Appointment and evaluation of faculty

(c) Curriculum

All off-campus teaching and the credits awarded in such instructional activity must bear a clear relationship to the degree programs of the sponsoring institution.

Implementing procedures:

(i) The sponsoring institution must demonstrate the relationship of each off-campus course offering to the degree programs for which it is creditable.

(ii) The sponsoring institution must demonstrate that well-developed course syllabi and instructional guides have been developed and reviewed by established academic control authorities.

(iii) The sponsoring institution must demonstrate that appropriate procedures have been developed and are operative for student examination and evaluation, and that systematic monitoring is conducted to protect the integrity of the grading process.

(iv) The sponsoring institution must demonstrate that an effective process is operative to validate the equivalency of off-campus instruction to the instruction conducted on the central campus.

(v) The sponsoring institution must offer evidence that course enrollments off-campus require a level of sophistication on the part of students consistent with the level of education undertaken.

(vi) The sponsoring institution must offer evidence that appropriate exit criteria have been established for determining successful completion of course work and degree programs organized off-campus.

(vii) The sponsoring institution must offer evidence that a reasonable prospect exists that credits earned in off-campus instructional programs will be accepted for transfer by other well-established institutions of higher education.

(d) Faculty

Faculty persons assigned to off-campus instruction must be fully competent to undertake the level of instruction offered and must be selected and evaluated according to standards compatible with central campus instructional expectations.

Implementing procedures:

(i) The sponsoring institution must demonstrate that off-campus faculty members are recruited and their credentials reviewed in a manner consistent with central campus academic controls.

(ii) The sponsoring institution must demonstrate that the standards of faculty preparation required of off-campus instructors are comparable to those enforced on the central campus.

(iii) The sponsoring institution must demonstrate arrangements which have been made for assuring productive relationships between on-campus and off-campus faculty persons, consistent with their need to strive for comparable results within the degree programs for which they are responsible.

(e) Supporting services

Special efforts must be made to assure that an adequate array of supporting services is at hand and operable to support a high quality of off-campus instruction.

Implementing procedures:

(i) Student services

The sponsoring institution must demonstrate that on-going provision has been made for guidance and counseling services for students, for assuring student participation sufficient to promote success on the part of individual students, and for continuous monitoring of the progress of students toward their degree goals.

(ii) Library and laboratories

The sponsoring institution must demonstrate that satisfactory support in the form of library resources, laboratory and clinical experiences, instructional supplies and equipment and classroom facilities is at hand sufficient to sustain the off-campus instructional program.

(f) General operations

The offering of off-campus programming must be carried out in a manner consistent with high standards of ethical business practice.

Implementing procedures:

(i) The sponsoring institution must offer evidence that clear statements about the institution itself and its proposed services are available to all students, including a clear statement of the extent of commitment to continuing service.

(ii) The sponsoring institution must demonstrate and maintain a policy of clear and truthful advertising about its services.

(iii) The sponsoring institution must demonstrate a clear, well-publicized, and reasonable policy of tuition charges and refunds.

(iv) The sponsoring institution must demonstrate consistently high standards of business ethics in all of its relations with students and the general public.

(g) Accreditation

It must be clear that the sponsoring institution has sought and achieved appropriate accreditation for its central campus programming and that it has sought such accreditation as may be available to it for the specific off-campus programming sought to be offered. All institutions are urged to seek and to secure full accreditation from appropriate regional and where appropriate professional accrediting associations within whose jurisdiction they fall before commencing off-campus services in Ohio. Institutions headquartered in states other than Ohio must receive such degree approvals or licenses as may be required by their home states prior to commencing services in Ohio.

Implementing procedures:

(i) The sponsoring institution must provide evidence of its current status so far as institutional accreditation and pertinent professional accreditation is concerned.

(ii) The sponsoring institution must provide evidence of its current accreditation status so far as its off-campus activities are concerned, including a report of its current efforts to achieve such accreditation.

(iii) The sponsoring institution must provide evidence of all required certifications by the state department of education for its programs in teacher education, including a status report of off-campus programming within such general approvals as have been received for central campus programs.

(iv) Institutions headquartered in states other than Ohio must provide evidence that they have secured all degree approvals and licenses required by their home states.

(h) Visitation examination

Each institution conducting off-campus instruction may be examined by a panel of visitors representing the board of regents for the purpose of assessing the institution's fulfillment of these standards. Wherever practicable, the board of regents will attempt to rely upon the reports and site examinations made by regional accrediting associations to avoid duplicative and burdensome review processes.

Implementing procedures:

(i) The sponsoring institution must make appropriate preparation for such visitation as may be proposed by the Ohio board of regents, responding to specific requests from the chairman of the panel of visitors.

(ii) The sponsoring institution must bear the reasonable costs of such visitation for the purpose of examining its off-campus programming.

(i) Contracts with cooperating institutions and students

Wherever off-campus offerings involve cooperating public or private institutions, educational or otherwise, and wherever off-campus offerings involve well-identified pilot student groups, it is the sponsoring college or university's responsibility to assure that all parties understand their rights and obligations within the off-campus program of instruction.

Implementing procedures:

(i) The sponsoring institution must assure that clear agreements exist with cooperating institutions and that the appropriate responsible officers of those institutions have entered into the agreements.

(ii) The sponsoring institution must demonstrate that clear understanding exists with cooperating institutions so far as services to be rendered and the cooperating institutions' obligations of support are concerned. Clear agreement must exist on sharing of costs, availability of facilities, schedules of student charges, period and renewal of the agreement, etc.

(iii) The sponsoring institution must demonstrate that in all such agreements with cooperating institutions, clear academic control is retained by the credit-granting institution.

(iv) The sponsoring institution must demonstrate the extent of its commitment for continuing service to students and cooperating institutions, and must offer evidence of its notification to students of the extent of such continuing commitment.

Replaces rule 3333-1-08; Eff (Amended) 6-1-75; 4-28-77
Rule promulgated under: RC 111.15
Rule amplifies: RC 1713.03

3333-1-09 [Rescinded]The "Ohio Instructional Grant" program.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/26/2010
Promulgated Under: 119.03
Statutory Authority: 119.03
Rule Amplifies: 3333.12
Prior Effective Dates: 8/3/1978, 11/16/1979, 10/3/1980, 5/7/1982, 2/27/1984, 12/30/1988, 3/2/1990, 3/6/1992

3333-1-09.1 The "Ohio College Opportunity Grant" program.

(A) Authority

This rule adopted under authority conferred upon the chancellor of the Ohio board of regents by section 3333.122 of the Revised Code.

(B) Definitions

(1) "Ohio Resident" as used in this rule has the same meaning as used in rule 3333-1-10 of the Administrative Code.

Each eligible participating institution shall determine the residency status of students for Ohio college opportunity grant (OCOG^) purpose in accordance with rule 3333-1-10 of the Administrative Code. Institutions of higher education participating in the OCOG program shall provide individual students with a fair and adequate opportunity to present proof of their Ohio residency for purposes of this rule. Such institutions may require the submission of affidavits and other documentary evidence which it may deem necessary for a full and complete determination under this rule.

(2) Enrollment status definitions

(a) Full-time student

A "full-time student" is one who is enrolled in a degree-granting curriculum at a participating institution for not less than twelve credit hours per semester, quarter, or term.

(b) Three-quarters-time student

A "three-quarters-time student" is one who is enrolled in a degree granting curriculum at a participating institution for not less than nine and no more than eleven credit hours per semester, quarter, or term.

(c) Half-time student

A "half-time student" is one who is enrolled in a degree-granting curriculum at a participating institution for not less than six and no more than eight credit hours per semester, quarter, or term.

(d) One-quarter-time student

A "one-quarter-time student" is one who is enrolled in a degree-granting curriculum at a participating institution for not less than one and no more than five credit hours per semester, quarter, or term.

(3) Appropriate academic progress

"Appropriate academic progress" means in working toward an associate degree, bachelor's degree or nursing diploma, the student must maintain a grade point average or other standards of achievement considered by the institution as satisfactory progress toward receipt of the degree or diploma sought by the student. A student placed on academic probation and attending classes as prescribed by the institution on a full-time, three-quarters-time, half-time or one-quarter-time basis shall be considered to be making appropriate progress.

(4) State cost of attendance

"State cost of attendance" means the average cost to a student when attending an Ohio institution of higher education. In calculating the average cost to a student, the chancellor may include any or all of the following items:

(a) The average instructional and general fees charged at Ohio institutions of higher education. The chancellor may choose to calculate the average instructional and general fees for each sector appropriated funding in the most recent biennial budget act.

(b) The average cost to a student in Ohio for any or all of the following items:books, transportation, housing costs or living expenses.

(5) Instructional and general charges

"Instructional and general charges" means the instructional and general fees charged to the student. A general fee is one that is uniformly assessed to all students.

(6) Expected family contribution (EFC)

As used to determine the eligibility of students for OCOG. "expected family contribution" is defined as the measure of a family's financial strength, and is used to determine eligibility for federal student aid during one academic year. An EFC is received based on the processing results of the student's free application for federal student aid (FAFSA). This value is calculated by using the income and asset figures reported, number in household, number in household going to college, and state of legal residence in a formula written by congress.

(C) Eligibility

To be eligible for OCOG. a student must:

(1) Be an Ohio resident.

(2) Receive an EFC in the range of 0 to 2190 and not exceed a total household income of seventy-five thousand dollars on the student's FAFSA.

(3) Make appropriate academic progress toward an eligible associate's degree.bachelor's degree, or nursing diploma.

(4) Be enrolled in an eligible undergraduate program pursuant to section 3333.122 or 3333.18 of the Revised Code.

(D) Prohibited use of funds

(1) No funds shall be used if the student is:

(a) Enrolled in a course of study leading to a degree in religion or theology, or other field of preparation for a religious profession, unless such course of study leads to an accredited bachelor of arts, bachelor of science, associate of arts, or associate of science degree;

(b) Pursuing a second baccalaureate degree;

(c) Serving a term of imprisonment.

(2) Non-discrimination

It is the intent of the chancellor of the Ohio board of regents to provide OCOG awards to undergraduate students only if they enroll in participating institutions of higher education in which there is not discrimination among students in admission, in institutional services, or in placement based upon race, sex, religion or national origin. Each participating institution is expected to have met the various requirements under the provisions of the Federal Civil Rights Act of 1964. as amended.

(E) Award amounts

(1) Before the start of each new academic year the chancellor shall post proposed award tables on the agency website that will include a definition of that academic year's state cost of attendance. Except as provided in this paragraph, a student's award amount shall not exceed the state cost of attendance.

A qualified foster youth as defined in section 3333.122 of the Revised Code attending a community college, state community college, or technical college in this state, may receive an amount greater than the state cost of attendance for housing costs or living expenses if the state cost of attendance does not include those items. Such expenses include reasonable costs for room and board and do not include costs for textbooks, supplies, transportation or other non-housing related items.

(2) The award amount shall apply only to instructional and general charges at an eligible institution unless the state cost of attendance in any given academic year includes additional items.

(3) Consortium agreements - OCOG may be used to pay the instructional charges of an eligible Ohio visiting institution when a student is engaged in study outside of the student's home institution provided that the outside courses are an integral part of the academic program of the institution at which the student is pursuing the academic degree. Additionally, such an arrangement must be documented and meet federal standards. The student's enrollment status is based on the total credits attempted at both the home and eligible visiting institutions; however the award amount is based on the lower instructional and general fees. An OCOG award may need to be reduced or eliminated for a term if the adjusted instructional and general charges under a consortium agreement are fully covered by a student's federal Pell grant and EFC share for that given term. A calculator to assist institutions in such instances will be published on the agency website.

(4) OCOG awards for students enrolled in a dual degree program (which confers both an undergraduate and graduate degree)must be based on the enrollment status of the qualifying undergraduate courses only.

(5) Influence of other instructional and general fees specific awards

In any given academic year, if the state cost of attendance includes instructional and general fees only and if a student receives other awards, loans or scholarships which are instructional and general fees specific and meet the total instructional and general fees of the institution, then the student has no eligible expenses that would qualify for an OCOG award. If other awards, loans or scholarships are instructional and general fees specific and must be used to cover some part of the student's instructional and general fees, the OCOG award may need to be reduced accordingly. A calculator to assist institutions in such instances will be published on the agency website.

(6) Priority basis in awarding grants

If funds should not be available to make awards to all eligible applicants in a funded sector, the chancellor may prioritize granting awards in accordance with section 3333.122 of the Revised Code.

(F) Student application process

(1) Student responsibility:

(a) A student must first complete the free application for federal student aid (FAFSA). The higher education information (HEI) system will determine OCOG eligibility for any institutional student information record (ISIR) that is received.

(b) Deadline dates

All original FAFSA applications must be received by the United States department of education (USDE) central processor on or before October first of each year. All applicants should apply before this deadline, including those who do not intend to enroll until later in the academic year.

(2) Institutional reponsibility:

(a) Financial aid offices at participating institutions will need to determine students eligible for OCOG by accessing the eligibility query available on the HEI system.

(b) An institution shall submit other information requested by the office of financial aid of the chancellor to assist in determining eligibility.

(G) Post award guidance

(1) Transferring a grant

(a) Students may retain eligibility when transferring to another participating Ohio institution of higher education. Students should be counseled by the new institution as to the possible effects of transferring an OCOG award.

(b) If the student transfers to a participating institution in a sector with a smaller award, the grant amount shall be reduced for that term in accordance with the award table. If a student transfers to a participating institution in a sector with a greater award, the grant amount may be increased for that term in accordance with the award table, provided that sufficient funds are available.

(2) Refunds

(a) If a student reduces his or her enrollment - either by dropping a class(es) or withdrawing altogether - to three-quarters time, one-half time, or less than half-time prior to an institution's census date, the OCOG award allotment for the term must be reduced to the corresponding enrollment level. Such a situation assumes a one hundred per cent instructional and general fees refund will be made to the student for the classes dropped.

(b) If a student reduces his or her enrollment - either by dropping a class(es) or withdrawing altogether after the institution's census date, but during the institution's refund period, the percentage of the OCOG award refund will be equivalent to the percentage refund of the student's actual instructional and general fees charges.

(c) If a student reduces his or her enrollment - either by dropping a class(es) or withdrawing altogether after the institution's freeze date, and after the institution's refund period, no OCOG award refund will be necessary.

(d) A calculator to assist institutions in such instances will be published on the agency website.

(3) Continuous enrollment

An OCOG award can be used for continuous enrollment. In addition to a student's annual award amount, the student can receive an additional term award amount (one third for quarter terms or one half for semester terms of the annual award amounf) if continuously enrolled for the entire academic year.

(4) Duration of grants

An OCOG award is limited to ten semesters or fifteen quarters, the equivalent of five academic years of full-time undergraduate education. If a student received an award from the Ohio instructional grant (OIG) programs previously, those semesters or quarters of receipt of OIG will be counted toward the ten semester/fifteen quarter limit for the OCOG program. A grant made to an eligible student on the basis of less than full-time enrollment shall be based on the number of credit hours for which the student is enrolled and shall be computed in accordance with a formula adopted by the chancellor.

(H) Payment of opportunity grants

(1) Students: The student awarded an OCOG award who is enrolled in a participating institution shall agree to permit the chancellor of the Ohio board of regents, on the student's behalf, to make payment of the grant to the institution. The remittance shall be made payable to the institution in which the student is enrolled.

(2) Institutions

(a) Payment requests for the opportunity grant will need to be made by accessing a payment file on the HEI system.

(b) The institution shall apply the grant awarded to the student to the instructional and general fees of the institution for the requested term in that academic year after that student's federal Pell grant and EFC allotment have been applied to the instructional and general fees charges.

(c) Payment and adjustment process

(i) During each term, an institution can submit a payment file to the office of financial aid of the chancellor through the OCOG certification and adjustment (OG) file, accessed through the HEI system. After the fifteenth day of each term files may be submitted as often as necessary, although the chancellor recommends submitting no more than one per term. The completed files are used to generate computer grant payment files which are sent to the institutions via electronic funds transfer (EFT) or with a warrant. The OG file contains a record for each student who is to receive the grant. An eligible application record from the student must be on file in order for a corresponding opportunity grant record to be accepted. Each institution must submit payment files before the corresponding term submission window closes. Extension requests for term submission of payment files will be denied unless they meet one of the published list of exceptions.

(ii) The OG file contains the following data:

(a) The student identifier

(b) The student rank

(c) Enrollment status

(d) Term award amount

(e) Award type

(iii) At the conclusion of each term, the OG file is used by the institutions to make adjustments including reporting refunds and eligible students no longer enrolled. An updated file is provided to each institution for each subsequent term through the disbursement query accessed on the HEI system. If any funds have not been recovered from the OCOG payment files at the conclusion of each academic year, the institution must submit a refund manifest form from the unrecovered refund query accessed on the HEI system. Forms should be mailed to the office of financial aid of the chancellor with the appropriate refund. Extension requests for term submission of payment files reflecting refunds will be approved indefinitely.

(d) Overrides

Any overrides for issues regarding residency, duplicate identifiers or foster youth eligibility at community colleges are at the discretion of the chancellor. Institutions may be required to submit additional documentation to the office of financial aid of the chancellor in such situations.

Effective: 06/18/2010R.C. 119.032 review dates: 06/18/2015 Promulgated Under: 119.03 Statutory Authority: 3333.04 , 3333.122 Rule Amplifies: 3333.122

3333-1-10 Ohio student residency for state subsidy and tuition surcharge purposes.

(A) Intent and authority

(1) It is the intent of the chancellor of the Ohio board of regents in promulgating this rule to exclude from treatment as residents, as that term is applied here, those persons who are present in the state of Ohio primarily for the purpose of receiving the benefit of a state-supported education.

(2) This rule is adopted pursuant to Chapter 119. of the Revised Code, and under the authority conferred upon the chancellor of the Ohio board of regents by section 3333.31 of the Revised Code.

(B) Definitions

For purposes of this rule:

(1) "Resident" shall mean any person who maintains a twelve-month place or places of residence in Ohio, who is qualified as a resident to vote in Ohio and receive state public assistance , and who may be subjected to tax liability under section 5747.02 of the Revised Code, provided such person has not, within the time prescribed by this rule, declared himself or herself to be or allowed himself or herself to remain a resident of any other state or nation for any of these or other purposes.

(2) "Financial support" as used in this rule, shall not include grants, scholarships and awards from persons or entities which are not related to the recipient.

(3) An "institution of higher education" shall have the same meaning as "state institution of higher education" as that term is defined in section 3345.011 of the Revised Code, and shall also include private medical and dental colleges which receive direct subsidy from the state of Ohio.

(4) "Domicile" as used in this rule is a person's permanent place of abode, so long as the person has the legal ability under federal and state law to reside permanently at that abode. For the purpose of this rule, only one domicile may be maintained at a given time.

(5) "Dependent" shall mean a student who was claimed by at least one parent or guardian as a dependent on that person's internal revenue service tax filing for the previous tax year.

(6) "Residency Officer" means the person or persons at an institution of higher education that has the responsibility for determining residency of students under this rule.

(7) "Community Service Position" shall mean a position volunteering or working for:

(a) VISTA, Americorps, city year, the peace corps, or any similar program as determined by the chancellor of the Ohio board of regents; or

(b) An elected or appointed public official for a period of time not exceeding twenty-four consecutive months.

(C) Residency for subsidy and tuition surcharge purposes

The following persons shall be classified as residents of the state of Ohio for subsidy and tuition surcharge purposes:

(1) A student whose spouse, or a dependent student, at least one of whose parents or legal guardian, has been a resident of the state of Ohio for all other legal purposes for twelve consecutive months or more immediately preceding the enrollment of such student in an institution of higher education.

(2) A person who has been a resident of Ohio for the purpose of this rule for at least twelve consecutive months immediately preceding his or her enrollment in an institution of higher education and who is not receiving, and has not directly or indirectly received in the preceding twelve consecutive months, financial support from persons or entities who are not residents of Ohio for all other legal purposes.

(3) A dependent student of a parent or legal guardian, or the spouse of a person who, as of the first day of a term of enrollment, has accepted full-time, self-sustaining employment and established domicile in the state of Ohio for reasons other than gaining the benefit of favorable tuition rates.

Documentation of full-time employment and domicile shall include both of the following documents:

(a) A sworn statement from the employer or the employer's representative on the letterhead of the employer or the employer's representative certifying that the parent, legal guardian or spouse of the student is employed full-time in Ohio.

(b) A copy of the lease under which the parent, legal guardian or spouse is the lessee and occupant of rented residential property in the state; a copy of the closing statement on residential real property located in Ohio of which the parent, legal guardian or spouse is the owner and occupant; or if the parent, legal guardian or spouse is not the lessee or owner of the residence in which he or she has established domicile, a letter from the owner of the residence certifying that the parent, legal guardian or spouse resides at that residence.

(4) A veteran, and the veteran's spouse and any dependent of the veteran, who meets both of the following conditions:

(a) The veteran either (i) served one or more years on active military duty and was honorably discharged or received a medical discharge that was related to the military service or (ii) was killed while serving on active military duty or has been declared to be missing in action or a prisoner of war.

(b) If the veteran seeks residency status for tuition surcharge purposes, the veteran has established domicile in this state as of the first day of term of enrollment in an institution of higher education. If the spouse or a dependent of the veteran seeks residency status for tuition surcharge purposes, the veteran and the spouse or dependent seeking residency status have established domicile in this state as of the first day of a term of enrollment in an institution of higher education, except that if the veteran was killed while serving on active military duty or has been declared to be missing in action or a prisoner of war, only the spouse or dependent seeking residency status shall be required to have established domicile in accordance with this division.

Domicile as used in paragraph (C)(4)(b) of this rule shall have the same meaning as used in paragraph (C)(3)(b) of this rule.

(D) Additional criteria which may be considered in determining residency may include but are not limited to the following:

(1) Criteria evidencing residency:

(a) If a person is subject to tax liability under section 5747.02 of the Revised Code;

(b) If a person qualifies to vote in Ohio;

(c) If a person is eligible to receive Ohio public assistance ;

(d) If a person has an Ohio's driver's license and/or motor vehicle registration.

(2) Criteria evidencing lack of residency

(a) If a person is a resident of or intends to be a resident of another state or nation for the purpose of tax liability, voting, receipt of public assistance, or student loan benefits (if the student qualified for that loan program by being a resident of that state or nation);

(b) If a person is a resident or intends to be a resident of another state or nation for any purpose other than tax liability, voting, or receipt of public assistance (see paragraph (D)(2)(a) of this rule).

(3) For the purpose of determining residency for tuition surcharge purposes at Ohio's state-assisted colleges and universities, an individual's immigration status will not preclude an individual from obtaining resident status if that individual has the current legal status to remain permanently in the United States.

(E) Exceptions to the general rule of residency for subsidy and tuition surcharge purposes:

(1) A person who is living and is gainfully employed on a full-time or part-time and self-sustaining basis in Ohio and who is pursuing a part-time program of instruction at an institution of higher education shall be considered a resident of Ohio for these purposes.

(2) A person who enters and currently remains upon active duty status in the United States military service while a resident of Ohio for all other legal purposes and his or her dependents shall be considered residents of Ohio for these purposes as long as Ohio remains the state of such person's domicile.

(3) A person on active duty status in the United States military service who is stationed and resides in Ohio and his or her dependents shall be considered residents of Ohio for these purposes.

(4) A person who is transferred by his employer beyond the territorial limits of the fifty states of the United States and the District of Columbia while a resident of Ohio for all other legal purposes and his or her dependents shall be considered residents of Ohio for these purposes as long as Ohio remains the state of such person's domicile as long as such person has fulfilled his or her tax liability to the state of Ohio for at least the tax year preceding enrollment.

(5) A person who has been employed as a migrant worker in the state of Ohio and his or her dependents shall be considered a resident for these purposes provided such person has worked in Ohio at least four months during each of the three years preceding the proposed enrollment.

(6) A person who was considered a resident under this rule at the time the person started a community service position as defined under this rule, and his or her spouse and dependents, shall be considered a residents of Ohio while in service and upon completion of service in the community service position.

(7) A person who returns to the state of Ohio due to marital hardship, takes or has taken legal steps to end a marriage, and reestablishes financial dependence upon a parent or legal guardian (receives greater than fifty per cent of his or her support from the parent or legal guardian), and his or her dependents shall be considered residents of Ohio.

(8) A person who is a member of the Ohio national guard and who is domiciled in Ohio, and his or her spouse and dependents, shall be considered residents of Ohio while the person is in Ohio national guard service.

(F) Procedures

(1) A dependent person classified as a resident of Ohio for these purposes under the provisions of paragraph (C)(1) of this rule and who is enrolled in an institution of higher education when his or her parents or legal guardian removes their residency from the state of Ohio shall continue to be considered a resident during continuous full-time enrollment and until his or her completion of any one academic degree program.

(2) In considering residency, removal of the student or the student's parents or legal guardian from Ohio shall not, during a period of twelve months following such removal, constitute relinquishment of Ohio residency status otherwise established under paragraph (C)(1) or (C)(2) of this rule.

(3) For students who qualify for residency status under paragraph (C)(3) of this rule, residency status is lost immediately if the employed person upon whom resident student status was based accepts employment and establishes domicile outside Ohio less than twelve months after accepting employment and establishing domicile in Ohio.

(4) Any person once classified as a nonresident, upon the completion of twelve consecutive months of residency, must apply to the institution he or she attends for reclassification as a resident of Ohio for these purposes if such person in fact wants to be reclassified as a resident. Should such person present clear and convincing proof that no part of his or her financial support is or in the preceding twelve consecutive months has been provided directly or indirectly by persons or entities who are not residents of Ohio for all other legal purposes, such person shall be reclassified as a resident.

Evidentiary determinations under this rule shall be made by the institution which may require, among other things, the submission of documentation regarding the sources of a student's actual financial support.

(5) Any reclassification of a person who was once classified as a nonresident for these purposes shall have prospective application only from the date of such reclassification.

(6) Any institution of higher education charged with reporting student enrollment to the chancellor of the Ohio board of regents for state subsidy purposes and assessing the tuition surcharge shall provide individual students with a fair and adequate opportunity to present proof of his or her Ohio residency for purposes of this rule. Such an institution may require the submission of affidavits and other documentary evidence which it may deem necessary to a full and complete determination under this rule.

Effective: 07/02/2009
R.C. 119.032 review dates: 10/20/2013
Promulgated Under: 119.03
Statutory Authority: R.C. 3333.31 , R.C. 3333.04
Rule Amplifies: R.C. 3333.31 , R.C. 5747.02
Prior Effective Dates: 12/29/1977, 2/2/1985, 3/2/1990, 10/3/2003, 7/9/2008 (Emer.), 10/5/08

3333-1-11 The "Ohio Academic Scholarship Program" procedures.

(A) Authority

This rule is adopted under authority conferred upon the chancellor of the Ohio board of regents by section 3333.21 of the Revised Code.

(B) Purpose of program

The "Ohio Academic Scholarship Program" was established to recognize and give financial assistance to the state's academically outstanding students and to encourage these students to attend Ohio's institutions of higher education.

(C) Eligibility requirements

(1) To be eligible to receive an "Ohio Academic Scholarship" a student must:

(a) Be a current graduate of an eligible Ohio high school.

(b) Be an Ohio resident.

(c) Be enrolled or intend to be enrolled as a full-time undergraduate student in an eligible Ohio institution of higher education.

(d) To be eligible the student must take the ACT assessment in the junior year or by the December test date of their senior year.

(2) To renew the scholarship a student must:

(a) Be an Ohio resident.

(b) Be enrolled as a full-time undergraduate student in an eligible Ohio institution of higher education, or be a full-time student concurrently enrolled as an undergraduate student and as a graduate or professional student in an eligible Ohio institution of higher education or be enrolled in an eligible Ohio institution of higher education as a full-time graduate or professional student who was awarded an undergraduate degree in less than four academic years.

(c) Make satisfactory academic progress toward a degree or diploma.

(D) Definitions

(1) Eligible Ohio high schools Eligible high schools include all diploma-granting public and non-public high schools chartered by the state department of education and having three or more years of instruction. Students who are enrolled in joint-vocational school programs are also eligible to participate in the "Ohio Academic Scholarship" competition. Applicants who are enrolled in joint-vocational school programs on a regular basis shall be ranked with other students in their respective joint-vocational schools, rather than with students from their "home schools," the schools from which they will graduate. Grade point averages reported for joint-vocational school students shall reflect performance in courses taken at the home school and joint-vocational school.

(2) Ohio resident

Each eligible participating institution shall determine the residency status of students for "Ohio Academic Scholarship" purposes in accordance with rule 3333-1-10 of the Administrative Code.

(3) Eligible Ohio institutions of higher education

An "eligible institution" is: (a) an Ohio public-assisted institution of higher education; or (b) an Ohio privately sponsored nonprofit institution of higher education having a "Certificate of Authorization" issued by the chancellor; or (c) a diploma school of nursing having a "Certificate of Authorization" issued by the chancellor; or (d) an Ohio proprietary institution which holds a "Certificate of Registration" issued under section 3332.05 of the Revised Code and program authorization issued by the state board of proprietary school registration to award an associate degree or holds a "Certificate Of Registration" issued under section 3332.05 of the Revised Code and a "Certificate of Authorization" issued by the chancellor to award a bachelor's degree. Students who attend an institution holding a "Certificate of Registration" must be enrolled in a program leading to an eligible associate degree or an eligible program leading to a bachelor's degree.

(4) Full-time student

A "Full-time student" is one who is enrolled in an eligible Ohio institution of higher education for at least twelve credit hours or the equivalent per term.

(5) Satisfactory academic progress

In working toward an associate degree, bachelor's degree, nursing school diploma, graduate degree or professional degree, the student must maintain a grade point average or other standards of achievement considered by the institution of higher education as satisfactory progress toward receipt of the degree or nursing school diploma sought by the student.

(6) Academic year

An "academic year" is defined as an instructional period consisting of three quarters, or two semesters, or the equivalent, including the summer term. At semester-system schools, summer school is equivalent to a semester; at quarter-system schools, summer school is equivalent to a quarter. Summer term is considered the first term of the academic year.

(E) Application process

Application for the scholarship shall be made through a student's high school. . Required application data shall be submitted to the chancellor by means of a web-based data collection system developed and maintained by the chancellor (we have not made any provisions to accept paper and are working individually with each high school that does not have access to the internet to identify alternatives.)

(1) Verification of ACT scores

ACT assessment scores for each scholarship applicant shall be provided directly by the chancellor in the web-based application through a data exchange agreement with ACT. High school guidance counselors may send official ACT scores which do not match ACT scores provided to the chancellor for consideration.

(2) Computing the scholarship index

The scholarship index, which gives equal weight to the student's fifth semester cumulative grade point average and the student's ACT scores, will determine the ranking of applicants in the scholarship competition. A constant factor ensures that the grade point average and the ACT scores are given equal weight in the scholarship index formula.

The scholarship index formula is designed for a 4.0 grading system where "A+", "A", "A-" = 4, "B+", "B", "B-) = 3, "C+", "C", "C-) = 2 and "D+", "D", "D-) = 1. Other grading systems may not be used. The applicant's fifth semester cumulative grade point average comprises grades from the tenth grade, eleventh grade and the first semester of the twelfth grade.

The applicant must take the ACT assessment in the junior year or by the December test date of their senior year to be considered for the scholarship. The applicant's ACT scores may be reported from one assessment only . If the applicant has taken the ACT assessment twice, the English, mathematics, reading and science reasoning scores may be reported from either assessment ; however, scores from the two assessments may not be mixed.

Scholarship index formula

ACT assessment score (fifty per cent); high school grade point average (fifty per cent).

Scholarship index = (3E + 2M + R + SR) + (CF x HSA)

Where: "E" = ACT English score;

"M" = ACT mathematics score;

"R" = ACT reading score;

"SR" = ACT science reasoning score;

"CF" = A constant factor by which the high school average is multiplied to ensure that the ACT component and the high school average each receive equal weight in determining the scholarship index;

"HSA" = Fifth semester high school grade point average (tenth grade, eleventh grade and first semester of the twelfth grade).

(3) Submitting applications

A scholarship index may be calculated for any eligible applicant who has outstanding ACT examination assessment scores and an outstanding grade point average. Each high school shall submit application data on the web based system for no more than five students with the highest scholarship index. These applications shall be ranked in scholarship index order from highest to lowest. In the case where two or more students have identical scholarship indexes, transcripts of the students' grades may be required for verification by the chancellor. Complete application data must be submitted to the chancellor no later than February twenty-third of each year.

(F) Awarding scholarships

At least one thousand new scholarships of no less than two thousand dollars per year will be awarded each academic year. In cases where the highest scholarship index is held by two or more eligible students within a high school, each applicant will be designated to receive an "Ohio Academic Scholarship" for the upcoming academic year. At least one scholarship shall be awarded to a student from each eligible Ohio public, non-public, and joint-vocational high school that submits by the February twenty-third deadline date.

Students who rank second, third, fourth and fifth in each high school will comprise a sate-wide pool of applicants who will be ranked again by scholarship index to compete for remaining scholarships which will be available after one scholarship has been awarded to the top-ranked student in each eligible high school.

Notice of award

If the student with the highest scholarship index from a high school meets all eligibility requirements, that student will be designated to receive an "Ohio Academic Scholarship" in the amount of no less than two thousand dollars for the upcoming academic year. A scholarship certificate will be issued to the first-place candidate around April first. In addition to the scholarship certificate, the student will receive a confirmation form from their counselor on which he or she will indicate acceptance or refusal of the scholarship. This form will again ask for the name of the Ohio institution of higher education in which the student will be enrolled during the upcoming academic year and will ask whether or not the student will enroll in the summer term. The student must return the confirmation form to their counselor who will notify the chancellor via the web-based system before May first. Failure to respond to the scholarship offer by May first may result in reassignment of the scholarship.

If a student does not accept a scholarship, the scholarship will be offered to the number two student from the high school competition unless the high school already has more than one designated recipient. In that case, the scholarship will be offered to the next highest ranking student from the state-wide pool of high scores.

(G) Payment policies

(1) Duration of scholarship

A student may receive an "Ohio Academic Scholarship" for a maximum of four academic years, provided that the student is making satisfactory academic progress toward an associate degree, bachelor's degree, nursing school diploma, graduate degree or professional degree. If the student is making satisfactory academic progress, the scholarship is automatically renewed. Total scholarship benefits shall not be less than eight thousand dollars.

Awards are contingent upon the availability of funds from the Ohio general assembly.

(2) Influence on other state awards

Receipt of an "Ohio Academic Scholarship" will not affect a student's eligibility for an "Ohio Instructional Grant," "War Orphans Scholarship," or "National Guard Scholarship."

(3) Payment of scholarship

Scholarship benefits shall be paid to the student's institution of higher education . Each amount awarded will be paid in equal installments on a quarter or semester basis. Payments will be made each term after confirmation of the students continuing eligibility by the student's institution of higher education. Confirmation of eligibility shall be made by means of a web-based data collection system developed and maintained by the chancellor's staff.

(4) Transfer to another institution of higher education

A student who has received an "Ohio Academic Scholarship" may transfer to another eligible Ohio institution of higher education provided that the student notifies the chancellor in writing or by email about the transfer no later than fifteen days before the end of the academic term which precedes the term in which the transfer will be effective.

(5) Refund for withdrawal during a term

If an "Ohio Academic Scholarship" recipient discontinues full-time attendance during a term because of illness or other cause deemed satisfactory by the chancellor, the student may either claim a prorated payment for the period of actual attendance or waive payment for that term. A term for which prorated payment is made shall be considered as a scholarship received for a full term. A term for which payment is waived shall not be considered a term for which a scholarship was received.

If a student withdraws or drops below full-time enrollment during a term after the scholarship payment has been made, the student will return the unused portion of the scholarship to the chancellor. The amount due will be prorated on a weekly basis. For example, if a student attending a ten-week quarter-system school withdraws from the school or drops below twelve credit hours of coursework in the seventh week of classes, the student will refund three-tenths of three hundred thirty-three dollars, or one hundred dollars to the board of regents.

(6) Cancellation of the scholarship

Students who discontinue full-time attendance during a term and cancel their scholarship will be assessed a refund due to the chancellor based upon the number of weeks in the term during which the student attended classes.

(7) Leave of absence for a quarter or semester

If an "Ohio Academic Scholarship" recipient is temporarily unable to attend school because of illness or other causes deemed satisfactory to the chancellor, the chancellor may grant a leave of absence for a period not to exceed one academic year. The student must make a request for a leave of absence in writing and will be notified in writing of the board's decision. Following a leave of absence, scholarship payments will be resumed at the time of enrollment confirmation.

(8) Unsatisfactory academic progress

If a student's academic record falls below the standard prescribed by the institution of higher education attended, the student must resume satisfactory academic progress within a period not exceeding two quarters or one semester of enrollment. For example: If a student's academic record fails to meet the prescribed standard at the end of the fall quarter or semester of the academic year, the student must bring his or her academic record up to the standard by the end of the third quarter or second semester of the same academic year to avoid termination of the scholarship. In the interim period, scholarship payment will be withheld.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/19/2010 and 12/18/2015
Promulgated Under: 119.03
Statutory Authority: RC 3333.04(S)
Rule Amplifies: RC 3333.21 to 3333.25
Prior Effective Dates: 6-3-78; 5-3-79; 5-7-82; 2-27-84; 7-30-84 (Emer.); 2-2-85; 12-30-88; 3-2-90; 3-22-04

3333-1-12 Rules of compliance for the development of family practice departments and guidelines for distribution.

(A) Authority

This Rule is adopted under authority conferred upon the Ohio Board of Regents by Amended House Bill 474 of the 110th General Assembly, requiring all medical schools which receive state assistance to establish and maintain departments of family practice.

(B) Institutional Requirements

(1) Each school or college of medicine shall have a Department of Family Medicine (as defined in Section 3333.11 of the Revised Code) which will be administratively equal to the other major departments (i.e. Medicine, Pediatrics, Surgery, etc.).

(2) Each Department shall create and maintain a curriculum for medical student education in Family Practice.

(3) Each Department shall create and maintain a clinical Family Practice residency utilizing the guidelines for family practice by the American Board of Family Practice.

(4) Each Department shall have a qualified, experienced practitioner as the Chairman, who will direct the education and patient care programs for both medical students and family practice residents. The Chairman should have previously demonstrated involvement in family practice either as an active family practitioner, or by actively teaching family medicine to medical students or family medicine residents, or by actively supporting the development of educational programs in family medicine. The Chairman should be either Board eligible or Board certified in family practice according to the guidelines of the American Board of Family Practice.

In the development of new Departments of Family Practice, a medical school may elect to appoint an Acting Chairman to initiate program development while a search committee is actively seeking a new Chairman. Any questions concerning the interpretation of "a qualified, experienced practitioner" should be directed to the office of the Vice-Chancellor for Health Affairs, Ohio Board of Regents.

(5) The Chairman of the Department of Family Practice may utilize both university and community facilities for the academic programs in family medicine.

(C) Procedures for Release of Funds

(1) Each college or school of medicine which has met the guidelines established by the Board of Regents for Amended House Bill 474 will be considered eligible for financial support.

(2) Each department shall submit a budget for approval of the Ohio Board of Regents. No budget may exceed $250,000 for the period in which the appropriation is in force. Medical schools created by the 110th General Assembly shall not exceed $100,000 support during this period.

(3) The Board of Regents will receive budgets for approval and requests for release of funds after November 1, 1974.

R.C. 119.032 review dates: 07/19/2005 and 07/19/2010

Promulgated Under: 111.15

Statutory Authority: Am. Sub. H.B. 474 of the 110th General Assembly

Rule Amplifies: n/a

Prior Effective Dates: 11/2/74

3333-1-13 Fees for certificate of Authorization and Subsequent Reviews.

(A) Each proposal submitted by an institution defined in Revised Code 1713.01 , requesting a certificate of authorization in Ohio or a revision to a certificate of authorization, shall be assessed fees due upon submission of the proposal, as follows:

Initial Program Fees *

In-State Institution Out-of-State Institution

Associate $3,000 $3,000

Baccalaureate $3,000 $3,000

Master's $5,000 $5,000

Doctoral/Professional $5,000 $5,000

*An Initial Program Fee is charged for the first program at a particular degree level.

Degree Review Fees will be charged in addition to this amount.

Degree Review Fees

Paper Review (if no site visit) In-State Institution with Site Visit Out-of-State Institution with Site Visit

Associate $1,000* $2,000 $4,000

Baccalaureate $1,000* $2,000 $4,000

Masters $1,000* $3,500 $5,500

Doctoral or Professional Not Applicable $7,500 $7,500

*Fees may be waived in cases where a new undergraduate major: 1) is an area closely related to an existing program; 2) all or nearly all needed resources are demonstrably in place; and 3) the institutional proposal is sufficiently clear that no substantial additional information or revision is required.

Institutional Reauthorization

TYPE OF REVIEW FEE

No concerns from regional accrediting agency and/or other appropriate accrediting bodies; completion of Regents information document to update list of programs and related activities. $300

Tracking Review Cost of External Consultant

Full reauthorization, including review and site visit. Institution will bear all other reasonable costs associated with such review (e.g. external consultant fees and related expenses). $7,500

Effective: 04/17/2006
R.C. 119.032 review dates: 04/17/2011
Promulgated Under: 119.03
Statutory Authority: 1713.03
Rule Amplifies: 1713.02

3333-1-14 Notice of meetings.

(A) Authority

This rule is adopted in compliance with, and under the authority of, division (F) of section 121.22 of the Revised Code, as amended, effective November 28, 1975.

(B) Any person may determine the time and place of all regularly scheduled meetings and the time, place, and purpose of all special meetings by:

(1) Writing to the following address: "Ohio Board of Regents, 30 East Broad Street, Columbus, Ohio 43215."

(2) Calling the following telephone number during normal business hours: 614-466-6000.

(3) Consulting the Ohio board of regents public hearing notice website located at www.regents.state.oh.ushttp://regents.ohio.gov/news/publicmeetings.php.

(C) Any representative of the news media may obtain notice of all special meetings by requesting in writing that such notice be provided. A request for such notification shall be addressed to: "Board Secretary, Ohio Board of Regents, 30 East Broad Street, Columbus, Ohio 43215" or by way of electronic mail message at communications@regents.state.oh.us.

The request shall provide the name of the individual media representative to be contacted, his mailing address and a maximum of two telephone numbers where he can be reached. The board secretary shall maintain a list of all representatives of the news media who have requested notice of special meetings pursuant to this section.

In the event of a special meeting not of an emergency nature, the board secretary shall notify all media representatives on the list of such meeting by doing at least one of the following:

(1) Sending written notice, which must be mailed by way of ordinary mail or electronic mail message no later than four calendar days prior to the day of the special meeting;

(2) Notifying such representatives by telephone no later than twenty-four hours prior to the special meeting; such telephone notice shall be complete if a message has been left for the representative, or if, after reasonable effort the board secretary has been unable to provide such telephone notice;

(3) Informing such representative personally no later than twenty-four hours prior to the special meeting.

(4) Posting such notice on the Ohio board of regents website located at www.regents.state.oh.ushttp://regents.ohio.gov/news/publicmeetings.php.

In the event of a special meeting of an emergency nature, the board secretary shall notify all media representatives on the list of such meeting by providing either the notice described in paragraph (C)(2) of this rule, or that described in paragraph (C)(3) of this rule. In such event, however, the notice need not be given twenty-four hours prior to the meeting, but shall be given as soon as possible.

In giving the notices required by paragraph (C) of this rule, the board secretary may rely on assistance provided by any member of the board of regents staff and any such notice is complete if given by such member in the manner provided in paragraph (C) of this rule.

(D) The board secretary shall maintain a list of all persons who have requested, orally or in writing, notice of all meetings of the board of regents at which specific subject matters designated by such persons are scheduled to be discussed. Any person may have his name placed on such a list. The board secretary shall, no later than seven days prior to each meeting, send by first class mail an agenda of the meeting to such persons.

(E) Upon proper notice given pursuant to this rule, an interactive video teleconference meeting may be held if a quorum is present.

Rules may be amended at any time by majority vote of the entire membership of the board.

Effective: 12/18/2010
R.C. 119.032 review dates: 06/15/2010 and 12/18/2015
Promulgated Under: 111.15
Statutory Authority: 121.22
Rule Amplifies: 121.22
Prior Effective Dates: 11/28/75, 12/4/75, 1/6/76, 2/3/00, 10/25/03

3333-1-15 Payment of bond service charges under the state credit enhancement program.

(A) A used in this rule:

(1) "Allocated state share of instruction" has the same meaning as is in section 3333.90 of the Revised Code.

(2) "Bond service charge payments" means payments from a college district to provide for the payment of bond service charges on obligations (including monthly or other periodic deposits required in connection with future bond service charges on obligations). Bond service charge payments shall be payable by a college district on the first day of a calendar month or, if such day is not a business day, the business day immediately preceding that date.

(3) "Bond service charges" has the same meaning as in sections 152.09 and 3345.12 of the Revised Code, as the context requires;

(4) "College district" means any of the following institutions of higher education that are state-supported or state-assisted:

(a) A community college district as defined in section 3354.01 of the Revised Code;

(b) A technical college district as defined in section 3357.01 of the Revised Code;

(c) A state community college district as defined in section 3358.01 of the Revised Code.

In addition, as the context requires or permits, "college district" also means the college operated by any of the foregoing districts.

(5) "Fiscal agent" means the primary paying agent or fiscal agent for the obligations in question, and includes any bank or trust company serving as paying agent for such obligations. The fiscal agent may not be an officer or employee of the college district.

(6) "Obligations" has the same meaning as in section 152.09 or 3345.12 of the Revised Code, as context requires.

(7) "State credit enhancement program" or "program" means the program authorized by section 3333.90 of the Revised Code and implemented by this rule.

(B) The board of trustees of any college district seeking approval from the chancellor of the Ohio board of regents for participation in the state credit enhancement program shall submit to the chancellor a copy of a board-approved resolution requesting participation in the program and determining whether the proposed obligations are to be issued under section 152.09 of the Revised Code, and any information requested by the chancellor, which may include, but is not limited to, the following information:

(1) Payment schedules and identification information for:

(a) Current outstanding obligations of the college district to which the college district's allocated state share of instruction is not pledged;

(b) Current outstanding obligations to which the college district's allocated state share of instruction is pledged;

(c) The obligations proposed to be secured under section 3333.90 of the Revised Code as then presently estimated;

(d) All the items in paragraph (B)(1) of this rule combined;

(2) The most recent college district quarterly financial report as required by Rule 126:3-1 of the Ohio Administrative Code;

(3) The current year's board-approved budget for unrestricted current funds as reported pursuant to Rule 126:3-1 of the Ohio Administrative Code;

(4) A statement as to how participation in the state credit enhancement program will enhance the marketability of the proposed obligations;

(5) A statement of the current and project allocated state share of instruction due to the college district per the most recent release and distribution schedule provided by the chancellor;

(6) The ratio of the projected amount of allocated state share of instruction to be distributed to the college district for the current fiscal year to the maximum annual bond service charges due in the current or any future fiscal year and the identification of the fiscal year in which the maximum annual bond service charges occur;

(7) The ratio of the projected amount of allocated state share of instruction remaining to be distributed to the college district for the current fiscal year to the bond service charge payments remaining to be paid in the fiscal year;

(8) A statement regarding the purpose of the obligations to be secured under section 3333.90 of the Revised Code (if the issue is for refunding purposes, explain what previous obligations are being refunded and whether they are secured under the state credit enhancement program);

(9) A statement indicating the estimated savings afforded to the college district through participation in the state credit enhancement program in connection with the proposed obligations;

(10) Contract information for the bond underwriter, bond counsel, and fiscal agent for the proposed obligations, if available;

(11) Estimated timeframe for the issuance and sale of the proposed obligations Approval of the request for participation in the state credit enhancement program shall be valid only during the estimated timeframe for the issuance and sale of such obligations or up to twelve months from the receipt of the approval, and only if the aggregate of all bond service charges in each year does not exceed the amount shown for such year in the payment schedule required by paragraph (B)(1)(d) of this rule.

(C) Approval by the chancellor of the request for participation in the state credit enhancement program shall only be granted if all of the following are met:

(1) The chancellor finds that such approval will enhance the marketability of the obligations for which the request is made;

(2) The chancellor and the office of budget and management, and the Ohio building authority in the case of obligations to be issued by the authority, have no reason to believe the requesting college district or the college it operates will be unable to pay when due the bond service charges on the obligations for which the request is made, and bond service charges on those obligations are therefore not anticipated to be paid pursuant to section 3333.90 of the Revised Code from the allocated state share of instruction for purposes of Section 17 of Article VIII, Ohio Constitution;

(3) The chancellor finds that the specific request to participate in the state credit enhancement program does not jeopardize the ability of the college district to maintain compliance with Rule 126:3-1 of the Ohio Administrative Code;

(4) The projected amount to be distributed to the college district from allocated state share of instruction for the current fiscal year exceeds the maximum annual bond service charges due in the current or any future fiscal year as shown in the schedule required by paragraphs (B)(1)(b) and (c) of this rule by a ratio of not less than 2.5 to one and at any time during the current or any fiscal year, the projected amount of allocated state share of instruction remaining to be distributed in the fiscal year exceeds such bond service charges remaining to be paid in that fiscal year by a ratio of not less than 1.25 to one. For purposes of these calculations, bond service charges include outstanding and proposed obligations under the state credit enhancement program.

(D) If after the college district has been approved for the state credit enhancement program, the college district receives an advance of its allocated state share of instruction, (i) calculation of the ratios for (C)(4) above shall not include the advance, and (ii) the amount of the advance for any period shall not be an amount which would reduce the remaining allocated state share of instruction to be received for such period to an amount less than the aggregate bond service charge payments payable during such period.

(E) If the chancellor approves the request of a college district to withhold and deposit its allocated state share of instruction pursuant to section 3333.90 of the Revised Code and this rule, the college district shall identify a fiscal agent for the obligations to be issued. In addition, when it becomes available, the college district shall provide the chancellor and the director of budget and management with a finalized bond service charge payments schedule for the obligations to be secured under section 3333.90 of the Revised Code. The chancellor shall then enter into a written agreement with the college district and the fiscal agent, subject to the consent of the director of budget and management, and to the consent of the Ohio building authority if the authority is the issuer of the proposed obligations, for the withholding of funds pursuant to section 3333.90 of the Revised Code and this rule for the payment of bond service charges on those obligations according to such bond service charge payments schedule. This agreement shall include the following provisions:

(1) The amount of allocated state share of instruction deposited by the chancellor shall not be greater than the next periodic distribution due to the college district regardless of the amount owed by the college district on the payment date in question;

(2) At least fifteen business days prior to the date on which a bond service charge payment is due, the college district shall certify to the chancellor and the fiscal agent the amount of any insufficiency in the amount of funds needed to pay in full the bond service charge payment when due, provided that (i) payment by the college district to the fiscal agent of less than the full amount of such payment when due shall be deemed to constitute the certification required by this paragraph, and (ii) failure of the college district to make such certification shall not prevent payment by the chancellor of amounts described below; and

(3) On each date on which a bond service charge payment is due, the college district must make a deposit with the fiscal agent in an amount sufficient to pay in full the bond service charge payment due, and if the amount of such deposit is less than the bond service charge payment then due, the fiscal agent shall notify the chancellor of such insufficiency by the next business day following the due date and in any case, not later than the 5th day of the month in which such insufficiency occurs.

(F) Upon receipt of a notification of insufficiency from the fiscal agent, the chancellor shall immediately determine whether the college district is able to make the bond service charge payment to cover the insufficiency. If the chancellor confirms or determines that the college district will be unable to make such bond service charge payment, the chancellor shall deposit with the fiscal agent by two p.m. (Ohio time) on the regularly-scheduled date for periodic distribution of the college district's allocated state share of instruction, in immediately available funds, the amount of the deficiency (not exceeding the amount of allocated state share of instruction due to the college district for such periodic distribution).Bond service charge payments made under this provision shall be made prior to any advance payment of the college district's allocated state share of instruction. If any such insufficiency remains after any payments made pursuant to this paragraph, the college district shall request the chancellor for an advance of its allocated state share of instruction sufficient to pay such insufficiency, and if the chancellor approves such request, the chancellor shall deposit with the fiscal agent the amount of the remaining insufficiency from any amount so advanced. If the amounts deposited by the chancellor pursuant to this paragraph are insufficient to pay the amount of any remaining insufficiency in the amounts then due the fiscal agent for the payment of bond service charge payments, the chancellor shall continue to deposit with the fiscal agent from each successive periodic distribution of such college district's allocated state share of instruction, until the full amount due the agent for unpaid bond service charge payments is paid in full, the lesser of the remaining amount due the fiscal agent for bond service charge payments or the amount of the next periodic distribution scheduled to be made to the college district in respect of its allocated state share of instruction.

Receipt of a notification of insufficiency and a payment made under this paragraph are reportable events under Rule 126:3-1 of the Administrative Code.

(G) If a transfer of allocated state share of instruction is required by paragraph (F) of this rule, the college district, in consultation with the chancellor, will evaluate its inability to pay the bond service charge payments and will develop and implement corrective actions to ensure full and timely bond service charge payments by the college district of future bond service charge payments. This plan for corrective action shall be presented by way of letter to the chancellor.

(H) The agreement required by paragraph (E) of this rule shall be irrevocable as long as any of the college district's obligations secured by the state credit enhancement program are outstanding.

(I) Any credit rating agency which has a current rating of this program will be notified of future material changes to this rule.

Effective: 04/29/2010
R.C. 119.032 review dates: 04/29/2015
Promulgated Under: 119.03
Statutory Authority: 3333.90
Rule Amplifies: 3333.90

3333-1-17 [Rescinded]The Ohio student choice grant program administrative rules.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/19/2010
Promulgated Under: 119.03
Statutory Authority: 119.
Rule Amplifies: 3333.27
Prior Effective Dates: 2/27/1984

3333-1-18 [Rescinded]The regents graduate/professional fellowship program administrative rules and procedures.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/19/2010
Promulgated Under: 119.03
Statutory Authority: 119.
Rule Amplifies: 3333.25
Prior Effective Dates: 3/26/87

3333-1-19 The selective service registration rule.

(A) Authority

This rule is adopted under authority conferred upon the Ohio board or regents by section 3345.32 of the Revised Code.

(B) Definitions

(1) "Ohio resident." Any student considered a resident by an eligible institution of education in accordance with rule 3333-1-10 of the Administrative Code.

(2) "Institution of higher education." An institution of higher education is: (a) an Ohio or Pennsylvania public-assisted college or university; or (b) an accredited Ohio privately sponsored non-profit college or university having a "Certificate of Authorization" issued by the chancellor of the Ohio board of regents and a Pennsylvania privately sponsored non-profit college or university which is comparably authorized by the state of Pennsylvania; or (c) an accredited diploma school of nursing having a "Certificate of Authorization" issued by the chancellor of the Ohio board of regents and a Pennsylvania diploma school of nursing comparably approved by the state of Pennsylvania; or (d) an accredited proprietary school that has received a "Certificate of Registration" from the state board of school and college registration and awards an associate degree, or as of February 24, 1983, awards a bachelors degree and comparable Pennsylvania schools approved by the state of Pennsylvania.

(C) Eligibility requirements

To qualify for benefits provided under section 3315.33 , 3333.12 , 3333.122 , 3333.21 , 3333.22 , 3333.26 , 3333.391 , 5910.03 , 5910.032 or 5919.34 of the Revised Code, or for an award under the choose Ohio first scholarship program established under section 3333.61 of the Revised Code or under the Ohio co-op/internship program established under section 3333.72 of the Revised Code, and be charged instate tuition by an Ohio public-assisted institution, any male Ohio resident attending an institution of higher education must be registered with or qualify for the exemptions to registration of the selective service system in accordance with the Military Selective Service Act, 62 Stat. 604, U.S.C.A.P.P. 453, as amended.

(D) Statement of selective service status

(1) Each institution of higher education shall prepare a "Statement of Selective Service Status" form and shall require each male student who is an Ohio resident to complete the form. The form shall include a statement to be signed by the student confirming that he has registered with the selective service system in accordance with the Military Selective Service Act, 62 Stat. 604, U.S.C.A.P.P. 453, as amended. A place shall be provided for the student to record his selective service registration number. The form shall also include a section to be completed by those male students not required to register with the selective service for one of the following reasons:

(a) He is under the age of eighteen or has at least attained the age of twenty-six;

(b) He is on active duty with the armed forces of the United States other than for training in a reserve or national guard unit;

(c) He is a non-immigrant alien lawfully in the United States in accordance with section 101(a)(15) of the Immigration and Nationality Act, U.S.C. 1101, as amended;

(d) He is not a citizen of the United States and is a permanent resident of the Trust Territory of the Pacific Islands or the Northern Mariana Islands.

(2) As an option of paragraph (D)(1) of this rule, an institution may verify selective service registration of male students who are Ohio residents and required to be registered (not exempt as provided by paragraphs (D)(1)(a) to (D)(1)(d) of this rule) by obtaining each student's selective service number from the selective service system. The institution will be required to implement paragraph (D)(1) of this rule for those students that do not have a registration number on file with the selective service system.

(3) Students who are exempt from selective service registration because they are under eighteen years of age shall be required to complete a new "Statement of Selective Service Status" form in each term of enrollment until such time that registration is certified.

(E) Institutional certification requirements

(1) Effective the winter term, quarter or semester of the 1986-87 academic year, and each term, quarter or semester thereafter, all institutions of higher education submitting to the chancellor of the board of regents payment requests for male students otherwise eligible under sections 3315.33 , 3333.12 , 3333.122 , 3333.21 , 3333.22 , 3333.391 , 5910.03 , 5910.032 , and 5919.34 of the Revised Code, and for an award under the choose Ohio first scholarship program established under section 3333.61 of the Revised Code or under the Ohio co-op/internship program established under section 3333.72 of the Revised Codes, shall certify that all such students have met the selective service registration requirement in accordance with the Military Selective Service Act, 62 Stat. 604, 50 U.S.C.A.P.P. 453, as amended. No payment shall be requested by the institution for any male student who has failed to meet the selective service registration requirements and does not qualify for exemption of the registration requirement.

(2) Effective the winter term, quarter or semester of the 1986-87 academic year, and each term, quarter or semester thereafter, male students who are Ohio residents attending a public-assisted institution of higher education shall be charged the tuition surcharge assessed students who are not residents of the state if such male students have failed to meet the selective service registration requirements and do not qualify for exemption of the registration requirements.

(3) Male students attending a public-assisted institution of higher education who are otherwise eligible to receive the tuition waiver benefits provided under section 3333.26 of the Revised Code shall be charged the instate tuition fees plus any tuition surcharge charged students who are not residents of the state if such students have failed to meet the selective service registration requirement.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/19/2010 and 12/18/2015
Promulgated Under: 119.03
Statutory Authority: 3345.32
Rule Amplifies: 3315.33 , 3333.12 , 3333.122 , 3333.21 , 3333.22 , 3333.26 , 3333.391 , 5910.032 , 5919.34
Prior Effective Dates: 3/26/1987

3333-1-20 Procedures to be followed in allocating state support to the Ohio aerospace institute.

(A) Authority

This rule is adopted pursuant to the requirement of section 3333.042 of the Revised Code, as enacted in House Bill 111 of the 118th General Assembly.

(B) Preparation of budget requests

When distributing forms and instructions related to the preparation of operating and capital budget requests, the chancellor of the board of regents shall ensure that the Ohio aerospace institute receives copies and has the opportunity to forward requests for funding.

(C) Distribution of operating subsidies

If the state of Ohio appropriates funds to subsidize the operations of the Ohio aerospace institute, the chancellor shall release those funds only after the institute has provided a budget showing its sources and proposed uses of funds. The Ohio aerospace institute shall also provide to the chancellor of the Ohio board of regents audited financial statements within six months of the close of the institute's fiscal year.

(D) Capital improvements

Prior to the release of capital appropriations made to the chancellor for the purposes of the Ohio aerospace institute, the chancellor shall enter into an agreement with the institute that specifies that the facilities funded by the state shall be used for the purposes of aerospace education and research. The agreement shall meet the requirements of rule 3333-1-03 of the Administrative Code regarding agreements between higher education institutions and separate nonprofit corporations; except the requirements of paragraph (E)(10) of rule 3333-1-03 of the Administrative Code which deals with reimbursement from capital appropriations to an institution for administrative costs.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/20/2010 and 12/18/2015
Promulgated Under: 119.03
Statutory Authority: 3333.042
Rule Amplifies: 3333.042
Prior Effective Dates: 3/2/90

3333-1-21 Action and investment funds.

(A) Authority

This rule is established by authority conferred upon the Ohio board of regents in the appropriation acts for capital improvements adopted by the general assembly and pursuant to the requirements of Chapter 119. of the Revised Code.

(B) Definitions

As used in this rule:

(1) "Action funds" means a program that awards outright grants to projects initiated by eligible institutions which meet the criteria and conditions described in this rule.

(2) "Investment funds" means a program that provides interest-free loans to projects initiated by eligible institutions which meet the criteria and conditions described in this rule.

(3) "Required match" means the amount of money an institution must pledge as required by an external funding agency in support of a proposed project for which they are seeking funds. The match does not include in-kind contributions by the institution.

(4) "Institutional liaison" means an academic or fiscal officer of an eligible institution with full-time status as an employee and who has been identified by the president of the institution as the liaison to the Ohio board of regents for the purposes of the programs described in this rule.

(5) "Ohio council on research and economic development" means a volunteer council appointed by the chancellor of the Ohio board of regents to advise her/him on short and long-term programmatic options for improving the research and economic development activities of the Ohio board of regents and the state-assisted colleges and universities. The council serves at the invitation of the chancellor.

(6) "Major construction and/or renovation" means building and renovation projects, including instrumentation, for which the total project costs exceed two hundred fifty thousand dollars for action fund proposals, and two hundred thousand dollars for investment fund proposals.

(7) "Research facilities" means any building, or part of a building, structure, facility, site or other interest in real estate used in connection with the conduct or operation of an educational institution for research by faculty, students or staff of that institution.

(8) "Multi-campus research consortium" means two or more universities and/or colleges in mutual, collaborative planning and implementation of a research project. A multi-campus research consortium should demonstrate increased efficiency and effectiveness in the use of state resources and in the impact that can be achieved through collaboration. The board of regents may request that the university research officers and two college representatives acting as an advisory council to the board provide advice on the quality and authenticity of multi-campus research consortia.

(C) Scope and purpose

The "action and investment funds" provide grants and loans, in a timely manner, to eligible institutions of higher education for the construction and/or renovation of research facilities and/or instrumentation.

(D) Eligibility

Eligibility is limited to Ohio's state-assisted colleges and universities and two independent graduate research universities (Case Western Reserve university and the university of Dayton). These schools shall be encouraged, through the consortial principle detailed in this paragraph, to link up with research strengths in other Ohio institutions to ensure that Ohio's resources are fully and efficiently employed. As a general principle, the board of regents encourages research projects that exhibit a local, regional, or statewide consortia approach. This approach includes, but is not limited to: the cooperative use of instrumentation and facilities by researchers from other eligible institutions; collaborative research projects; the establishment of inter-university research institutes or centers; and programs that aid the articulation of students into and through higher education.

(E) Management of the funds

The college or university shall appoint an officer as liaison to the board of regents for all action and investment fund requests. Only requests received from this officer or from a designee shall be considered. The board of regents shall maintain an online database of the projects which have received action and investment fund support. The institutional liaison officers may be asked to assist in monitoring these commitments so that the board's staff will be able to make the best possible use of resources. The Ohio council on research and economic development will be charged with developing recommendations for the use of the funds to be presented to the board of regents; and assisting the staff in conducting an annual review of the effectiveness of the funds to prepare recommendations for the board of regents.

(F) Procedures for application

(1) The action fund is a grant program which combines state support with institutional or other funds for capital projects in order to leverage major awards by federal and private agency programs, especially those that require a competitive review.

(2) Limits and conditions for action fund support:

(a) Categories of support are limited to new construction, expansion or renovation of existing research facilities, and/or the purchase of major research equipment and instrumentation to be used for research and research-oriented instructional programs.

(b) "Major awards" means total project costs of two hundred and fifty thousand dollars or more. The minimum action fund commitment is sixty thousand dollars and the maximum is three million dollars.

(c) For the purpose of review, there are three categories of proposals to the action fund: proposals that are peer reviewed and have a required institutional cost share; proposals that are peer reviewed but do not have a required level of institutional participation; and proposals that do not receive a peer review on the national level. The federal agencies whose programs are eligible for action fund leverage without further review at the state-level include those from the national science foundation, the national institutes of health, and a few other agencies that have a required match or participation from the institution. Those proposals not meeting the criteria for national peer review and/or a required level of participation by the institution described above will be considered according to the procedures for review established for the investment fund described in paragraph (F)(8)(b) to (F)(8)(f) of this rule.

A list of all agencies and/or programs considered to have national peer review will be available from the board of regents.

(d) Action fund commitments are conditional and pledged in support of a specific project proposal and for a limited period of time. If the designated sponsor does not support the proposal within the stipulated period of time, the pledge of support is canceled.

(e) The action fund is intended as an enhancement that strengthens a proposal that an institution would submit in any case; it is not a substitute for institutional commitment. Action funds shall be used only for capital expenditures and only to match institutional capital expenditures of an equal or greater amount; the sponsor's funds may or may not be for capital costs. Action funds shall match only cash-cost sharing.

(i) The action fund contribution may be used to replace up to fifty per cent of the institution's required match or participation.

(ii) If there is no required level of institutional participation or matching, action funds may be used to match up to fifty per cent of the institutional cost share.

(3) Request for action funds:

The request for an action fund commitment should include the following four components: a letter from the institutional liaison(s); a summary or abstract of the most current draft of the proposal narrative and the proposal budget; a separate budget showing the commitment of all parties including the action fund and the sponsor(s); and a brief narrative describing the consortia arrangements (if applicable), the project's impact on the strategic needs of the state together with a description of the role that it will have in addressing the human resources needs of the discipline(s) involved described in the section on educational activities, paragraph (G) of this rule.

(a) Institutional letter: The letter shall be signed by the institutional liaison(s) to the action fund and must request a specific amount of money from the fund. The project title and principal investigator and/or project director's name, address, and telephone number(s) shall be listed to enable the regents' staff to ask questions during the review period. The institution shall propose a time limit for the pledged support; typically this will coincide with the sponsor's stated award date.

(b) Proposal: A summary or abstract of the most recent version of the proposal narrative shall be attached to the request. The narrative shall include sufficient information for the staff to identify the nature of the research project or program being proposed and the work plan, etc. A copy of the full proposal shall be available if requested by the board's staff. A copy of the proposal's budget shall be included.

(c) Budget: A separate budget shall be prepared which identifies the contributions of the agency, institution, and action fund to the total project costs. The budget shall identify the major areas of expenditure.

(d) Narrative: A brief narrative shall be included which describes the project's impact on the strategic needs of the state, including its quality of life; a description of the role of the project in addressing the human resources needs of the discipline(s) involved described in the section on educational activities, paragraph (G) of this rule; and any consortia arrangements or planning involved in the project's activities.

(4) Action fund proposal review

(a) All requests for required-match peer-reviewed grants shall be received by the board of regents no later than three weeks before the sponsoring agency's published deadline for receipt of proposals. Proposals will be accepted up to seven working days before the agencies' deadlines in extraordinary circumstances. Requests received after that time shall not be considered. Requests for non-peer reviewed grants or those not requiring a match by the institution shall be received at least five weeks before the sponsoring agency's published deadline.

(b) Required matching, peer-reviewed fund proposals: requests for action fund support for a portion of a required match shall be reviewed by the staff with the advice of the board of regents' Academic and special programs committee and the university research officers and two college representatives to determine if the request follows the guidelines described in paragraphs (F)(3)(a) to (F)(3)(d) of this rule and meets the criteria of peer-reviewed and requiring a institutional match. The staff shall forward a recommendation to the chancellor.

(c) A copy of the "Request for Proposals" or "Program Announcement" and description of the peer review procedures shall be available for regents' staff review.

(d) Non-required match or non-peer reviewed fund proposals: Requests for action fund support for proposals not requiring a match and/or not receiving a peer review shall be reviewed following the procedures outlined for investment fund requests and described in paragraphs (F)(8)(b) to (F)(8)(f) of this rule.

(e) A report of all applications for and awards made under these procedures shall be forwarded to the President of the Ohio senate and the speaker of the Ohio house of representatives on a regular basis.

(5) The investment fund is a loan program which assists, in a timely fashion, in major construction and/or renovation to campus research facilities. The funds shall be distributed in one or more competitive rounds each year, with total funding limited to the amount currently allocated for that purpose by the board of regents.

(6) Limits and conditions of support for investment fund proposals

(a) Categories of support are limited to major construction or renovation of campus research buildings or that portion of campus buildings which shall be used principally for research and research-oriented instructional activities.

(b) Minimum investment fund participation shall be two hundred thousand dollars; the maximum shall be three million dollars.

(c) Investment fund loans shall be interest-free.

(d) Loans shall normally be repaid over a ten-year period from the time funds are available. Institutions shall have the option of delaying the initial payments for one to three years, although in such cases the yearly payment must be at a higher rate to permit repayment within the remaining portion of the ten-year period. A delayed payment schedule shall be proposed at the time of the original request. In the case of very large loans (in excess of two million five hundred thousand dollars), a fifteen-year repayment schedule may be considered.

(e) Repayments of loans shall be deposited to the higher education improvement fund (fund 034).

(f) A maximum for any one institution's share of the total investment fund may be set by the board.

(g) Priority shall be given to investment fund proposals for facilities and research groups which have attracted other, non-state funds and which clearly add to the competitiveness of the state's institutions for future research funding.

(7) Investment fund grants for multi-campus research consortia

(A) In order that collaborative research projects may be encouraged, the board of regents may make investment grants to multi-campus research consortia. The conditions and limitations of paragraphs (F)(6)(a), (b), (f) and (g) of this rule apply. These grants will not require repayment.

(B) Priority shall be given to investment grant proposals from multi-campus research consortia that demonstrate a high probability of attracting future federal or other external funding and that combine state resources in a manner that increases the competitiveness of Ohio universities in external grant funding competitions.

(C) Projects from multi-campus research consortia should include an evaluation component to assess such cost-effectiveness.

(D) Any consortium must be one that is legally constituted and that complies with all applicable Ohio law.

(8) Requests for investment funds

A request for investment funds shall include at least three components: a letter and a narrative report from the institution describing the project; a copy of any feasibility or planning studies that outline the construction and/or renovation planned; and a total project budget.

(a) Institutional letter: The letter shall be signed by the chief research and fiscal officers of the institution and shall request a specific amount of money from the investment fund. The project name and a brief description of the nature and timetable for the project and for repayment shall be included in this letter.

Narrative report: The narrative report shall include a description of: the nature of the research activities to be housed in the facility; the scholarly merit of these activities; the project's impact on the strategic needs of the state; the role of the project in addressing the human resource needs of the discipline(s) involved as described in the section on educational activities, paragraph (G) of this rule; the role of the investment in leveraging additional resources and attracting long-term economic development for Ohio; and the funding and research opportunities a positive board decision would provide the institution.

(b) Studies: Copies of any feasibility and/or planning studies that outline the construction and/or renovation planned for the specific facilities shall be included.

(c) Budget: A separate budget shall be prepared which identifies the costs for planning and construction/renovation of the facilities and the timetable for the project.

(9) Investment fund proposal review

(a) The distribution of monies from the investment fund shall be made in one or more competitive rounds each year. A request for proposals shall be issued by the board of regents before the review.

(b) All proposals shall be reviewed by the board of regents staff with the advice of the university research officers and two college representatives acting as an advisory council to the board and, if necessary, statewide research advisory councils. The research Officers shall advise the board on issues of:

(i) The level of support requested, which can include an analysis of the adequacy of the funds to support the proposed activities or facilities and the strength of institutional commitment;

(ii) The collaborative opportunities of the project, which can include an analysis of the project planning process, research-oriented instructional activities, or potential for cooperative use of the facilities and/or instrumentation;

(iii) The scientific merit of the activity which can include the value of the proposed activities to the discipline and/or the strengthen of Ohio's research infrastructure.

(c) The board's staff and the research officers' council may seek a consultant to help determine scientific merit and/or the feasibility of plan.

(d) Research advisory councils may assist the board on questions of scientific merit; collaborative opportunities; and the level of support as described in paragraph (F)(8)(b) of this rule. The statewide research advisory councils may be convened in broadly defined disciplinary groups of faculty and researchers from the state-assisted colleges and universities which are eligible for action and investment funds.

(e) The board's staff shall make recommendations for support, including funding levels, to the chancellor who shall forward recommendations to the board.

(f) A report of all applications for and awards made under these procedures shall be forwarded to the president of the Ohio senate and the speaker of the Ohio house of representatives on a regular basis.

(G) Educational activities

Colleges and universities proposing to use action and investment fund monies are required to describe the contribution the project makes to research-oriented instructional activities and development of human resources. This statement may include, but is not limited to, the role of research in student training, course preparation, and seminars. Special effectiveness or achievement in the area of producing professionals from groups presently under-represented in the discipline should be described. Finally, the descriptions must specify actions to be taken by the proposing program.

R.C. 119.032 review dates: 07/19/2005 and 07/19/2010

Promulgated Under: 119.03

Statutory Authority: 3333.04

Rule Amplifies: n/a

Prior Effective Dates: 2/1/91, 3/2/90

3333-1-22 Nurse education assistance loan program.

(A) Intent and authority

(1) It is the intent of the chancellor of the board of regents in promulgating this rule to establish and administer a nurse education assistance loan program which will provide financial assistance to eligible students while providing an incentive for these students to engage in the practice of nursing in the state of Ohio upon completion of their academic programs.

(2) This rule is adopted under the authority conferred upon the

chancellor by section 3333.28 of the Revised Code.

(B) Definitions

For purposes of this rule:

(1) A "loan" shall mean the total principal amount of all nurse education assistance loan program funds awarded to a student plus interest assessed by the chancellor.

(2) An "approved nurse education program" shall mean a prelicensure nurse education program offered by an institution which is approved by the Ohio board of nursing under section 4723.06 of the Revised Code or a postlicensure nurse education program approved by the chancellor under section 3333.04 of the Revised Code or offered by an institution holding a certificate of authorization issued by the chancellor under Chapter 1713. of the Revised Code.

(3) An "institution" shall mean a hospital school of nursing, or a private college, university or vocational school which offers an approved nurse education program.

(4) An "Ohio resident" shall mean any person who meets the requirements of rule 3333-1-10 of the Administrative Code. Verification of Ohio residency for these purposes shall be provided by the institution in which the student is enrolled. Institutions shall provide students with a fair and adequate opportunity to present proof of their Ohio residency.

(5) "Half-time enrollment" shall mean an academic course load which is at least one-half of the normal full-time course load as determined by the institution in which the student is enrolled.

(6) "Educational expenses" shall mean charges assessed by the student's institution for instructional and general fees ("tuition"), laboratory fees, books and supplies, room and board, transportation, and other miscellaneous expenses.

(7) "Expected family contribution" shall mean the measure of a student's or a family's ability to contribute to the cost of education from the student's or the family's financial resources. An expected family contribution for these purposes shall be calculated by means of a federally approved need analysis formula designated by the chancellor.

(8) The "direct clinical practice of nursing" shall mean full-time employment in an occupation which requires licensure by the Ohio board of nursing and in which the employee is required to apply the knowledge and skills gained in her or his nurse education program.

(9) A "deferment" is an agreement between the borrower and the chancellor which authorizes the borrower to temporarily stop performance of the service obligation or repayment of the loan during specified periods of time. No interest shall accrue during any deferment period.

(10) "Total service obligation" shall mean a period of time--four consecutive years for those students completing a postlicensure program of study and five consecutive years for those students completing a prelicensure program of study--following completion of the approved nurse education program during which time the borrower is employed in the clinical practice of nursing in the state of Ohio.

(11) The "designated agency" shall mean a public agency or private firm which provides services to the board of regents, under a contractual agreement, for the processing of loans which are in repayment, delinquent or in default.

(C) Eligibility requirements

To be eligible to receive a nurse education assistance loan a student must:

(1) Be an Ohio resident.

(2) Be a citizen, a national, or a permanent resident of the United States; or be in the United States for other than a temporary purpose and intend to become a permanent resident; or be a permanent resident of the Trust Territory of the Pacific Islands or the Northern Mariana Islands.

(3) Be enrolled in or be accepted for enrollment in an approved nurse education program for at least half-time study. The chancellor may require documentary evidence of compliance with this requirement.

(4) Provide an expected family contribution value which has been determined in accordance with paragraph (B)(7) of this rule.

(5) Show evidence of an intention to engage in the direct clinical practice of nursing in the state of Ohio upon completion of her or his academic program.

(6) Not owe a refund to, or be in default on, any state educational loan program or any federal educational loan or grant program covered under Title IV of the Higher Education Act, as amended.

(D) Application procedures

(1) Application forms shall be developed and distributed by the chancellor. Completed application forms shall be submitted to the chancellor's staff for processing.

(2) The chancellor shall establish and disseminate a timetable for application and loan processing.

(3) The applicant is responsible for completion of an application/promissory note. A statement of rights and responsibilities must also be signed prior to the disbursal of loan funds. By signing the application/promissory note, the borrower promises to repay the loan in accordance with conditions set forth in the document.

(4) If an applicant is under the age of eighteen or has not established a favorable credit record, the chancellor may ask that the applicant seek a comaker in the making of a loan. The inability to secure a comaker will not, however, preclude any applicant from consideration.

(5) Each applicant shall be required to report an expected family contribution on the application form. The calculation of a family contribution requires the completion of a federally approved need analysis application prior to completion of the nurse education assistance loan application. Documentation of the family contribution must be provided.

(E) Awarding loans

(1) Each year the chancellor shall determine the number of loans which are available to be awarded. Until January 1, 2012, available loans shall be apportioned by professional category in the following manner:

(a) Fifty per cent of available loan funds shall be awarded as loans registered nurses who are enrolled in postlicensure nurse education programs and have submitted a letter to the chancellor stating their intent to practice as a faculty member at a prelicensure or postlicensure program for nursing in the state upon completion of the academic program. .

(b) Twenty-five per cent of available loan funds shall be awarded to students enrolled in prelicensure nurse education programs for registered nurses.

(c) Twenty-five per cent of available loan funds shall be awarded to students enrolled in nurse education programs as determined by the chancellor, with preference given to programs aimed at increasing enrollment in an area of need.

(2) After January 1, 2012, after consultation with the board of nursing, available loans shall be apportioned in accordance with division (A) of section 3333.28 of the Revised Code at the chancellor's discretion and based upon the chancellor's review of the state's needs for licensed nurses and nurse educators. Following a two-week public comment period, the chancellor will post the apportionment of loans for the following academic year on the chancellor's web site in January of each calendar year. For purposes of this rule, consultation with the board of nursing may include, but is not limited to, submission of recommendations, a report, or findings by the board of nursing.

(3) If sufficient applications are not received to fully meet the established categorical apportionment of available loan funds, remaining loan funds shall be awarded without regard to category on the basis of relative financial need as evidenced by the expected family contribution.

(4) If sufficient funds are available, as determined by the chancellor, loan assistance will be awarded to all eligible applicants. If available funds are not sufficient to award loans to all eligible applicants, as determined by the chancellor, all eligible applications received prior to the established deadline will be ranked within each category on the basis of relative financial need as evidenced by the expected family contribution with preference given to the lowest expected family contribution in the awarding of loans. The chancellor may consider other factors in the ranking of applications.

(5) The maximum annual loan amount for each student shall be determined by the chancellor and shall not exceed three thousand dollars for those students completing a prelicensure program of study and shall not be less than five thousand dollars for those students completing a postlicensure program of study. In determining the annual amount of each loan, the chancellor shall consider the student's educational expenses, the expected family contribution and other financial aid awarded to the student. Loans may be awarded for a maximum of twelve quarters or eight semesters or the equivalent. The total aggregate loan amount shall not exceed twelve thousand dollars.

(F) Loan disbursal

(1) If the applicant has not been accepted into an approved nurse education program at the time of application for the loan, documentary evidence must be provided by the applicant of such acceptance before the loan is disbursed.

(2) After completion of the application/promissory note and statement of rights and responsibilities, and upon receipt of eligibility verification, the chancellor shall disburse the funds to the borrower's institution to cover educational expenses.

(3) Loan benefits shall not be disbursed during any term in which the borrower is not in good academic standing as defined by her or his institution. A borrower who is not in good academic standing shall be required to bring her or his academic record up to the required standard within two academic terms or the loan shall go into repayment.

(4) The loan shall be disbursed in equal portions over two or three terms of the academic year.

(G) Influence on other awards

The receipt of a nurse education assistance loan shall not affect a student's eligibility for assistance, or the amount of that assistance, granted under section 3333.12 2, 3333.26 , 5910.03 , 5910.032 or 5919.34 of the Revised Code.

(H) Loan renewal

(1) A loan may be renewed for a maximum of three years following the year in which the initial loan is made. To qualify for loan renewal, the borrower must continue to meet all eligibility requirements set forth in paragraph (D) of this rule and must maintain an academic record which places her or him in good academic standing as defined by the institution.

(2) Completion of an application/promissory note is required each year for loan renewal.

(3) The chancellor shall, in consultation with the Ohio board of nursing, determine a reasonable percentage of funds to be held in reserve in order to provide loan renewals for continuing students.

(I) Loan forgiveness

(1) After graduation from an approved nurse education program, the borrower may be eligible for debt cancellation-- at a rate of twenty per cent per year, for a maximum of five years for students in a prelicensure program of study and a rate of twenty-five percent per year, for a maximum of four years for students in a postlicensure program of study--for each year in which the borrower is employed full-time in the direct clinical practice of nursing or as a faculty member for a prelicensure or postlicensure program for nursing in the state of Ohio.

(2) To qualify for loan forgiveness the borrower must secure full-time employment in the direct clinical practice of nursing in Ohio, or as a faculty member for a prelicensure or postlicensure program for nursing, within a period not to exceed six months following graduation from the approved nurse education program.

(3) While fulfilling the service obligation, the borrower shall be required to provide periodic evidence of full-time employment as required by the chancellor.

(4) A deferment of the service obligation may be granted for up to one year for any circumstances which constitute an undue hardship, as judged by the chancellor. These circumstances may include serious illness, pregnancy, disability, inability to secure employment or involuntary termination of employment.

(5) Borrowers who do not complete an approved nurse education program are not eligible for loan forgiveness and must repay the loan in full, plus interest.

(J) Repayment

(1) The chancellor shall have the authority to enter into a contractual agreement with a public or private agency for services needed to manage the repayment of nurse education assistance loans and the collection of delinquent or defaulted loans.

(2) The interest rate on the loan shall be set by the chancellor.

(3) Repayment of the principal amount of the loan and interest shall be deferred during the following periods:

(a) While the borrower is enrolled in an approved nurse education program, provided that the borrower continues to meet all eligibility requirements;

(b) While the borrower is seeking employment to fulfill the service obligation, during a period not to exceed six months;

(c) While the borrower is fulfilling the service obligation;

(d) During a period not to exceed one calendar year, after which time a borrower has failed the state nursing licensing examination for the first time. This deferment period shall end thirty days after the borrower passes the state nursing licensing examination on the second attempt. If the borrower fails to pass the state nursing licensing examination on the second attempt, the loan plus interest shall go into repayment immediately;

(e) During an authorized deferment.

(4) Repayment of the outstanding principal amount of the loan plus interest shall be made to the board of regents or the designated agency and shall begin on the occasion of one or more of the following events:

(a) The borrower drops out of school without an approved deferment;

(b) The borrower is not in good academic standing for more than two consecutive terms;

(c) The borrower drops out of the approved nurse education program;

(d) The borrower fails to complete the total service obligation.

(5) The terms of repayment, including the length of the repayment period and the date on which the first payment is due, shall be agreed upon by the borrower and the chancellor or the designated agency and shall be set forth in a disclosure statement. The disclosure statement shall also include the total amount of interest owed on the loan.

(6) The total repayment period shall not exceed ten years.

(7) The minimum monthly repayment amount shall be determined by the chancellor or the office of the Ohio attorney general or the designated agency, as applicable.

(K) Delinquency and default

(1) A borrower is delinquent when a loan payment is a minimum of thirty days late. The chancellor or the designated agency shall use diligent efforts to collect on a delinquent loan and may seek assistance from the office of the Ohio attorney general.

(2) A loan is considered to be in default when it is one hundred twenty days delinquent. A loan which is in default shall be declared due in full and the borrower shall be disqualified from any debt cancellation benefits. The chancellor or the designated agency shall use diligent efforts to collect on a loan which is in default and may seek assistance from the office of the Ohio attorney general.

(L) Cancellation

(1) The entire debt or service obligation shall be canceled if:

(a) The borrower dies, or

(b) The borrower becomes totally and permanently disabled and the borrower provides a statement from a licensed physician verifying this condition.

(M) Promoting the program

The chancellor shall promote public awareness of the nurse education assistance loan program by disseminating information to high school guidance offices, college financial aid offices and community service agencies. In addition, special efforts shall be made to promote the program and the nursing profession among groups who have been historically underrepresented in nursing careers.

Effective: 12/18/2010
R.C. 119.032 review dates: 08/13/2010 and 12/18/2015
Promulgated Under: 119.03
Statutory Authority: 3333.28
Rule Amplifies: 3333.28
Prior Effective Dates: 8/21/00, 12/22/03

3333-1-23 To approve or disapprove the creation of service districts in Ohio for two-year campuses.

(A) Intent and authority

(1) It is the intent of the chancellor of the Ohio board of regents in promulgating this rule to establish standards for the approval or disapproval of service districts for two year colleges and university branches in Ohio as defined in sections 3333, 3354, 3357, and 3358 of the Revised Code.

(2) This rule is adopted under authority conferred upon the chancellor by section 3333.04 of the Revised Code .

(B) Definitions

For purpose of this rule:

(1) "Service districts" shall be defined as the statutory districts for technical colleges, community colleges, state community colleges and university branch districts as defined in sections 3354.01 , 3355.01 , 3357.01 and 3358.01 of the Revised Code.

(2) The "nine service expectations" as used in this rule shall mean the nine education service standards for two-year colleges and campuses as set forth in divisions (A)(1) to (A)(9) of section 3333.20 of the Revised Code.

(3) "Distinct and non-overlapping" as used in this rule shall mean technical college, community college, state community college and university branch districts which are distinct in that they consist of one county, school district or educational service center or several contiguous counties, school districts or educational service centers and are not overlapping in that they are not part of another service district.

(4) "Absence of adequate service delivery" is defined as failure by a technical college, community college, state community college or university branch to meet the nine service expectations specified in divisions (A)(1) to (A)(9) of section 3333.20 of the Revised Code.

(5) "Failure to serve effectively" is defined as failure by a technical college, community college, state community college or university branch to meet, to the satisfaction of the chancellor, for two consecutive biennia all of the nine service expectations specified in divisions (A)(1) to (A)(9) of section 3333.20 of the Revised Code, in each of the four years.

(C) Approval or disapproval of the creation of service districts for two year campuses.

The chancellor will apply the following process and standards in deciding whether to approve or disapprove the creation of service districts for higher education:

(1) The college or university branch for which the new service district is proposed shall prepare a self study. The self study shall address the higher education needs of community residents, the higher education needs of the community at large and the higher education needs of the state. The self study shall clearly document the existence of unmet higher education needs, and demonstrate the capability of the proposed service provider to deliver the nine service expectations.

(2) The staff of the chancellor will review and evaluate the self study. The staff will consider in its review an evaluation of the academic quality and integrity of the program proposed for the new district; overall financial viability of the proposed district; the impact of the new district on other higher education institutions, both public and independent; and community and legislative support for the new district.

(3) In reaching a final decision on whether to approve or disapprove a service district. The chancellor will consider the following:

(a) The evaluation by the chancellor's staff regarding the self-study;

(b) Whether the proposed service district is distinct and non-overlapping;

(c) An absence of adequate service delivery or failure to serve effectively by current providers;

(d) Ability to improve the delivery of higher education services;

(e) Evidence of adequate current operating revenue based on projected enrollment so as to assure access to a quality education at an affordable cost and that said revenues approximate revenues that would be available with a local tax levy;

(f) Whether the population of the proposed district meets the minimum statutory requirements;

(g) Present and potential student enrollment;

(h) Present and potential higher education facilities in the district;

(i) Such other factors as pertain to the higher education needs of the district.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/20/2010 and 12/18/2015
Promulgated Under: 111.15
Statutory Authority: 3333.04
Rule Amplifies: 3354.02 , 3357.02 , 3358.02
Prior Effective Dates: 4/5/1999

3333-1-24 Local administration of capital projects receiving over four million dollars in state capital appropriations.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents in section 3345.50 of the Revised Code.

(B) Background

(1) Section 3345.50 of the Revised Code allows institutions to locally administer any capital project for which the total amount of funds expected to be appropriated by the general assembly does not exceed four million dollars.

(2) Section 3345.50 of the Revised Code provides for the board of regents and department of administrative services to grant local administration authority for capital projects which will exceed four million dollars in state capital appropriations on a case by case basis, subject to the criteria established by this rule.

(C) Definitions

(1) "Institution" means a state university, a state community college and the northeastern Ohio universities college of medicine.

(2) "Capital project" means a project which consists of construction, reconstruction, improvement, renovation, enlargement, or alteration, or other structural improvements, or the installation of mechanical, electrical, or telecommunication systems or other equipment or material supplied therefore.

(3) "Contract documents" means the state of Ohio standard requirements for public facility construction and the related agreements for professional design services for architects, engineers and construction managers.

(4) "Institutional Designee" means the one principal contact designated by the institution for all capital projects for which local administration has been granted. The "Institutional Designee" may be the university architect or engineer, director of capital facilities or an institution vice president, empowered by the institution with a level of authority similar to the state architect.

(D) Process and criteria for permitting local administration of capital projects which exceed four million dollars in state capital appropriations

(1) Biennial application

(a) Capital projects which receive or are expected to receive state capital appropriations over one or more bienniums in excess of four million dollars may be locally administered provided the following criteria are met as determined by the chancellor of the board of regents or designee and the director of administrative services or designee. If both do not concur, the institution shall be notified of the reason. If approved, local administration shall be granted for the life of the project, subject to paragraph D(2)(b) of this rule.

(b) Except as provided in paragraph (D)(3) of this rule, each biennium, an institution may request local administration of such capital projects.

(c) As part of the biennial process for granting local administration authority, the institution shall submit the following for the review and approval by the chancellor of the board of regents or designee and the director of administrative services or designee. If both do not concur, the institution shall be notified of the reason.

(i) The name and credentials supporting the individual serving as the "Institutional Designee" for both ongoing and new capital projects.

(ii) The anticipated staffing levels for both ongoing and new capital projects.

(iii) Evidence of the institution's previous project management experience. The institution shall submit a list of locally administered projects; each project's total budget amount; the square footage of each project (if applicable); each project's schedule; each project's administration team; and the current status of each including any pending claims.

(iv) A listing of projects for which local administration authority is requested. The list shall include the name of each project; a description of each project; total budget amount for each project; level of local funding contributed to each project; expected start date for each project and the project administration team for each project.

(v) Any other information requested by the chancellor of the board of regents or designee or the director of administrative services or designee.

(vi) If staffing or material conditions change once local administration authority has been granted, the institution shall notify the chancellor of the board of regents or designee and the director of administrative services or designee.

(2) Revocation of local administration

(a) Revocation of the approval to locally administer a capital project may occur if an institution fails to demonstrate an ability to properly manage their capital projects and/or fails to comply with the requirements of this rule during the capital project.

(b) If the director of the department of administrative services or designee with concurrence of the chancellor of the board of regents or designee determines that an institution has failed to demonstrate an ability to properly manage their capital projects and/or has failed to comply with the requirements of this rule then project administration shall be assigned to the office of the state architect in the department of administrative services.

(3) Mid cycle applications

(a) An institution may request local administration authority for projects not approved as part of the biennial process, either because the institution had not requested local administration authority or because the institution has responded to the problem(s) causing earlier denial.

(b) Once the office of the state architect in the department of administrative services has begun administration of a capital project the granting of local administration is at the discretion of the director of administrative services or designee and the chancellor of the board of regents or designee, subject to the requirements of this rule.

(E) Requirements for the local administration of capital projects which exceed four million dollars in state capital appropriations

(1) An institution shall use the contract documents developed by the department of administrative services, as applicable, under Chapter 153. of the Revised Code.

(a) An institution may modify the contract documents where necessary for the specific needs of a particular project and to identify the institution as the contracting entity.

(b) The department of administrative services shall be notified in advance of any modifications of the contract documents. The department of administrative services may disapprove such modifications.

(2) An institution shall comply with all applicable state laws governing capital projects, including, but not limited to, Chapter 153. of the Revised Code; sections 9.31 to 9.333 of the Revised Code.

(3) An institution shall advertise for the selection of an architect, engineer, planner, or construction manager for a capital project in the Ohio register. The capital project may also be advertised in the local media.

(4) An institution shall comply with sections 153.06 and 153.07 of the Revised Code regarding advertisement for construction. The institution shall also list bids on the Ohio business gateway web site.

(5) An institution shall comply with the statutory requirements for the establishment of lien escrow accounts and the processing of contractor payment requests subject to any outstanding liens.

(6) An institution shall use the alternative dispute resolution process established by the department of administrative services for the resolution of construction disputes.

(F) Project scope and funding

(1) Expenditures must be capital improvements.

(2) The project scope must meet the intent and purpose of the appropriation.

(3) The location and positioning of the project should be in accord with a campus master plan or, in the absence of a master plan, should harmonize with the existing campus environment.

(4) The size, capacity and arrangement of the project should meet projected enrollment and programmatic needs.

(5) Project design should provide maximum flexibility to meet future facility requirements.

(6) Project design should give priority to development or renovation which yields the maximum amount of usable or net assignable space and minimum amount of unusable or non-assignable space.

(7) Project design must be such that the project can and will be completed, including necessary equipment and furnishings, and ready for full occupancy without exceeding appropriated funds. Should the project budget exceed appropriated funds, the institution must either supplement funding from its own resources or revise the scale or scope of the project to bring the budget into balance with appropriated funding. Project design should take into account the potential need to eliminate or defer project elements by establishing alternate construction packages which may be accepted or rejected, based on budgetary constraints. If a program plan is approved containing elements which could lead to costs exceeding appropriated funds, such approval shall not imply that any additional state funding, either through transfers from outer appropriations or from future appropriations, is or will be supported by the chancellor.

(G) Authorization to levy fees by the department of administrative services and the institution.

(1) The director of the department of administrative services or designee, with the concurrence of the chancellor of the board of regents or designee, may assess an annual fee for general assistance applicable to all capital projects for which local authority has been granted.

(a) Upon request from the institution, additional services may be provided by the office of the state architect in the department of administrative services for an additional negotiated fee.

(2) Institutions may assess a local administration fee for a capital project for which local administration authority has been granted. The fee shall not exceed 1.5 per cent of actual construction costs.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/28/2010 and 12/18/2015
Promulgated Under: 119.03
Statutory Authority: 3345.50
Rule Amplifies: 3345.50
Prior Effective Dates: 5/28/1999 (Emer), 7/22/1999

3333-1-25 [Rescinded]Ohio 12th grade proficiency tests scholarship program.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/21/2010
Promulgated Under: 119.03
Statutory Authority: 119.03
Rule Amplifies: 3365.15
Prior Effective Dates: 9/20/1999

3333-1-26 [Rescinded]Student workforce development grant program.

Effective: 12/18/2010
R.C. 119.032 review dates: 07/21/2010
Promulgated Under: 119.03
Statutory Authority: 3333.29
Rule Amplifies: 3333.29
Prior Effective Dates: 6/15/2000

3333-1-27 Membership and participation in OhioLink.

(A) Authority

This rule is adopted under authority conferred upon the chancellor of the Ohio board of regents by division (U) of section 3333.04 of the Revised Code.

(B) Purpose of the program

OhioLink was established in order to support and enhance higher education library collections in the state of Ohio. OhioLink's principal goals for its members are to enhance access and use of all materials held in public and private colleges, universities, and other institutions of higher education, enhance access to electronic library resources that serves the higher education community, and ensure reciprocity and sharing of library materials among the participating groups.

(C) Membership eligibility

(1) All Ohio public colleges and universities, the university of Dayton and Case Western Reserve university, and the state of Ohio library; and

(2) Other not-for-profit libraries upon invitation by OhioLink with the consent of the chancellor.

(D) OhioLink may recommend to the chancellor to permit Ohio libraries, institutions or organizations, other than those set forth in paragraph (C) of this rule, to benefit from OhioLink's electronic library resources . The chancellor may permit this participation if the chancellor determines that such a participatory relationship does not compromise or detract from the principal goals of OhioLink, is beneficial to the state of Ohio, and involves an appropriate financial contribution to the operations of OhioLink.

Effective: 11/22/2010
R.C. 119.032 review dates: 07/21/2010 and 11/22/2015
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3333.04
Prior Effective Dates: 12/14/2000

3333-1-28 Criteria for local administration by institutions of higher education.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents in division (B) of section 3345.51 of the Revised Code upon consultation with the department of administrative services and representatives of institutions of higher education. This rule shall only apply to capital projects exceeding four million dollars in state capital appropriations dollars which are locally administered pursuant to sections 123.24 and 4115.51 of the Revised Code.

(B) Definitions

(1) "Institution" means a state university, a state community college, and the northeastern Ohio universities college of medicine.

(2) "Capital project" means a project exceeding four million dollars in state capital appropriations dollars which consists of construction, reconstruction, improvement, renovation, enlargement, or alteration, or other structural, mechanical, electrical, or telecommunication improvements, or the installation of heating, cooling, or ventilating plant or other equipment or material supplied therefore.

(3) "Contract documents" means the standard conditions of contract for construction and the agreements for professional services for design associates and construction managers.

(C) Institution requirements

Institutions of higher education, when administering capital facility projects under the authority of section 3345.51 of the Revised Code, shall comply with the following criteria:

(1) The institution has been certified in accordance with section 123.24 of the Revised Code; and

(2) The board of trustees of the institution passes a resolution stating its intent to comply with section 153.13 of the Revised Code and the guidelines established in accordance with section 153.16 of the Revised Code.

(3) The institution maintains adequate staffing levels and expertise consistent with the number of capital projects being administered by the institution. In the event staff vacancies occur in positions requiring training for initial certification, the staff replacement shall attend the certification program offered by the department of administrative services at the earliest reasonable opportunity. Institution staffing shall include the following:

(a) Institutional designee. The institutional designee is the one principal contact designated by the institution. The institutional designee may be the university architect or engineer, director of capital facilities, or an institution vice president empowered by the institution with a level of authority similar to the state architect.

(b) Project manager. The project manager is an individual responsible for the capital project from inception through construction completion, contract closeout and warranty. The project manager should be a licensed design professional, with a degree in architecture, engineering, planning or construction management, or have substantial field experience in managing public construction projects. Due to differing organizational structures, the project manager may also assume the role(s) of the project coordinator.

(c) Project coordinator. The project coordinator is the individual responsible for executing and tracking capital funded contracts, preparation of controlling board criteria for and tracking of funding releases, verification of costs and approval of payments based on the project manager's prior review, processing change orders, and supervision of the bidding process. Due to the differing organizational structures, the functions of project coordinator may be accomplished by the institutional designee, project manager, fiscal officer or the fiscal staff.

(d) Fiscal officer and staff. The fiscal staff is support staff responsible for capital projects accounting including the management of escrow accounts.

(4) An institution shall use the contract documents developed by the department of administrative services and the Ohio attorney general, as applicable, under Chapter 153. of the Revised Code.

(a) An institution may modify the contract documents where necessary for the specific needs of a particular project and to identify the institution as the contracting entity.

(b) The department of administrative services shall be notified in advance of any modifications of the standard conditions of contract for construction documents. The department of administrative services may disapprove such modifications.

(5) An institution shall comply with all applicable state laws governing capital projects, including, but not limited to, Chapter 153. of the Revised Code; sections 9.31 to 9.335 of the Revised Code; and

(6) An institution shall advertise for the selection of a design associate for a capital project in the Ohio register. The capital project may also be advertised in the local media.

(7) An institution shall comply with sections 153.06 and 153.07 of the Revised Code regarding advertisement for construction; and

(8) An institution shall comply with the statutory requirements for the establishment of lien escrow accounts and the processing of contractor payment requests subject to any outstanding liens; and

(9) Within sixty days after the effective date of the section of an act in which the general assembly initially makes an appropriation for the project, the board of trustees of the institution, or the board's designee shall notify the chancellor in writing of its request to administer the capital project.

(D) Project scope and funding

(1) Expenditures must be for capital improvements.

(2) The project scope must meet the intent and purpose of the appropriation.

(3) The location and positioning of the project should be in accord with a campus master plan or, in the absence of a master plan, should harmonize with the existing campus environment.

(4) The size, capacity and arrangement of the project should meet projected enrollment and programmatic needs.

(5) Project design should provide maximum flexibility to meet future facility requirements.

(6) Project design should give priority to development or renovation which yields the maximum amount of usable or net assignable space and a minimum amount of unusable or non-assignable space.

(7) Project design must be such that the project can and will be completed, including necessary equipment and furnishings, and ready for full occupancy without exceeding appropriated funds. Should the project budget exceed appropriated funds, the institution must either supplement funding from its own resources or revise the scale or scope of the project to bring the budget into balance with appropriated funding. Project design should take into account the potential need to eliminate or defer project elements by establishing alternate construction packages which may be accepted or rejected, based on budgetary constraints. If a program plan is approved containing elements which could lead to costs exceeding appropriated funds, such approval shall not imply that any additional state funding, either through transfers from outer appropriations or from future appropriations, is or will be supported by the chancellor.

(8) Design must comply with applicable building and safety codes.

(9) Design should seek ways to minimize increases in operating costs or, if possible, reduce operating costs.

(10) Design should maximize energy efficiency to provide for energy resource conservation.

(11) If not already accessible, renovated and new facilities should meet the requirements of the Americans with Disabilities Act.

(E) Authorization to levy fees by the institution

Institutions may assess a local administration fee for a capital project administered under the authority of section 3345.51 of the Revised Code. The fee shall not exceed 1.5 per cent of actual construction costs.

Effective: 02/06/2014
R.C. 119.032 review dates: 11/22/2013 and 02/06/2019
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3345.51
Prior Effective Dates: 6/11/2007

3333-1-29 Biennial audits of capital projects.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents in division (C) of section 3345.51 of the Revised Code upon consultation with representatives of institutions of higher education. This rule shall only apply to capital projects which are locally administered pursuant to sections 123.24 and 3345.51 of the Revised Code.

(B) Definitions

(1) "Institution" means a state university, a state community college, and the northeastern Ohio universities college of medicine.

(2) "Capital project" means a project exceeding four million dollars in state capital appropriations dollars which consists of construction, reconstruction, improvement, renovation, enlargement, or alteration, or other structural, mechanical, electrical or telecommunications improvements, or the installation of heating, cooling, or ventilating plant or other equipment or material supplied therefore.

(C) Audit requirements

(1) Each institution shall engage an auditor to perform a biennial audit pursuant to division (C) of section 3345.51 of the Revised Code to determine whether the institution has used its certification issued under section 123.24 of the Revised Code appropriately.

(2) A minimum of ten per cent of all capital projects administered by the institution in a given biennium which are locally administered pursuant to sections 123.24 and 3345.51 of the Revised Code shall be audited. The auditor shall determine which projects to audit, but the projects should vary in size and complexity.

(3) The institution shall provide to the auditor all project records for projects which are audited.

(4) The audit shall evaluate whether the institution complied with all project requirements set forth in Chapters 9., 123. and 153. of the Revised Code in administering its capital improvement projects.

(5) Upon completion of the audit, the final report shall be supplied to the chancellor of the board of regents or designee and to the state architect or designee within thirty days of the time the final report is received by the institution. Along with submission of the audit report, the institution may submit a letter explaining or refuting findings contained in the audit report.

Effective: 02/06/2014
R.C. 119.032 review dates: 11/22/2013 and 02/06/2019
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3345.51
Prior Effective Dates: 6/11/2007

3333-1-30 Monitoring of capital projects.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents in division (D) of section 3345.51 of the Revised Code upon consultation with representatives of institutions of higher education. This rule shall only apply to capital projects exceeding four million dollars in state capital appropriations dollars which are locally administered pursuant to sections 123.24 and 3345.51 of the Revised Code.

(B) Definitions

(1) "Institution" means a state university, a state community college, and the northeaster Ohio universities college of medicine.

(2) "Capital project" means a project exceeding four million dollars in state capital appropriations dollars which consists of construction, reconstruction, improvement, renovation, enlargement, or alteration, or other structural, mechanical, electrical or telecommunication improvements, or the installation of heating, cooling, or ventilating plant or other equipment or material supplied therefore.

(3) "Contract documents" means the standard conditions of contract for construction and the agreements for professional services for design associates and construction managers.

(4) "Institutional Designee" means the individual designated by the institution as the one principal contact for all capital projects for which local administration has been granted. The "Institutional Designee" may be either a university architect or engineer, director of capital facilities, or institution vice president empowered by the institution with a level of authority similar to the state architect.

(C) Monitoring of capital facilities projects administered by the institutions.

As part of the biennial process for monitoring local administration, the institution shall submit the following for review by the chancellor of the board of regents or designee:

(1) Within sixty days after the effective date of the section of an act in which the general assembly initially makes an appropriation for a capital project to be administered pursuant to rule 3333-1-28 of the Administrative Code, or as requested by the chancellor of the board of regents or designee, the institution shall submit the following:

(a) The name and credentials of the individual serving as the "Institutional Designee" for both ongoing and new capital projects.

(b) The names and credentials of the staff for both ongoing and new capital projects.

(c) The names of institution staff who have received local administration certification training under section 123.24 of the Revised Code.

(d) Evidence that the institution's local administration certification granted under section 123.24 of the Revised Code is still in effect.

(e) Evidence of the institution's previous project management experience. The institution shall submit a list of locally administered projects; each project's total budget amount; the square footage of each project (if applicable); each project's schedule; each project's administration team; and the current status of each project including any pending claims.

(2) The audit reports from biennial audits conducted by the institution pursuant to division (C) of 3345.51 and rule 3333-1-29 of the Administrative Code.

(3) Any other information requested by the chancellor of the board of regents or designee.

(D) Basis for revocation

The chancellor of the board of regents may revoke the authority of an institution of higher education to locally administer capital projects under the authority of section 3345.51 of the Revised Code if any of the following occur:

(1) The department of administrative services has revoked the institution of higher education's local administration certification under section 123.24 of the Revised Code.

(2) The institution has not complied with rule 3333-1-28 of the Administrative Code; or

(3) The institution has not conducted the biennial audit in accordance with division (C) of section 3345.51 of the Revised Code and rule 3333-01-29 of the Administrative Code.

(E) Actions taken by the chancellor

In the event the biennial audit conducted by the institution reveals the institution has not materially complied with Chapters 9., 123., and 153. of the Revised Code in administering its capital projects, the chancellor may, at its discretion, take one of the following actions:

(1) Issue a written warning to the institution requesting correction of the problem within ninety days of receipt of the written warning; or

(2) Place the institution on probation for an appropriate period of time; or

(3) If the institution is already on probation, revoke the certification of the institution.

(F) Actions of an institution of higher education following revocation.

After an institution has had its certification revoked by either the department of administrative services or the chancellor, the institution shall do the following:

(1) Reapply to the department of administrative services under section 123.24 of the Revised Code; and

(2) Petition the chancellor for reinstatement of its authority under section 3345.51 of the Revised Code; and

(3) Have the board of trustees of the institution reissue its intent to be bound by the terms of section 153.13 of the Revised Code and the guidelines established pursuant to section 153.16 of the Revised Code.

Effective: 02/06/2014
R.C. 119.032 review dates: 11/22/2013 and 02/06/2019
Promulgated Under: 119.03
Statutory Authority: 3333.04
Rule Amplifies: 3345.51
Prior Effective Dates: 06/11/2007

3333-1-31 [Rescinded]Procedures to govern the allocation of state capital apporpriations for higher education purposes.

Effective: 02/06/2014
R.C. 119.032 review dates: 11/22/2013
Promulgated Under: 119.03
Statutory Authority: 3333.072
Rule Amplifies: 3333.072
Prior Effective Dates: 09/30/2006

3333-1-32 Definitions.

For purposes of the chancellor of the board of regents administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy view, or otherwise perceive.

(B) "Acquisition of new computer system" means the purchase of a "computer system", as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the agency rule addressing requirements in section 1347.15 of the Revised Code.

(C) "Computer system" means a "system", as defined by section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

(D) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the agency in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the agency confidential.

(E) "Employee of the state agency" means each employee of a state agency regardless of whether he or she holds an elected or appointed office or position within the state agency. "Employee of the state agency" is limited to the specific employing state agency.

(F) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(G) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian or legal guardian.

(H) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.

(I) "Person" means a natural person.

(J) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(K) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.

(L) "Research" means a methodical investigation into a subject.

(M) "Routine" means commonplace, regular, habitual, or ordinary.

(N) "Routine information that is maintained for the purpose of internal office administration, the use of which not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the agency for internal administrative and human resource purposes.

(O) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(P) "Upgrade" means a substantial redesign of an existing system for the purpose of providing a substantial amount of new application functionality, or application modifications that would involve substantial administrative or fiscal resources to implement, but would not include maintenance, minor updates and patches, or modifications that entail a limited addition of functionality due to chances in business or legal requirements.

Effective: 03/07/2011
R.C. 119.032 review dates: 03/07/2016
Promulgated Under: 119.03
Statutory Authority: 1347.15
Rule Amplifies: 1347.15

3333-1-32.1 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems that contain confidential personal information, the agency shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the agency are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The agency shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(B) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the agency, the agency shall do all of the following:

(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(2) Provide to the individuals the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and (3) If all information relates to an investigation about the individual, inform the individual that the agency has no confidential personal information about the individual that is responsive to the individual's request.

(C) Notice of invalid access.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the agency shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the agency may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the agency shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The agency shall designate an employee of the agency to serve as the data privacy point of contact. The data privacy point of contact shall work with the chief privacy officer within the office of information technology to assist the agency with both the implementation of privacy protections for the confidential personal information that the agency maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The agency shall designate an employee of the agency to serve as the data privacy point of contact who shall timely complete the privacy impact assessment form developed by the office of information technology.

Effective: 03/07/2011
R.C. 119.032 review dates: 03/07/2016
Promulgated Under: 119.03
Statutory Authority: 1347.15
Rule Amplifies: 1347.15

3333-1-32.2 Valid reasons for accessing confidential personal information.

Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to the agency exercise of the agency's powers or duties, for which only employees of the agency may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system,

Performing the following functions constitute valid reasons for authorized employees of the agency to access confidential personal information:

(A) Responding to a public records request;

(B) Responding to a request from an individual for the list of CPI the agency maintains on that individual;

(C) Administering a constitutional provision or duty;

(D) Administering a statutory provision or duty;

(E) Administering an administrative rule provision or duty;

(F) Complying with any state or federal program requirements;

(G) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(H) Auditing purposes;

(I) Licensure [or permit, eligibility, filing, etc.] processes;

(J) Investigation or law enforcement purposes;

(K) Administrative hearings;

(L) Litigation, complying with an order of the court, or subpoena;

(M) Human resource matters (e.g. hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, time card approvals/issues);

(N) Complying with an executive order or policy;

(O) Complying with a policy of the agency or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state agency; or

(P) Complying with a collective bargaining agreement provision.

Effective: 03/07/2011
R.C. 119.032 review dates: 03/07/2016
Promulgated Under: 119.03
Statutory Authority: 1347.15
Rule Amplifies: 1347.15

3333-1-32.3 Confidentiality statutes.

The following federal statues or regulations or state statutes and administrative rules make personal information maintained by the agency confidential and identify the confidential personal information within the scope of rules promulgated by this agency in accordance with section 1347.15 of the Revised Code:

(A) Social security numbers: 5 U.S.C. 552a . unless the individual was told that the number would be disclosed.

(B) Records of the agency containing student education records: The Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. § 1232g ; 34 CFR Part 99.

Effective: 03/07/2011
R.C. 119.032 review dates: 03/07/2016
Promulgated Under: 119.03
Statutory Authority: 1347.15
Rule Amplifies: 1347.15

3333-1-32.4 Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the agency shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

(C) Upgrading existing computer systems. When the agency modifies an existing computer system that stores, manages or contains confidential personal information, the agency shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The agency shall require employees of the agency who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the agency is accessing confidential personal information for official agency purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the agency is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(c) The employee of the agency comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(d) The employee of the agency accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about himself/herself.

(ii) The individual makes a request that the agency takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the agency may choose the form or forms of logging whether in electronic or paper formats.

(E) Log management. The agency shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log is to be stored; and (4) How long information kept in the log is to be retained.

Nothing in this rule limits the agency from requiring logging in any circumstance that it deems necessary.

Effective: 03/07/2011
R.C. 119.032 review dates: 03/07/2016
Promulgated Under: 119.03
Statutory Authority: 1347.15
Rule Amplifies: 1347.15

3333-1-35 "OhioMeansJobs Workforce Development Revolving Loan Fund".

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents by sections 3333.04 and 6301.14 of the Revised Code and Section 2 of Amended Substitute Senate Bill 1 of the 130th General Assembly.

(B) Policy and intent

The purpose of the "OhioMeansJobs" workforce development revolving loan program is to promote and encourage Ohio's workforce development and job growth through educational training and retraining in programs related to employment opportunities in areas that are in demand, including but not limited to, employment opportunities within the field of energy exploration.

(C) Definitions

(1) "Institution" means any of the following:

(a) A state institution of higher education, as defined in section 3345.011 of the Revised Code;

(b) A private career school, as defined in section 3332.01 of the Revised Code;

(c) A private, nonprofit institution in this state holding a certificate of authorization pursuant to Chapter 1713. of the Revised Code;

(d) A private institution exempt from regulation under Chapter 3332. of the Revised Code as prescribed in section 3333.046 of the Revised Code, if the program has a certificate of authorization pursuant to Chapter 1713. of the Revised Code;

(e) A career-technical center, joint vocational school district, comprehensive career-technical center, or compact career-technical center offering adult training.

(2) "Workforce training program" includes any of the following:

(a) Courses, programs, or a degree from an institution;

(b) Vocational education classes offered to adult learners;

(c) Any other training program designed to meet the special requirements of a particular employer.

(D) Requests for proposals

(1) The chancellor shall prescribe a process for making awards under this program to eligible institutions for the institutions to disburse to eligible participants as loans. The process shall include the periodic issuance of a request for proposals to all or any segment of the eligible institutions.

(2) The forms that will be used in the proposal process shall be prescribed by the chancellor and made available each time a request for proposals is issued. The requests for proposals process shall be published on the Ohio board of regents web page, located at www.ohiohighered.org.

(3) Any request for proposals for the "OhioMeansJobs" workforce development revolving loan program shall include:

(a) Instructions for submitting a proposal, including the timelines for proposals, the required format and any specific forms to be used in the proposal;

(b) Eligibility requirements for submitting a proposal;

(c) A description of the criteria that will be used to evaluate submitted proposals, which may include, but is not limited to:

(i) The success rate of the workforce training program offered by the institution;

(ii) The cost of the workforce training program based upon a comparison of similar workforce training programs offered in this state;

(iii) The rate that the workforce training program participants obtain employment in the field in which they receive training under the program;

(iv) The willingness of the institution to assist a participant in paying for the costs of participating in the workforce training program;

(v) The extent to which the program has demonstrated support from business partners.

(d) Any award amount minimums and maximums for an institution, a program or a loan to the participant at the institution;

(e) A description of procedures that will be used to select the loan award recipients, which may include, but is not limited to, giving preference to certain criteria used to evaluate submitted proposals;

(f) Terms for repayment of a loan from the fund;

(g) Any special conditions or requirements that may accompany an award of funds.

(E) Proposal review and program awards

The chancellor shall review each proposal submitted in response to each request for proposals. Proposals received by entities deemed to be ineligible to submit proposals as defined in the request for proposals shall not be reviewed.

The chancellor shall notify each applicant of the decision concerning each respective proposal.

(F) Award requirements

(1) Any recipient of an "OhioMeansJobs" workforce development revolving loan program award by the chancellor shall enter into an agreement with the chancellor governing the use and disbursement of the award.

(2) Any recipient of an "OhioMeansJobs" workforce development revolving loan program award by the chancellor may be required to provide the chancellor with periodic program and fiscal reports as provided in the instructions for proposal and agreement.

(3) Award recipients shall agree to maintain financial and non-financial records documenting the activities of the funded program. Such records shall be subject to inspection and review at the discretion of the chancellor to ensure fiscal accountability, operating progress, and desired outcomes. The chancellor may require an award recipient that violates the terms of its agreement to repay the award plus interest calculated on any outstanding principal balance of that award of not more than four per cent per annum, as described in the request for proposal and agreement. A decision of the chancellor to require such repayment shall be final.

(4) Award recipients shall agree to participate in any common marketing or branding strategy that may be specified by the chancellor for fund awardees.

Effective: 02/06/2014
R.C. 119.032 review dates: 02/06/2019
Promulgated Under: 119.03
Statutory Authority: Section 2 of Amended Substitute Senate Bill 1 of the 130th General Assembly
Rule Amplifies: Section 2 of Amended Substitute Senate Bill 1 of the 130th General Assembly

3333-1-61 Choose Ohio first scholarship program; eligible proposals.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents by section 3333.61 of the Revised Code.

(B) Policy

The Ohio innovation partnership, consisting of the choose Ohio first scholarship and the Ohio research scholars program, aims to strengthen the state and its citizens to compete in the fields of science, technology, engineering, and mathematics (STEM), as well as medical fields and STEM education. The choose Ohio first scholarship program will support undergraduate and graduate education of Ohio residents who are students in STEM fields and medicine.

(C) Eligibility for the "Choose Ohio" first scholarship program

(1) Eligible institutions

(a) All public universities and colleges, as well as all independent universities and colleges that are acting in collaboration with one or more public institutions, are eligible to compete for state funds as lead applicants to this program to implement novel, as well as well-proven, programs, strategies, and initiatives designed to recruit, or to ensure greater academic success for, students in the fields of science, technology, engineering, mathematics and medicine as well as STEM education. All branch campuses are considered to be a part of and integral to the parent university.

(b) All public universities and colleges, all independent universities and colleges, as well as other public, independent, for-profit, or non-profit Ohio entities are eligible to serve as collaborating partners to compete for state funds from this program in order to implement novel, as well as well-proven, programs, strategies, and initiatives designed to recruit, and/or to insure greater academic success for, higher education students in the fields of science, technology, engineering, mathematics and medicine as well as STEM education.

(2) Eligible subjects

All higher education STEM areas plus medical and STEM education are eligible for support under this program. The emphasis is on STEM areas most relevant to the Ohio economy, which would include all degree programs in the physical and biological sciences, engineering and mathematics, including programs such as two-year technical degrees and four-year technology degrees, as well as those areas covered under STEM education and a broad interpretation of medical degree programs, such as nursing and allied health fields.

(3) Letter of interest

(a) Prior to submitting a proposal, a potential applicant must first submit a letter of interest to the chancellor. The letter of interest shall:

(i) Be a maximum of four pages in length;

(ii) Identify all the partnering institutions and participating Ohio for-profit and non-profit entities;

(iii) Indicate the area of focus of the forthcoming proposal in sufficient detail to permit the chancellor to gauge the potential impact of the proposed plan of action;

(iv) Include estimates of the number of student scholarships to be awarded;

(v) Specify the student recruitment and selection processes to be employed;

(vi) Include how scholarship awards may be matched by the institution; and

(vii) Provide the anticipated educational impact of the overall project.

(b) The chancellor shall respond within forty-five days of the submission of the letter of interest with a summary reaction to the perceived impact of the proposed plan.

(D) Proposals

Subject to paragraph (E) of this rule, eligible institutions may submit one or more proposals for choose Ohio first scholarships to the chancellor of the Ohio board of regents.

(E) Limitations on number of proposal submissions

The chancellor may limit the number of proposals eligible institutions may submit based upon criteria the chancellor considers appropriate.

There will be no limit imposed on the number of collaborating partners contributing to each proposal nor will there be any limit imposed on the number of proposals that a given institution might contribute to as a collaborating partner.

(F) Dual applications

A single proposal may seek an award under one or both programs within the Ohio innovation partnership.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.62
Prior effective dates: 9/26/07 (Emer)

3333-1-61.1 General guidelines for proposals.

(A) General proposal submission requirements. Proposals must be submitted in the following manner:

(1) One original paper copy marked as "Original."

(2) One additional paper copy marked as "Copy."

(3) Eight copies of a CD-ROM containing one PDF and one Word-compatible file of the proposal. Do not include multiple PDF or Word-compatible files containing individual proposal sections. The proposal must be completely contained on the CD-ROM in one PDF and one Word-compatible file.

(4) Proposals may not be submitted via fax or email.

(5) Proposals (one original and one copy plus eight copies of the CD-ROM) must be received by the chancellor at the following address on or before the due date:

"Eric D. Fingerhut, Chancellor

Ohio Board of Regents

30 East Broad Street

36th floor

Columbus, OH 43215

Attention: Choose Ohio First Scholarship Program."

(6) The narrative section of the proposal must not exceed fifteen pages.

(7) The non-narrative portions of the proposal must not exceed fifty pages.

(8) Original proposals are to be submitted on letter size paper.

(9) Margins must not be less than three-fourths of an inch on all sides.

(10) Font must be ten point or larger with no more than six lines per inch.

(11) All pages must be numbered consecutively using the format "page [number] of total number of pages" (e.g. page 2 of 10).

(12) The proposal title and lead applicant name must appear at the bottom of each page.

(13) Proposals should not include color figures that cannot be understood when photocopied in black and white.

(14) The first page of the proposal must be the standardized applicant information form and title page provided by the chancellor.

(15) Do not include a cover or cover letter other than the standardized applicant information form and title page.

(16) Proposals must be stapled or clipped once in the upper left hand corner and must not be bound.

(B) General proposal directions

Proposals must be completed in the following manner:

(1) The first page of the proposal must be the completed standardized applicant information form and title page provided by the chancellor.

(2) Prepare and include an abstract that is not more than one page that summarizes the anticipated academic outcomes of the project.

(3) The proposal narrative must not exceed fifteen pages in total length.

(4) The lead applicant must provide the following information:

(a) An itemized budget for each year of the proposed grant period that includes funding anticipated for collaborating partner institutions; and

(b) The projected number of student scholarships to be provided.

(5) All non-narrative sections of the proposal combined must not exceed fifty pages.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.62
Prior effective dates: 9/26/07 (Emer)

3333-1-61.2 Objectives to be reflected in proposals.

(A) All proposals shall reflect the primary objectives of the choose Ohio first scholarship program which are to support increased higher education participation and success of Ohio students majoring in STEM, STEM education, and medicine fields and, in so doing, to advance the economic growth of each region of the state.

By increasing the numbers of STEM and medical graduates, as well as the professional sophistication of Ohio's technical workforce, it is anticipated that new technology-based business opportunities will be created and new technology-based companies will be attracted to Ohio, each of which will have beneficial economic impacts for the regions of the state. This program advances these purposes by providing direct scholarship support to current and future higher education students who are pursuing STEM, medical, and STEM education degrees. The "Choose Ohio First Scholarship Program" is complementary to the other program included in the "Ohio Innovation Partnership," the "Ohio Research Scholars Program." Both programs develop human talent and statewide capacity for sustained innovation, technology advancement, and the commercialization of new technologies.

(B) The entire grant must be used for scholarships, fellowships, grants, or other monetary or nonmonetary incentives to students, and not for administration.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61
Prior effective dates: 9/26/07 (Emer)

3333-1-61.3 Review process of proposals.

(A) Administrative review of proposals

(1) The chancellor's staff will review the proposals to ensure each proposal complies administratively with the general guidelines, requirements, and program objectives before referral for review and evaluation.

(2) If a proposal does not comply administratively, the chancellor may ask the lead applicant of the proposal clarifying questions and request additional information. The lead applicant of the proposal has ten days from notice of the defect to cure the proposal.

(3) A proposal that fails to comply administratively shall not be referred for review and evaluation.

(4) Proposals that are referred for review and evaluation will be posted on a web page on the Ohio board of regents' web site.

(5) The lead applicant of a proposal not referred for review and evaluation shall receive written notice within thirty days of the posted results of the administrative review.

(B) Review panel

(1) The chancellor, in the chancellor's discretion, may convene a panel, comprised of experts, to review and evaluate proposals.

(2) The chancellor may seek nominations for service on the panel from representatives of the colleges and universities intending to submit proposals. The chancellor, in the chancellor's discretion, shall make appointments to the panel.

(3) The panel, if convened, shall review and evaluate proposals in the following manner:

(a) Address the responsiveness of the proposal to the requirements of the request for proposal;

(b) Determine which proposals best meet the evaluation criteria;

(c) Determine which proposals should be recommended to the chancellor for funding consideration.

(4) The panel will make recommendations directly to the chancellor. The chancellor shall take into account the evaluations and recommendations made by the panel and shall make the final funding decisions.

(C) Review of proposals in absence of panel

(1) If the chancellor does not convene a review panel to review and evaluate proposals, the chancellor, or the chancellor's designee(s), shall review and evaluate the proposals in the following manner:

(a) Address the responsiveness of the proposal to the requirements of the request for proposal;

(b) Determine which proposals best meet the evaluation criteria;

(c) Determine which proposals should be considered by the chancellor for funding consideration, or in the case of review and evaluation by the chancellor's designee(s), recommended to the chancellor for funding consideration.

(2) The chancellor shall exercise independent judgment in making final funding decisions.

(D) Evaluation criteria

(1) General evaluation criteria

(a) Required criteria Proposals must encompass both of the following criteria to be considered for evaluation:

(i) The proposed plan will result in significantly increased higher education participation and success of Ohio students in STEM fields, STEM education, or medical areas:

(ii) All funds being requested shall be used for scholarships, fellowships, grants, or other monetary or nonmonetary incentives to students, and not for administration.

(b) Additional evaluation criteria Proposals should encompass one or more of the following criteria to be considered for evaluation:

(i) The proposed plan incorporates student internships and/or cooperative education experiences.

(ii) The proposed plan develops mentoring experiences involving faculty, students, and industrial partners.

(iii) The plan will result in appropriate ethnic diversity among majors and graduates in STEM fields, STEM education, or medical areas with particular emphasis on first-generation, needs-based, and underrepresented groups of students.

(iv) The proposed plan specifically targets timely degree completion and the reduction of attrition rates among majors in STEM fields, STEM education or medical areas.

(v) The applicant will demonstrate specific successes by its STEM students and graduates in fields that match the high-technology economic strength of Ohio.

(vi) The proposed plan will increase the recruitment of Ohio residents back into the state in order to enter graduate study in a STEM field, STEM education, or medical discipline.

(2) Required proposal criteria

In accordance with section 3333.62 of the Revised Code, proposals will be evaluated based on one or more of the following criteria:

(a) The quality of the program that is the subject of the proposal and the extent to which additional resources will enhance its quality.

(b) The extent to which the proposal is integrated with the strengths of the regional economy.

(c) The extent to which the proposal is integrated with centers of research excellence within the private sector.

(d) The amount of other institutional, public, or private resources, whether monetary or nonmonetary, that the proposal pledges to leverage.

(e) The extent to which the proposal is collaborative with other public or nonpublic Ohio institutions of higher education.

(f) The extent to which the proposal is integrated with the university's or college's mission and does not displace existing resources already committed to the mission.

(g) The extent to which the proposal facilitates a more efficient utilization of existing faculty and programs.

(h) The extent to which the proposal meets a statewide educational need.

(i) The demonstrated productivity or future capacity of the students or scientists to be recruited.

(j) The extent to which the proposal will create additional capacity in educational or economic areas of need.

(k) The extent to which the proposal will encourage students who received degrees in STEM fields or medicine from two-year institutions to transfer to state universities or colleges to pursue baccalaureate degrees in STEM fields or medicine.

(l) The extent to which the proposal encourages students enrolled in state universities to transfer into STEM fields or medicine programs.

(m) The extent to which the proposal facilitates the completion of a baccalaureate degree in a cost-effective manner, for example, by facilitating students' completing two years at a two-year institution and two years at a state university or college.

(n) The extent to which the proposal allows attendance at a state university or college of students who otherwise could not afford to attend.

(o) The extent to which other institutional, public, or private resources pledged to the proposal will be deployed to assist in sustaining students' scholarships over their academic careers.

(p) The extent to which the proposal increases the likelihood that students will successfully complete their degree programs in STEM fields, or medicine or in STEM education.

(q) The extent to which the proposal ensures that a student who is awarded a scholarship is appropriately qualified and prepared to successfully complete a degree program in STEM fields, or medicine or in STEM education, or medical education.

(E) Public meeting

Prior to final funding decisions by the chancellor, each proposal submitted for consideration shall be summarized by the chancellor's staff at a public meeting. Each public university or college with a proposal pending for consideration shall have the opportunity to review the summary and answer questions or respond to concerns about the proposal raised by the chancellor's staff.

(F) Selection and grant agreement preparation

(1) Upon completion of the review and evaluation process, and, if applicable, after recommendations have been made, the chancellor shall determine which proposals receive awards, in whole or in part. Lead applicants will be notified in writing of the outcome of their applications within forty-five days after final funding decisions have been made by the chancellor.

(2) After a proposal has been selected for funding by the chancellor, the chancellor's staff will seek approval from the state controlling board to prepare the final grant agreement.

(3) At the request of the chancellor, a lead applicant institution or a collaborating institution of a proposal selected for funding and seeking approval from the state controlling board shall attend the controlling board meeting.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.62 , 3333.63 , 3333.64 , 3333.66
Prior effective dates: 9/26/07 (Emer)

3333-1-61.4 Award and agreements.

(A) Awards

(1) A grant will be awarded by the chancellor and approved by the controlling board based on the proposal as amended with the inclusion of a revised budget or other amended conditions set forth by the panel or the chancellor. The grant will remain open for the duration of the project plus a three-year reporting period when annual reports are required. Funding at the requested levels will be contingent upon performance against the stated goals.

(2) Limitations on awards

(a) The minimum award amount to be granted by the chancellor will be one hundred thousand dollars.

(b) The maximum award amount to be granted by the chancellor will be ten million dollars.

(B) Agreements

(1) The university or college with an award approved by the controlling board shall enter into an agreement with the chancellor of the Ohio board of regents. The term of agreement under an award from this program will be from two to five years with three additional years of required reporting. The project period should be at least two years but may be as long as five years, during which the funding by the state must be expended. During the remaining years of the grant period, or at least for three additional years, the grantee will be required to submit an annual report detailing the overall status of the project.

(2) All agreements shall comply with the following regulatory requirements:

(a) As appropriate for student assessment purposes, the grantee organization's human subject policies and procedures must be compliant with the Code of Federal Regulations Title 45, Part 46

(b) The grant agreement shall require the grantee to comply with all applicable federal, state, and local laws in the performance of the project.

(3) The grant agreement shall require the grantee to ensure that all student scholarships are within the allowable amount, as required by law.

(4) Grantees will be required to submit regular reports as specified in the grant agreement. At a minimum, semi-annual performance reports, periodic success stories attributable to the state-funded program, and annual reports for the final three years of the grant period. The lead applicant will be responsible for submitting reports to the chancellor's staff utilizing the specified mechanism.

(5) Each newly funded choose Ohio first scholarship program institution will be required to implement a continuous assessment plan that evaluates the program at its campus. Grantees are expected to complete the project as described in the proposal as funded and as amended. The chancellor's staff will assign a project administrator who will work with the grantee throughout the duration of the project. The chancellor's staff and grantees will develop a series of performance metrics that will be used to measure progress on the grant. Grantees will be required to collect appropriately disaggregated baseline data, to measure progress through the collection and analysis of standardized data elements, and to submit required progress reports that record the achievements of the plan within the context of the original goals.

In addition to other items deemed appropriate by the reporting institution, the choose Ohio first scholarship program progress reports should include the following elements:

(a) Documentation that the proposed objectives are being met along with a description of the continuous assessment processes used to verify the stated outcomes.

(b) Demonstration of the significant achievements of the program in terms of the student success outcomes.

(c) Documentation of how and the manner in which the expertise developed within the program is being, or will be, shared with other institutions in Ohio through professional interactions or consortia agreements.

(6) Any university or college that violates the terms of its grant agreement may be required to repay the award plus interest at the rate specified in section 5703.47 of the Revised Code.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.62 , 3333.65 , 3333.66 , 3333.68 , 3333.69
Prior effective dates: 9/26/07 (Emer)

3333-1-61.5 Funding.

(A) Cost-share is required in the ratio of one to one for state funds to dedicated institutional funds. All reasonable institutional operational and capital costs, including previous investments, that are directly associated with delivering the project outcomes identified in the proposal may, in the chancellor's discretion, be counted as eligible cost-share. The value of institutional, public, or private industry co-ops and internships shall count toward the statewide aggregate amount of other institutional, public, or private money.

Participating institutions must make regular cost-share investments in the funded choose Ohio first scholarship program project but will have until the end of the reporting period to meet the full cost-share obligation. The reporting period ends three years after the expiration of the grant agreement.

(B) The entire grant must be used for scholarships, fellowships, grants, or other monetary or nonmonetary incentives to students, and not for administration.

(C) All costs incurred in preparation of a letter of interest or a proposal shall be borne by the applicant, or applicants for a collaboration proposal, and are not recoverable under an award.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.64
Prior effective dates: 9/26/07 (Emer)

3333-1-62 Ohio research scholars program; eligible proposals.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents by section 3333.61 of the Revised Code.

(B) Policy

The Ohio innovation partnership, consisting of the choose Ohio first scholarship and the Ohio research scholars program, aims to strengthen the state and its citizens to compete in the fields of science, technology, engineering, and mathematics (STEM), as well as medical fields and STEM education. The Ohio research scholars program will support an increase in highly-qualified research talent in critical STEM and medical areas with a focus on long-term regional economic development.

(C) Eligibility for the Ohio research scholars program

(1) Eligible institutions

(a) All four year public universities and colleges, as well as all independent universities and colleges that are acting in collaboration with one or more four year public institutions, are eligible to compete for state funds as lead applicants to this program.

The lead applicant's human subject policies and procedures must be compliant with the Code of Federal Regulations Title 45, Part 46. The lead applicant's animal subject policies and procedures must be compliant with US Code Title 7, Sections 2131-2156.

(b) All state-assisted universities and colleges, all independent universities and colleges and public, independent, for-profit, or non-profit Ohio entities are eligible to serve as collaborators.

A collaborator's human subject policies and procedures must be compliant with the Code of Federal Regulations Title 45, Part 46. A collaborator's animal subject policies and procedures must be compliant with US Code Title 7, Sections 2131-2156.

(2) Eligible subjects

To be eligible for support under the Ohio research scholars program, a proposal must be seeking to support a single technology or research focus area in one of the two following tracks:

(a) Accelerating the growth of existing clusters of research excellence

A well established research cluster that has a critical mass of distinguished and highly productive faculty and researchers, quality graduate students, and infrastructure supporting a defined technology or research focus area that has attained international prominence in research and commercialization. Ohio research scholars' program funds are to be used to further enhance a competitive position or to move up in competitive rankings relative to benchmarked leaders.

(b) Capacity building to achieve clusters of research excellence

An existing promising area of research that has the potential to evolve into clusters of research excellence of importance to Ohio's future economy. Ohio research scholars program funds are to be used to improve the capability in a defined technology or research focus area to conduct sustainable and internationally competitive research and commercialization, build a critical mass of human and technical resources, and establish beneficial relationships with existing centers of research excellence within Ohio.

(3) Letter of interest

(a) Prior to submitting a statement of intent and a proposal, the president of the potential applicant institution must first submit a letter of interest. The letter of interest shall include the following information:

(i) The prospective lead applicant's name, address, phone number, contact person, e-mail address for the contact;

(ii) The proposed project title;

(iii) The estimated number of research scholars and dollars to be requested;

(iv) Known collaborators; and

(v) A summary of the proposed technology or research focus area and research cluster growth plan, in sufficient detail to allow a reviewer to gauge the purpose and impact of the potential proposal. The summary may not exceed five pages.

(b) Submitting a letter of interest does not bind the prospective lead applicant to submitting a statement of intent or proposal. However, no statement of intent will be accepted and no proposal will be reviewed unless a letter of interest has been submitted by the deadline.

(c) All prospective lead applicants submitting a letter of interest will be issued an identification number. The identification number must appear later on the statement of intent and on the application information page of the proposal.

(d) The lead applicant will receive a response to the letter of interest providing a summary reaction to the perceived applicability of the proposed project.

(4) Statement of intent

(a) Prior to submitting a proposal, a potential applicant must first submit a statement of intent. The statement of intent shall:

(i) Be submitted and signed by the president of the lead applicant;

(ii) Include the lead applicant's name, address, phone number, contact person, e-mail address for the contact;

(iii) Include the prospective proposal title, estimated types of dollars and amounts to be requested;

(iv) Reference the corresponding letter of interest number assigned;

(v) Identify all the collaborators;

(vi) Provide a statement of intent from each collaborator signed by their respective presidents or chief executive officers;

(vii) Describe the area of focus of the forthcoming proposal in sufficient detail for the external reviewer to begin selecting peer review panelists. This description may not exceed five pages.

(b) Collaborators not identified in the statement of intent will not be permitted.

(c) The letter must affirm that the lead applicant and collaborators are committed to the project and the submittal of a proposal. Submitting a statement of intent does not bind the prospective lead applicant to submit a proposal. However, no proposal will be accepted which does not have all corresponding letters of interest and intent submitted by their respective deadlines.

(D) Proposals

Subject to paragraph (E) of this rule, eligible institutions may submit one or more proposals for support of a research cluster under the Ohio research scholars program. Each proposal must define the specific technology or research focus area of the research cluster and the areas of investigation to be pursued by the newly hired scholars. Eligible institutions must submit separate proposals for each cluster for which they are seeking support.

(E) Limitations on number of proposal submissions

The number of proposals an eligible institution may submit may be limited, however, there will be no limit imposed on the number of collaborating partners contributing to each proposal nor will there be any limit imposed on the number of proposals that a given institution might contribute to as a collaborating partner.

(F) Dual applications

A single proposal may seek an award under one or both programs within the Ohio innovation partnership.

(G) The chancellor may partner with other state departments or agencies in the development of requests for proposals under the Ohio research scholars program. The areas of collaboration will be further described in an interagency agreement or as reflected in a jointly-issued request for proposal.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.62
Prior effective dates: 10/30/07 (Emer)

3333-1-62.1 General guidelines for proposals.

(A) General instructions. Proposals must be submitted in the following manner:

(1) One original paper copy marked as "Original" and one additional paper copy marked "Copy" and two CDs each containing a single PDF and a single Word compatible file of the proposal.

(2) Proposals must be received at the location specified in the request for proposals before the deadline. Proposals may not be submitted by fax or e-mail.

(3) Proposals are to be submitted on letter size paper.

(4) Margins must not be less than three-fourths of an inch on all sides.

(5) Font must be ten point or larger with no more than six lines per inch.

(6) All pages must be numbered consecutively using the format "page [number] of total number of pages" (e.g. page 2 of 25).

(7) The proposal title, lead applicant name, and statement of intent number must appear at the bottom of each page.

(8) Proposals should not include color figures that cannot be understood when photocopied in black and white.

(9) The first page of the proposal must be the provided application information page form.

(10) Do not include a cover or cover letter other than the application information page.

(11) Proposals must be stapled once in the upper left hand corner and must not be bound.

(B) Special instructions for proposals

(1) Trade secret information

A lead applicant with a proposal containing trade secret information, as defined in division (D) of section 1333.61 of the Revised Code, must:

(a) Check the "Trade Secret Information Included" box on the applicant information page.

(b) Include a page that lists each page in the proposal that includes trade secret information and the number of occurrences of trade secret information on that page.

(c) Identify each and every occurrence of the information within the proposal with an asterisk before and after each line containing trade secret information and underline the trade secret information itself.

(2) Collaborator letter of commitment

A commitment letter must be provided for each collaborator identified in the proposal. The letters must:

(a) Be submitted on the letterhead of the collaborator;

(b) Include the name of the lead applicant, the title of the proposal, and the letter of interest number assigned;

(c) Briefly state the nature of the collaboration;

(d) State the duration of the collaboration;

(e) State the resources the collaborator is committing to the proposed project;

(f) State how the project will contribute to the strategy of the collaborator;

(g) State the specific amount of the commitment that matches the amount in the proposal;

(h) State the source of the commitment;

(i) State when the committed resources will be available to the lead applicant;

(j) Be dated and signed by an official with the authority to make the cost share commitment.

(3) Letters of support

Letters of support may be allowed from committed end users. Such letters must come from industrial or business representatives who have a commercial interest in and can anticipate commercial benefit from the results of the proposed project. These letters of support must describe the anticipated benefit and what advice the industrial representative will be providing in the way of market opportunities, knowledge of competing technologies or technological and commercial hurdles for the proposed project.

(C) Order and content of proposal sections

Proposals must be completed in the following manner and order:

(1) The first page of the proposal must be the completed standardized applicant information page;

(2) If the proposal includes trade secret information, the page immediately after the application information page must list each page in the proposal that includes trade secret information and the number of occurrences of trade secret information on that page;

(3) Complete and include the provided lead applicant contact information page form;

(4) Complete and include the collaborator information form for each collaborator. Collaborator letters of commitment must appear in the appendix to a proposal;

(5) Prepare an abstract, one page or five hundred words in length, summarizing the proposed project and its expected commercial and technical outcomes. This section should minimize use of jargon and technical language and be written so that a non-technical person can understand it. This section will be used in public documents including press releases and must be understandable to the general public. This section may not contain any trade secret information;

(6) Prepare a table of contents. The table of contents should also include a listing and page number for charts, figures, and tables;

(7) Provide a proposal narrative not exceeding twenty-five pages, excluding references;

(8) Complete and include the provided budget forms for lead applicants and collaborators;

(9) Provide a budget narrative, not to exceed five pages, covering an explanation of the costs for both the state funds requested and cost share committed. Specific sources of cost share committed at the time of the proposal submission must be identified in the proposal by amount, proposed use, source, and method of valuing if in-kind cost share is used. Cost share must be documented on the budget forms and in a letter from the organization contributing the cost share signed by an official authorized to commit the organization. Projections for cost share to be earned from specified sources must be identified by the general categories in the budget forms;

(10) Provide biographical information of up to ten individuals who the lead applicant considers key to the success of the project. These ten individuals should represent the project's leadership from the technical, commercial, and managerial perspectives and include personnel of the lead applicant and collaborators. Biographical information may be no more than two pages in length for each individual identified. The biographical information should include the following information

(a) Relevant work history, including, but not limited to, technical experience, commercialization experience, and project management experience;

(b) Educational attainment, including, but not limited to, honors and recognitions and selected recent publications that relate directly to the subject matter of the proposed project.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.62
Prior effective dates: 10/30/07 (Emer)

3333-1-62.2 Objectives to be reflected in proposals.

(A) All proposals must reflect the primary objectives of the Ohio research scholars program to provide support for an increase in highly-qualified research talent in critical STEM and medical areas with a focus on long-term regional economic development.

The Ohio research scholars program will provide support to strengthen and increase the number of clusters of research excellence, led by Ohio's academic institutions, to advance regional economic priorities. This will be achieved through (1) aggressive investment in the attraction of senior research talent and related facilities and equipment, and (2) promotion of unique collaborations needed to build and sustain the critical mass and scale of scientifically and commercially promising lines of research.

Clusters of research excellence are defined by a critical mass of distinguished and highly productive faculty and researchers, quality graduate students, infrastructure, and robust academics, business and government collaborations that have led or will lead to the attainment of international prominence in research and commercialization. The resources of a cluster must be aligned to pursue a specific technology or research focus area representing competitive differentiation that is a unique and sustainable signature which is difficult to imitate and overcome by others.

The Ohio research scholars program is complementary to the other program included in the Ohio innovation partnership, the choose Ohio first scholarship program. Both programs develop human talent and statewide capacity for sustained innovation, technology advancement, and the commercialization of new technologies.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61
Prior effective dates: 10/30/07 (Emer)

3333-1-62.3 Review process of proposals.

(A) Administrative review of proposals

(1) Proposals will be reviewed to ensure each proposal complies administratively with the general guidelines, requirements, and program objectives before referral for review and evaluation. It is solely the responsibility of the lead applicant to ensure its proposal is complete, accurate, responsive to the requirements, and received on time. All lead applicants are advised that there will be no opportunity to correct mistakes or deficiencies in a proposal after the submission deadline.

(a) Proposals that are both complete and compliant with the requirements of the RFP will be forwarded for review.

(b) Proposals that are missing required forms and information, incomplete, or do not comply with the requirements will be excluded from evaluation. No supplementary or revised materials will be accepted after the scheduled date for submission. The chancellor reserves the right to request specific additional information.

(2) Except in the limited circumstance where the chancellor has requested specific additional information, decisions will be based solely on a proposal's content.

(B) Review process

(1) Proposals will be read and evaluated based on the evaluation criteria stated in this rule.

(2) Interviews of potential awardees may be required.

(3) Based on the evaluation, the most competitive proposals along with a written report prepared by the reviewers, will be forwarded to the chancellor or chancellor's designee. The final decision shall take into account the evaluations made during the review process, and staff recommendations. However, the chancellor or chancellor's designee shall exercise independent judgment in making the final selections. All funding decisions are final.

(4) All lead applicants will be notified of the outcome of their application after final funding decisions have been made.

(C) Evaluation criteria

(1) All proposals submitted under the Ohio research scholars program will be evaluated in accordance with one or more of the following base criteria.

(a) The quality of the proposed program and the extent to which additional resources will enhance its quality;

(b) The extent to which the proposed program is connected to the strengths of the regional economy;

(c) The extent to which the proposed program is or will be integrated with centers of research excellence in the private sector;

(d) The amount of other institutional, public or private resources, whether monetary or non monetary, that the proposed program will leverage;

(e) The extent to which the proposed program brings together public or non public Ohio institutions of higher education, business and industry to strengthen or develop new clusters of research excellence;

(f) The extent to which the proposed program will build on or enhance a university or college's mission and resources committed to an existing cluster of research excellence;

(g) The extent to which the proposed program will facilitate a more efficient utilization of existing faculty and programs in strengthening existing or developing new clusters of research excellence;

(h) The extent to which the proposed program will meet an existing statewide need for quality graduate students;

(i) The extent to which the proposed program will demonstrate productivity or future capacity for the recruitment of scientists and quality graduate students;

(j) The extent to which the proposed program will create additional capacity in education and enhance economic development;

(k) The extent to which the proposed program coordinates with and enhances the positive impact on choose Ohio first scholarships by encouraging students to complete undergraduate and graduate degrees in one or more STEM fields or medicine.

(2) Evaluation criteria in the case of a joint request for proposal will include those criteria set forth above as well as such other criteria as may be developed by the parties to the request for proposals. Detailed itemization of all evaluation criteria will be included in the request for proposals.

(D) Public meeting

Prior to final funding decisions by the chancellor or the chancellor's designee, each proposal submitted for consideration shall be summarized by the chancellor's staff at a public meeting. Each lead applicant with a proposal pending for consideration shall have the opportunity to review the summary and answer questions or respond to concerns about the proposal raised by the chancellor's staff.

(E) Selection and grant agreement preparation

Upon completion of the review and evaluation process, and after recommendations have been made, the chancellor or chancellor's designee shall determine which proposals receive awards, in whole or in part.

(1) An award may require changes to the proposal and budget due to evaluation findings, funding changes, or other reasons. Awardees are expected to complete the project as described in the proposal as funded and as amended.

(2) After a proposal has been selected for funding, approval from the state controlling board for the final grant agreement is required. A lead applicant institution or a collaborating institution of a proposal selected for funding and seeking approval from the state controlling board may be required to attend the controlling board meeting.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.62 , 3333.63
Prior effective dates: 10/30/07 (Emer)

3333-1-62.4 Award and agreements.

(A) Awards

(1) A grant will be awarded by the chancellor or chancellor's designee and approved by the controlling board based on the proposal as amended with the inclusion of a revised budget or other amended conditions as needed. The grant will remain open for the duration of the project plus a three-year reporting period when annual reports are required. Funding at the requested levels will be contingent upon performance against the stated goals.

(2) Limitations on awards

Minimum and maximum award requests may be established.

(B) Agreements

(1) The university or college with an award approved by the controlling board shall enter into an agreement. The term of agreement under an award from this program will not exceed five years and mandate three additional years of required reporting after funding.

(a) The project period is the time during which the active work funded by the grant will take place.

(b) During the remaining three years, the grantee will be required to submit an annual report detailing the overall status of the research and commercialization activities, and economic impacts of the project.

(2) The chancellor reserves the right to take back state allocated funds not spent during the terms of the agreement.

(3) The grant agreement will specify the source of the funding, or, if applicable, sources of the funding.

(4) All agreements shall comply with the following state and federal requirements:

(a) The grantee is required to comply with all applicable federal, state, and local laws in the performance of the project.

(b) The grantee must affirmatively covenant that it does not owe:

(i) Any delinquent taxes to the state of Ohio or a political subdivision of the state;

(ii) Any moneys to the state or a state agency for the administration or enforcement of any environmental laws of the state; and

(iii) Any other moneys to the state, a state agency or a political subdivision of the state that are past due, whether the amounts owed are being contested in a court of law or not.

(c) The grantee must accept full responsibility for payments of all unemployment compensation, insurance premiums, workers' compensation premiums, all income tax deductions, social security deductions, and any and all other taxes or payroll deductions required for all employees engaged by the grantee on the performance of the work authorized by this agreement.

(5) A program administrator will be assigned to work with the grantee throughout the duration of the project. The program administrator and the grantees will develop a series of performance metrics that will be used to measure progress on the grant. Grantees will be required to submit required quarterly progress and metrics reports as well as invoices and expenditures reports, document achievement of milestones, report success stories, and submit post-grant annual reports. The lead applicant on a proposal chosen for a grant will be required to submit reports and invoices through specified mechanisms.

(6) Any grantee that violates the terms of its grant agreement may be required to repay the award plus interest at the rate specified in section 5703.47 of the Revised Code.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.62 , 3333.65 , 3333.68 , 3333.69
Prior effective dates: 10/30/07 (Emer)

3333-1-62.5 Funding.

(A) Award sources

An award, as specified in the grant agreement, may be funded from endowment funds, operating funds, capital funds, or a combination thereof.

It is expected that the mix of funds requested from the three categories will be reasonably balanced and directly support the required growth plan.

(B) Limitation on use of funds

(1) The use of endowment funds may be limited to certain desired levels of positions.

(2) Capital funds for facilities and equipment and operating funds must be directly tied to endowed recruitment packages associated with the endowments or for direct support of enhancements to the research cluster that will increase the attractiveness of the research cluster to the new hires being sought.

(3) Funding for indirect costs may be budgeted up to a level of twenty per cent of the operating funds requested.

(4) Indirect costs are not allowed against endowment or capital facilities or equipment funds.

(5) Unrecovered indirect costs are an allowable form of cost share.

(C) Cost share requirement

(1) One to one ratio

The monetary value of the cost share commitment must be at least a dollar for every dollar of the award. The cost share committed may exceed the requirement for a one to one cost share ratio. However, that cost share ratio becomes a requirement of the grant agreement, regardless of the award amount and may not, at any time later, be lowered back to the one to one level.

The one to one cost share must be fulfilled within the five year project period.

(2) Cost share funding sources and limitations

(a) The cost share must include a commitment to provide a cash contribution to the endowment principal and/or additional salary for the new hires in an amount equal to the interest earned on the endowment over the five year project period.

(b) Cost share must be for allowable costs that are verifiable and auditable and consistent guidelines provided in the request.

(c) Cost share must be directly in support of the program plan rather than coincidental or related/similar allocations.

(d) Cost share must be necessary and reasonable to the project objectives.

(e) If the organizations have a published indirect cost rate, un-recovered indirect costs (the difference between twenty percent and the published rate) can be used as cost share. Without a published rate, this program will allow duplication of the twenty percent rate that becomes an allowable expense used as cost share. Only indirect costs not fully recovered from the requested state operating funds are eligible to be used as cost share.

(f) The expense of the cost share must take place during the project period. The cash cost share must be charged to resources of the lead applicant or collaborator and documented within the financial books of the lead applicant or collaborator. In addition to the requirements that may be set forth in the request for proposal, contributed equipment or space committed as in-kind cost share must have as its fair rental value a documented forgone charge or fee that otherwise would have accrued to the contributor for its use. This charge or fee must have otherwise been assessed and paid in the normal course of business with any other transaction.

Effective: 11/12/2008
R.C. 119.032 review dates: 11/12/2013
Promulgated Under: 119.03
Statutory Authority: 3333.61
Rule Amplifies: 3333.61 , 3333.64 , 3333.67
Prior effective dates: 10/30/07 (Emer)

3333-1-63 Co-op/internship program.

(A) Authority

This rule is established by authority conferred upon the chancellor of the Ohio board of regents by section 3333.72 of the Revised Code.

(B) Policy and intent

The purpose of the Ohio co-op/internship program is to promote and encourage cooperative education programs and internship programs at Ohio institutions of higher education for the purpose of recruiting Ohio students to stay in the state and attracting back to Ohio students who left to attend out-of-state institutions of higher education, to participate in high quality academic programs that use cooperative education programs or significant internship programs. Such participation supports the growth of Ohio's business by providing them with talented students and an experienced potential workforce, and providing Ohio graduates with job opportunities with Ohio companies and organizations.

(C) Definitions

(1) "Cooperative education program" means a partnership between students, institutions of higher education, and employers that formally integrates students' academic study with work experience in cooperating employer organizations and that meets all of the following conditions:

(a) Alternates or combines periods of academic study and work experience in appropriate fields as an integral part of student education;

(b) Provides students with compensation from the cooperative employer in the form of wages or salaries for work preformed;

(c) Evaluates each participating student's performance in the cooperative position, both from the perspective of the student's institution of higher education and the student's cooperative employer;

(d) Provides participating students with academic credit from the institution of higher education upon successful completion of their cooperative education;

(e) Is part of an overall degree or certificate program for which a percentage of the total program acceptable to the chancellor of the Ohio board of regents involves cooperative education.

(2) "Internship program" means a partnership between students, institutions of higher education, and employers that formally integrates students' academic study with work or community service experience and that does both of the following:

(a) Offers internships of specified and definite duration;

(b) Evaluates each participating student's performance in the internship position, both from the perspective of the student's institution of higher education and the student's internship employer.

An internship program may provide participating students with academic credit upon successful completion of the internship, and may provide students with compensation in the form of wages or salaries, stipends, or scholarships.

(3) "Eligible institution" means a state institution of higher education or a nonpublic university or college collaborating with a state institution of higher education.

(4) "Nonpublic university or college" means a nonprofit institution holding a certificate of authorization issued under Chapter 1713. of the Revised Code.

(5) "State institution of higher education" means the university of Akron, Bowling Green state university, Central state university, university of Cincinnati, Cleveland state university, Kent state university, Miami university, Ohio university, Ohio state university, Shawnee state university, university of Toledo, Wright state university, Youngstown state university, the northeastern Ohio universities college of medicine, any community college, any state community college, any university branch established under Chapter 3355. of the Revised Code, or any technical college.

(6) "Advisory committee" means the co-op/internship advisory committee created pursuant to section 3333.731 of the Revised Code.

(7) "Chancellor" means the chancellor of the Ohio board of regents.

(8) "Controlling board" means the entity established pursuant to section 127.12 of the Revised Code.

(D) Requests for proposals

(1) The chancellor shall prescribe a competitive process for making awards under this program to eligible institutions. The process shall include the periodic issuance of a request for proposals to all or any segment of the eligible institutions. Prior to the issuance of any request for proposals, the chancellor shall seek the advice of the advisory committee.

(2) The forms that will be used in the proposal process shall be prescribed by the chancellor and made available each time a request for proposals is issued. The requests for proposals process shall be published on the Ohio board of regents web page, located at www.regents.ohio.gov.

(3) Any request for proposals for the Ohio co-op/internship program shall include:

(a) Instructions for submitting a proposal, including the timelines for proposals, the required format and any specific forms to be used in the proposal;

(b) Eligibility requirements for submitting a proposal;

(c) Instructions for submitting information demonstrating that the pledge of private funds required pursuant to section 3333.74 of the Revised Code will be met, or that the institution is requesting a waiver of the requirement. Section 3333.74 of the Revised Code requires a pledge of private funds equal to the following:

(i) In the case of a program, initiative, or scholarships for undergraduate students, at least one hundred per cent of the money awarded;

(ii) In the case of a program, initiative, or scholarships for graduate students, at least one hundred fifty per cent of the money award.

(d) A description of the criteria that will be used to evaluate submitted proposals;

(e) A description of procedures that will be used to select the award recipients;

(f) Any special conditions or requirements that may accompany an award of funds.

(E) Proposal review and program awards

The chancellor shall review each proposal submitted in response to each request for proposals. Proposals received by entities deemed to be ineligible to submit proposals as defined in the request for proposals shall not be reviewed. The review of proposals shall include, but not be limited to, the consideration of one or more of the criteria specified in section 3333.73 of the Revised Code.

The chancellor shall seek the advice of the advisory committee prior to deciding on awards to submit to the controlling board for approval. The chancellor shall also seek the advice of the advisory committee subsequent to deciding awards but prior to submitting them to the controlling board.

The chancellor shall notify each lead, or co-lead, applicant of the decision concerning each respective proposal.

(F) Waiver of pledge of private funds

Any request for a waiver of the pledge of private funds required pursuant to section 3333.74 of the Revised Code included in any proposal shall be reviewed by the chancellor with the advisory committee. After such review, if the chancellor determines that exceptional circumstances do not exist, the waiver request shall be denied. If the chancellor determines that exceptional circumstances do exist, the chancellor may waive, in whole or in part, the requirement and shall provide to the controlling board as part of the request for approval of the award, an explanation for the waiver.

(G) Award requirements

(1) Any recipient of an Ohio co-op/internship award granted by the chancellor and approved by the controlling board shall enter into a grant agreement with the chancellor governing the use of the award.

(2) Any recipient of an Ohio co-op/internship award granted by the chancellor and approved by the controlling board shall be required to provide the chancellor with periodic program and fiscal reports as provided in the grant agreement.

(3) Award recipients shall agree to maintain financial and non-financial records documenting the activities of the funded program. Such records shall be subject to inspection and review at the discretion of the chancellor to ensure fiscal accountability, operating progress, and desired outcomes. The chancellor may require an award recipient that violates the terms of its agreement to repay the award plus interest at the rate required by section 5703.47 of the Revised Code. A decision of the chancellor to require such repayment shall be final.

(4) Award recipients shall agree to participate in any common marketing or branding strategy that may be specified by the chancellor for program awardees.

Effective: 02/16/2009
R.C. 119.032 review dates: 02/16/2014
Promulgated Under: 119.03
Statutory Authority: 3333.72
Rule Amplifies: 3333.72 , 3333.73 , 3333.74 , 3333.75