Chapter 3339-3 In General
The policies and procedures detailed in this manual apply to all instructional and administrative staff on the Miami payroll, regardless of the ultimate source of funding. Thus, individuals engaged to work on research grants, public service projects, support services, as well as departmental instruction and institutional administration are covered by these provisions, except when specifically noted otherwise.
Ohio law specifies that all Miami university employees are part of the civil service of the state. Ohio law divides the civil service into classified and unclassified administrative employees. Miami subdivides the unclassified civil service into instructional staff and administrative staff
Policies affecting classified employees of Miami are administered by the department of human resources. Information about these policies may be obtained from that office.
Fulltime employee. A person whose customary annual appointment is longer than one semester for thirty or more hours per week or .75 FTE or greater. Full-time appointments are benefit eligible
Note: Instructional staff do not earn vacation. In order to earn vacation, unclassified administrative staff must have an annual appointment of 1.0 FTE of at least ten months duration
Part-time employee. A person whose customary annual appointment is longer than one semester but for less than thirty hours per week (.70 FTE or less). Part-time appointments are not benefit eligible.
Temporary employee. A person whose customary annual appointment is for one semester or less. Temporary appointments are not benefit eligible.
Note: An employee who receives an appointment on or after July 1. 2014. specifying full-time status is eligible for benefits on the first day of the first month following the effective date of the appointment.
Immediate family. Unless otherwise defined in a policy, immediate family includes the employee's mother, father, brother, sister, biological or adopted child, spouse, domestic partner, grandparent, grandchild, mother-in-law, father-in-law, daughter-in-law, son-in-law, brother-in-law, sister-in-law, grandparent-in-law. anyone who stood in loco parentis to the employee as a child, and other persons for whom the employee is legally responsible.
Domestic partner. A person of the same sex as the employee who meets the criteria of a domestic partner and is designated by the employee as a domestic partner on an affidavit of domestic partnership. A completed affidavit of domestic partnership must be on file with benefit services in order to use domestic partner benefits.
Retiree. A person who meets either of the following definitions:
(A) An employee who applies for and receives a service retirement benefit from an Ohio public employees retirement system (e.g.. state teachers Retirement /System [STRS]. public employees retirement system [PERS]) or an employee who is a participant in the Miami university alternative retirement plan (ARP). is age fifty-nine and half and who applies for and receives a retirement distribution from the ARP: or
(B) An employee who applies for a disability retirement benefit from an Ohio public retirement system or university-sponsored disability plan and whose application for that benefit has been approved. (Note that individuals receiving a disability retirement benefit from an Ohio public retirement system are deemed to be on a statutory leave of absence during the first five years following the effective date of a disability retirement.)
Building and maintaining a diverse and inclusive community is an integral part of Miami university's mission and success. The university is committed to equal opportunity, affirmative action, and eliminating discrimination and harassment. Miami university does not discriminate on the basis of age, color, disability, gender identity or expression, genetic information, military status, national origin, pregnancy, race, religion, sex, sexual orientation or protected veteran status in its application and admission processes, educational programs and activities, facilities, programs or employment practices.
Miami university does not permit and takes action to prevent harassment, discrimination and retaliation. Miami university immediately investigates and if it determines that a hostile environment has been created or discrimination or retaliation has occurred, takes action to prevent its recurrence and remedy its effects.
Requests for reasonable accommodations for disabilities related to employment should be directed to firstname.lastname@example.org or 513- 529-3560. Students with disabilities may contact the office of student disability services, 19 Campus avenue building, 513-529-1541 (V/TTY) and 513-529-8595 (fax). All other requests should be directed to the Section 504 and ADA coordinator, Ms. Kenya Ash, Hanna house, Miami university Oxford, Ohio 45056, 513-529-2157 or email@example.com.
Miami university is committed to web accessibility and strives to provide an accessible web presence that enables all university community members and visitors full access to information provided on its websites. If you have questions or need assistance, contact Sean Poley, director of accessible technology, 312X Hoyt hall, Miami university, Oxford, Ohio 45056, 513-529-1225 or firstname.lastname@example.org.
Title IX coordinator- Title IX of the education amendments of 1972 is a federal law prohibiting discrimination on the basis of sex in higher education. Sex discrimination includes sexual harassment and sexual violence. The university's Title IX coordinator is Ms. Kenya Ash, director of the office of equity and equal opportunity, Hannahouse, Miami university, Oxford, Ohio 45056. Ms. Ash may be reached at 513-529-7157 or email@example.com.
Deputy Title IX coordinator for athletics- Ms. Jennifer A. Gilbert, associate athletic director/senior woman administrator/director of ncaa compliance is the university's deputy Title IX coordinator for matters related to equality of treatment and opportunity in intercollegiate athletics. This includes athletic financial assistance, accommodation of interest and abilities and equity of athletic program benefits. Ms. Gilbert may be reached at Millett hall, Miami university, Oxford, Ohio 45056, 513-529-3113 or firstname.lastname@example.org.
Deputy Title IX coordinator for students - Ms. Rebecca Getson, sexual assault response coordinator, is the university's deputy Title IX coordinator for matters related to student sexual violence. This includes sexual misconduct, sexual violence, and sexual coercion of students. Ms. Getson also serves as the coordinator for matters relating to student domestic violence, dating violence, and stalking. Ms. Getson may be reached at student health services, 104 health services center, 421 s. Campus avenue, Oxford, Ohio 45056, 513-529-1870 email@example.com.
Deputy Title IX coordinator for regional students- Ms. Bennyce Hamilton, regional director of diversity and multicultural services, is the university's deputy Title IX coordinator for matters related to regional student sexual violence. This includes sexual misconduct, sexual violence, and sexual coercion of students. Ms. Hamilton also serves as the coordinator for matters relating to regional student domestic violence, dating violence, and stalking. Ms. Hamilton may be reached at 117 Rentschler hall, 1601 University boulevard, Hamilton, Ohio 45011, or 144 Johnston hall, 4200 n. University boulevard, Middletown, Ohio 45042, 513-785-3283 or firstname.lastname@example.org.
Sections 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act (ADA) coordinator- Section 504 and the ADA are federal laws prohibiting discrimination on the basis of disability. The university's Section 504 and ADA coordinator is Ms. Kenya Ash, director of the office of equity and equal opportunity, hanna house, Miami university, Oxford, Ohio 45056. Ms. Ash may be reached at 513-529-7157 or email@example.com.
Promulgated Under: 111.15
Statutory Authority: 3339.01
Rule Amplifies: 3339.01
Prior Effective Dates: 9/30/1999, 10/17/2007, 8/20/2008, 10/14/2011, 9/13/2012, 9/12/2013, 3/6/2015, 11/5/2015
Miami university does not discriminate against a qualified individual with a disability because of the disability with regard to job application, hiring or discharge of employees, employee compensation, job training, or other terms, conditions, and privileges of employment.
A qualified individual with a disability is one who, with or without reasonable accommodation, can perform the essential functions of the employment position that such individual holds or desires.
A disabled employee or potential employee who requests reasonable accommodation shall identify the specific job requirement that he or she believes should be modified through reasonable accommodation.
Miami university will provide necessary reasonable accommodation if it can do so without undue hardship on the operation of Miami university.
Requests for reasonable accommodations for disabilities related to employment should be directed to ADAfacultystaff@miamioh.edu or 513- 529-3560. Students with disabilities may contact the office of student disability services, 19 Campus avenue building, 513-529-1541 (V/TTY) and 513-529-8595 (fax). All other requests should be directed to the section 504 and ADA coordinator, Ms. Kenya Ash, Hanna house, Miami university Oxford, Ohio 45056, 513-529-2157 or firstname.lastname@example.org.
Questions and complaints should be directed to the director of the office of equity and equal opportunity.
In accordance with Title VII of the Civil Rights Act of 1964, Miami university will reasonably accommodate the religious beliefs, observances, and practices of its employees, e.g., accommodate a religious belief, observance, or practice which conflicts with an employment requirement.
Employees must direct requests for reasonable accommodation to the appropriate personnel office (academic personnel services or department of human resources). The university will provide reasonable accommodation if it can do so without undue hardship on the conduct of university business. The appropriate personnel office will consult with the employee's department to arrange reasonable accommodation.
(A) Harassment and discrimination are prohibited
Respect for human diversity is an essential element of the Miami university community. Miami university strongly opposes and will not tolerate harassment or discrimination on the basis of age, color, disability, gender identity, or expression, genetic information, military status, national origin, pregnancy, race, religion, sex, sexual orientation or protected veteran status in its activities, programs, admission, and employment. This prohibition extends to harassment or discrimination, based on the protected status listed above, including the creation of an intimidating, hostile, or offensive working, educational, or living environment. This rule is intended to address all forms of prohibited harassment and discrimination except for allegations of sexual harassment, sexual misconduct, interpersonal violence (stalking, dating violence and domestic violence) which are addressed separately in the Title IX protocol -sexual misconduct policy and procedures for students at Miami university and Title IX protocol -sexual misconduct policy and procedures for employees at Miami university.
Harassment and discrimination are illegal. This rule is not intended to impair or limit the right of anyone to seek a remedy available under state or federal law. Legal remedies may be pursued outside Miami university by contacting the equal employment opportunity commission, the Ohio civil rights commission, the United States department of education office for civil rights, or by consulting an attorney at the person's own expense. Under the law, there are various time limits for filing charges outside the university. Persons should contact the agencies listed above or an attorney to determine the applicable time limits.
This rule may in some respects exceed the requirements of applicable law. However, this rule will not be enforced so as to infringe upon first amendment rights, including the right to academic freedom.
For the purpose of determining whether particular conduct constitutes a violation of this rule, the following definitions will be used:
(1) Discrimination: conduct that is based on a person's age, color, disability, gender identity or expression, genetic information, military status, national origin, pregnancy, race, religion, sex, sexual orientation or protected veteran status in its activities, programs, admission, and employment that:
(a) Adversely affects a term or condition of a person's employment, education, living environment or participation in a university activity; or
(b) Is used as a basis for or a motivating factor in decisions affecting the person's employment, education, living environment or participation in a university activity.
(2) Harassment: conduct that is based on a person's age, color, disability, gender identity or expression, genetic information, military status, national origin, pregnancy, race, religion, sexual orientation or protected veteran status in its activities, programs, admission, and employment that has the purpose or effect of unreasonably interfering with a person's employment or educational experience or creates an intimidating, hostile, offensive working, educational or living environment. The more severe the conduct the less need there is to show a repetitive series of incidents to demonstrate a hostile environment. In fact, a single severe incident may be sufficient to create a hostile environment.
The university will provide, consistent with state and federal law, reasonable accommodations to persons with disabilities and reasonable accommodations for religious practices.
Examples of conduct prohibited by this rule include but are no means limited to taking any of the actions listed below based on a person's age, color, disability, gender identity or expression, genetic information, military status, national origin, pregnancy, race, religion, sex, sexual orientation or protected veteran status:
(a) Denying a person access to an educational program.
(b) Denying salary increases and/or promotions.
(c) Preventing a person from participating in any activity or program or using university facilities or services.
(d) Instigating or perpetuating an environment that is unwelcome or hostile.
(e) Subjecting a person to offensive and unwelcome conduct.
(f) Basing decisions about employment or educational opportunities.
This rule applies to all aspects of Miami university's operations and programs, including regional campuses. It applies to all university students and employees, including faculty, administrators, classified non-bargaining staff, bargaining unit staff, and student employees. It also applies to all vendors, contractors, subcontractors, and others who do business with the university. It applies to all visitors or guests on campus to the extent that there is an allegation of harassment or discrimination made by them against university students or employees. This rule also applies to harassment or discrimination that occurs outside the educational program or workplace if the conduct negatively affects a person's educational or work environment.
(D) Information and assistance
General information regarding this rule is available at the office of equity and equal opportunity, Hanna house, Miami university, Oxford, Ohio 45056, (513) 529-7157.
Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act coordinator- Section 504 and the ADA are federal laws prohibiting discrimination on the basis of disability. The university Section 504 and ADA. coordinator is Ms. Kenya Ash, director of the office of equity and equal opportunity, Hanna house, Miami university, Oxford, Ohio 45056. Ms. Ash may be reached at (513) 529-7157 or ashkd@MiamiOH.edu.
(E) Retaliation is prohibited
Any retaliatory action or conduct taken by any person against a person who has sought relief under this rule is strictly prohibited and will be regarded as a separate and distinct violation of this rule. Examples of retaliatory action include assigning low grades, assigning undesirable teaching or work schedules, and/or giving deflated performance evaluations. This protection against retaliation extends to any person who opposes acts of harassment or discrimination or who testifies, assists, or participates in any manner in an investigation, proceeding, or hearing relative to harassment or discrimination.
If the university determines that reasonable cause exists to believe that a violation of this rule has occurred, the university will take action to provide appropriate additional relief. This rule provides for reliable and impartial investigation of harassment or discrimination. When harassment or discrimination does occur, the university will take appropriate steps to prevent its recurrence and remedy the discriminatory effect on the complainant (or alleged victim if different from the complainant) and others, as appropriate. The university may also initiate appropriate disciplinary action under paragraph (L) of this rule.
(G) Reporting harassment, discrimination, or retaliation- duty to report Any person who believes he/she has been subjected to discrimination, harassment, or retaliation may report the behavior directly to the office of equity and equal opportunity (office of equity and equal opportunity).
All employees who become aware of alleged protected class discrimination or harassment as defined in this rule are required to report it to the office of equity and equal opportunity This includes administrators, supervisors, managers, faculty and staff.
Graduate assistants, residential assistants (RAS), orientation leaders (souls) and student managers in housing, dining, recreation and business services (HDRBS) are also required to report.
(1) Employees with a legal privilege of confidentiality under Ohio law (including doctors, licensed counselors, and their staffs) are not required to report when the information is obtained in the course of a confidential communication.
(2) Researchers are not required to report if the information is disclosed by a subject during participation in an institutional review board approved human subjects research protocol (IRB research). The university's institutional review board (IRB) may, in appropriate cases, require researchers to provide such information to all student subjects of IRB research.
In addition to reporting discrimination and harassment, information regarding alleged retaliation as described in paragraph (F) of this rule must also be reported.
office of equity and equal opportunity will conduct a preliminary assessment of the report. The report should not be made to the person who is alleged to be engaging in discrimination, harassment, or retaliation.
Anonymous reports will be accepted; however, the university's options for investigating or resolving anonymous reports may be limited because of the unique challenges presented. However, office of equity and equal opportunity reviews and takes appropriate action on all reports including anonymous reports.
Any person who reports alleged harassment, discrimination, or retaliation) and any person against whom such an allegation is made may be accompanied at all stages of the process described in this rule by an advisor. Advisor means any individual who provides support, guidance, or advice to the accuser or the respondent. The role of the advisor is only to be present; they will not be provided documentation or permitted to interject during any part of a meeting. If an advisor is determined to be unreasonably interfering with the investigation, he or she may be asked to leave.
(I) Making a report of harassment, discrimination, or retaliation
A report may be filed at any time regardless of the length of time between the alleged occurrence and the decision to report. However, the university strongly encourages persons to report promptly in order to facilitate an effective investigation and access to information. A delay in reporting may compromise the investigation.
(J) Investigation of a report
Office of equity and equal opportunity may facilitate an informal resolution of the report. An informal resolution of the report does not bar a subsequent formal resolution. The university does not use mediation to resolve reports.
Within thirty calendar days of receipt of a report, office of equity and equal opportunity will conduct an investigation to determine whether there is reasonable cause to believe that a violation of this rule has occurred, including the extent and severity of the violation. The parties will have the opportunity to be accompanied by an advisor, to present information and respond to written reports, and to ask that witnesses be interviewed. At the completion of the investigation, office of equity and equal opportunity will issue a written report of its investigation that includes a finding of reasonable cause or no reasonable cause and related recommendations. office of equity and equal opportunity's findings will be based on a preponderance of the evidence. A preponderance of the evidence is the evidence that has the most convincing force; the greater weight of credible evidence. office of equity and equal opportunity will consider all information presented. This standard of evidence essentially asks, "is it more likely than not that our rule was violated?"
A copy of the office of equity and equal opportunity report will be given to both the complainant and the respondent. After the office of equity and equal opportunity report is issued, both the complainant and the respondent are permitted to review the office of equity and equal opportunity investigation file.
The complainant and the respondent each have the right to challenge the conclusion in the report by requesting a review by the associate vice president for institutional diversity. A request for review must allege one or more of the following deficiencies in the investigative report:
(1) That an alleged material violation of this rule occurred that resulted in a failure to conduct a reasonably thorough investigation, in which case the matter will be remanded back to office of equity and equal opportunity for additional investigation;
(2) That new evidence exists that was not available at the time of the investigation; or
(3) The conclusion is clearly erroneous and not supported by the investigation.
Requests for review must be submitted to the associate vice president for institutional diversity within five class days of the issuance of the office of equity and equal opportunity report (class days include exam week).
The request for review must be submitted in writing, stating the basis for review and with all supporting materials attached. The request for review will be shared with all parties and the office of equity and equal opportunity for their response, if any. Responses shall be filed within five class days of the parties' and office of equity and equal opportunity's receipt of the request for review.
The associate vice president for institutional diversity will issue a written report and share it with all parties and the office of equity and equal opportunity.
(L) Disciplinary action
If there has been a finding of reasonable cause and a recommendation that the respondent be subjected to appropriate disciplinary action either in the office of equity and equal opportunity report or as a result of a review, the discipline, if any, to be imposed will be determined according to the procedures described in the student conduct regulations, if the respondent is a student; the Ohio civil service law or a collective bargaining agreement then in effect, whichever is applicable, if the respondent is a member of the classified staff; rule 3339-13-07 of the Administrative Code if the respondent is a member of the unclassified staff; or rule 3339-8-03 of the Administrative Code, if the respondent is a member of the instructional staff.
If disciplinary action is initiated, the complainant, the respondent, the person or office initiating disciplinary action, and the hearing officer/ body will be entitled to full access to the office of equity and equal opportunity investigation file and the file, if any, of the review.
If there has been a finding that reasonable cause exists to believe that a vendor, contractor, subcontractor, visitor, guest or other person who does business with the university has violated this rule, the matter shall be referred to the vice president for finance and business services for appropriate administrative action.
The university is committed to addressing all complaints of harassment and discrimination in a prompt and equitable manner. The university uses its best efforts to complete the investigation of all complaints within thirty calendar days. This timeline may be extended based upon the complexity, severity and extent of the alleged violation. The timeline may also be affected by the winter or spring break periods and summer or winter terms. This timeline does not include appeals.
After a report of harassment or discrimination has been made, subsequent time limits specified in this rule may be extended by the associate vice president for institutional diversity notice of the extension will be made in writing and will include the reason for the extension. Notification of extension will be made to both the complainant and the respondent.
It is a violation of this rule to knowingly make a false allegation of harassment or discrimination. However, failure to prove a claim of harassment or discrimination is not equivalent to making a false allegation. It is also a violation of this rule for an respondent or other person interviewed by office of equity and equal opportunity to knowingly make a false statement.
Promulgated Under: 111.15
Statutory Authority: 3339.1
Rule Amplifies: 3339.1
Prior Effective Dates: 10/24/1986, 12/15/1992, 09/30/1999, 09/30/2000, 09/30/2001, 11/07/2003, 03/31/2005, 10/31/2006, 10/17/2007, 08/20/2008, 11/14/2009, 09/13/2012, 09/12/2013, 03/06/2015, 11/05/2015, 11/03/2016
In the event any public health organization (e.g. Butler county department of health, the Ohio department of health, the U.S. department of health and human services, or the center for disease control) determines a public health emergency exists at Miami university or threatens members of its community or to the surrounding population (e.g. an outbreak of an infectious disease that poses a threat to the health or safety of the university community), the president and/or the president's designees, may take such actions as are appropriate to protect the health and safety of the university's students and staff. Subject to the limitations imposed by law, the provisions of this policy take precedence over any inconsistent provisions of university policy to the contrary.
(A) Infectious diseases include:
(1) Pandemic influenza
(2) Meningococcal meningitis
(3) Tuberculosis (TB)
(6) Hepatitis A
(7) Bioterrorism event - using a communicable agent
(B) Other less serious infectious diseases, such as seasonal influenza, and community acquired mrsa skin infections will be handled on a case-by-case basis.
(C) In the event of a public health emergency:
(1) the university will, to the extent applicable, implement the directives of the public health organization including but not limited to isolation and quarantine measures, treatment of patients and prophylactic treatment of contacts;
(2) the university will, in accordance with law, share information with the public health organization to assist in the tracking, investigation, treatment and containment associated with the public health emergency. On-campus medical providers will not discuss a student's or staff member's diagnosis with any other person without explicit authorization of the patient except as required by law;
(3) Where the public health agency recommends the exclusion from the classroom, workplace or extracurricular activities of persons who are infected with a communicable disease or who are at risk of infection, the university may implement those recommendations as though they were directives.
(4) Where the public health agency recommends vaccination of persons who are infected with a communicable disease or who are at risk of infections, the university may condition continued attendance, residence or participation in instructional activities or continued admission to assigned workplaces upon receipt of such recommended vaccinations.
(D) Pre-emptive actions taken in reliance on reasonable medical judgment.
In the event that circumstances arise that require immediate action without time for consultation with the public health agency, or in which the public health agency guidance is directed primarily to individuals rather than to institutions, the president and/or his designees may institute temporary measures to restrict students, employees or visitors from participation in institutional activities, including regularly assigned employment responsibilities, if it is determined on the basis of reasonable medical judgment that the individual's continued participation in those activities poses an unacceptable risk of infectious transmission to others.
(1) For purposes of this section, reasonable medical judgment must be tendered by a physician licensed to practice in the state of Ohio, and
(2) It must be based upon due consideration, given the state of medical knowledge, about:
(a) The nature of the risk
(b) Duration of the risk
(c) The severity of the risk
(d) The probabilities the disease will be transmitted and cause substantial harm to a significant number of infected persons.
(E) Persons displaced by pre-emptive response measures.
Where measures undertaken pursuant to this policy prevent students from participating in regularly assigned instructional or extracurricular activities, or employees from reporting to their regularly assigned workplaces, the university will make reasonable efforts to provide alternative means to pursue educational or extracurricular activities or to carry out assigned employment responsibilities.
(F) University action following notification of a public health emergency.
In consultation, with appropriate health center and public health officials, the president or his designees will develop a treatment and containment of infection plan. The plan will include:
(1) Outbreak containment measures
(2) Isolation and quarantine recommendations
(3) Treatment of patients and prophylactic treatments of contacts
(4) Necessary immunization of students and staff
(5) A communication plan for keeping the community informed
(G) Health center director responsibilities- the health center director will:
(1) Implement the treatment and containment of infection plan in consultation with the appropriate university personnel and/or public health organizations.
(2) Serve as communication interface with the university community for updated disease information and treatment postings to university websites.
(3) Collaborate with university personnel and county /state health agencies to determine if isolation and/or quarantine are necessary.
(4) Assure compliance of state required documentation for disease notification and case investigation.
(5) Coordinate additional staffing measures and/or extended hours of operation of health services. Organize prophylactic treatment and immunization delivery as requested by Butler county health department or as deemed necessary by the university.
(6) Assist in developing appropriate protocols or policies to allow affected student(s) and staff to return to campus. Depending on the nature of the outbreak, students or staff may be required to be medically cleared by the health center to return to campus or present written documentation from his/her treating physician or primary care provider documenting that the individual is medically cleared (i.e., is no longer infectious to others) and is able to return to school or work as of a specified date.
(A) Information accurate and relevant
Various state and federal laws require certain information be maintained by the university. and sound employment decisions require that the university collect and retain information regarding employment history and performance. No person, office, or agency of the university shall maintain any files or records relating to a staff member's private life or extra professional exercise of constitutional rights to expression or association. This policy protects the lawful practice of dissent, protest meetings, demonstrations, petitions, and the like.
Any employee (including his or her legal guardian or attorney who presents a signed written authorization) may inspect all documents maintained by Miami of which he or she is the subject. If an individual authorized to inspect personal information requests a copy of any documents that he or she is authorized to inspect. Miami university will provide a copy of the document(s) to the individual.
This paragraph does not provide a right to inspect or have copied confidential information as defined in section 149.43 of the Revised Code.
(C) Disputes concerning information
If an employee disputes the accuracy, relevance, timeliness, or completeness of personal information that is maintained by Miami university, the individual may request Miami, through the appropriate personnel office, to investigate the current status of the information. Miami university will, within a reasonable time, not to exceed ninety days after receiving the request, make a reasonable investigation to determine whether the disputed information is accurate, relevant, timely, and complete, and will notify the individual of the results of the investigation and of the action that Miami will take with respect to the disputed information. Miami university will delete any information that is proven to be erroneous.
If, after Miami's determination, the individual is not satisfied, the individual may do either of the following:
(1) include a brief written statement of his or her position on the disputed information, or
(2) include a written notation that the individual protests and that the information is inaccurate, irrelevant, outdated, or incomplete.
Miami university shall include the statement or notation of dispute in any subsequent transfer or dissemination of the disputed information and may include with the statement or notation of dispute a statement by Miami university that it has reasonable grounds to believe that the dispute is frivolous or irrelevant and the reasons for its belief.
(D) Disciplinary action
Any employee who initiates or otherwise contributes to any disciplinary or other punitive action against any individual who brings to the attention of appropriate authorities, press, or public, evidence of unauthorized use of personal information shall be subject to disciplinary action including written reprimand, suspension, or dismissal. It is not an unauthorized use of personal information to comply with the Ohio Public Records Act.
In order to facilitate prompt compliance with the Ohio Public Records Act ( Section 149.43 of the Revised Code), all persons seeking to inspect or obtain copies of university records are expected to comply with this policy. This policy does not apply to the use of records for official university business by authorized individuals or to persons who desire to inspect or obtain copies of their own records.
Requests to inspect or copy public records may be made to either the office of general counsel in person at 215 Roudebush hall, by telephone to (513)529-6734. or via email to general counsel: or university news and communications in person at 102 Glos center, by telephone to (513)529-7592. or via email to newsinfo@,miamioh.edu.
If a request is made directly to any other university office, the staff are expected to immediately contact the office of general counsel to begin the process. Persons making requests need not reveal their identity and are not required to put their requests in writing. However, written records requests help avoid any misunderstanding or confusion regarding the scope of the records being requested.
It is the responsibility of the requestor of public records to identify with clarity the records that are sought. The university is under no duty to seek out and retrieve records that contain specific information that is of interest to a requestor. It is not appropriate to ask the university to search for records containing selected information. For example, a request for any and all records containing any reference to a particular person or subject is overly broad and inappropriate. Miami is under no obligation to create a record that contains the information requested if it does not already exist.
Inspection is permitted during regular university business hours (eight a.m. to five p.m. during the fall and spring semesters: thirty minutes after seven a.m. to thirty minutes after four p.m. May through mid-August. However not all records are available for inspection upon demand. Records must often be reviewed and nonpublic information redacted before inspection can be permitted. Records will be made available for inspection within a reasonable period of time following the request. The amount of time will depend upon the number of records requested, the location of the records, the medium in which the records are stored, the need for legal review, and the need to redact nonpublic information.
Copies of records will be provided at cost. However not all records are available for copying upon demand. Records must often be reviewed and nonpublic information redacted before copying will be permitted. Copies will be provided within a reasonable period of time following the request. The amount of time will depend upon the number of records requested, the location of the records, the medium in which the records are stored, the need for legal review, and the need to redact nonpublic information. Costs must be paid in advance before copies will be provided.
If a public records request is made to examine a personnel file, the employee, to the extent practicable, will be notified that his or her records have been requested and, if known, the name of the person making the request.
If a public records request is denied, in whole or in part, an explanation will be provided. If dissatisfied with the response to a public records request, the requestor should contact the office of general counsel for assistance.
(A) General information
This policy applies to all faculty and staff who create intellectual property owned by Miami university and desire to hold an ownership interest in the firm, corporation, or other association to which the board of trustees has assigned, licensed, transferred, or sold the university's interests in discoveries or inventions made or created by that employee or in patents issued to that employee commercializing his or her research.
This policy serves as exceptions to the Ohio Ethics Law and related statutes [Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code], which might otherwise apply. Matters outside the scope of this policy will be subject to such laws to the extent applicable.
(1) A technology commercialization company is a private commercial entity that is owned in whole or in part by a university employee and that has as its purpose the development and commercialization of university-owned technology created by that employee.
(2) The technology transfer oversight committee is the university body responsible for the approval and oversight in technology commercialization companies pursuant to a delegation of authority from the university board of trustees. The technology transfer oversight committee shall be composed of a representative of each of the following offices: office of the provost, office of the vice president for finance and business services, office for the advancement of research and scholarship, and office of the general counsel.
(3) The office of the general counsel is the university body responsible for assisting faculty and other university employees in identifying, managing, and eliminating conflicts of interest, and in particular for facilitating the development of conflict-of-interest management plans for faculty and staff participating in technology commercialization companies.
(1) This policy applies to all faculty who create intellectual property owned by the university and desire to hold an ownership interest in a technology commercialization company.
(2) This policy applies to staff members holding unclassified administrative appointments, all graduate award holders, and student employees who
(a) Are specifically assigned to engage in research and development activities,
(b) Create intellectual property owned by the university, and
(c) Desire to hold an ownership interest in technology commercialization company.
(D) Responsibilities of department chairs and staff supervisors
(1) Department chairs are responsible for ensuring that faculty who participate in technology commercialization companies comply with this policy. Department chairs are also responsible for ensuring the compliance with university policies on conflicts of interest and outside employment and for reviewing and making a recommendation s to the propriety of private business activities reported by their faculty in disclosure forms required by those policies.
(2) Staff supervisors are responsible for ensuring that employees who participate in technology commercialization companies comply with this policy. They are also responsible for ensuring the compliance with university policies on conflicts of interest and outside employment and for reviewing and making a recommendation as to the propriety of private business activities reported by staff in disclosure forms required by those policies.
(E) Approval process
(1) Faculty and staff members who wish to participate in a technology commercialization company must first obtain approval from their department chairs and deans or other appropriate supervisors. The technology transfer oversight committee will be responsible for establishing the business terms of the transaction between the company and the university, and the office of the general counsel will facilitate the development of a conflict-of-interest management plan.
(2) The technology transfer oversight committee will review the sufficiency of business terms and conflict-of-interest management plans relating to technology commercialization companies. Written approval from the technology transfer oversight committee must be obtained before any business agreements relating to a technology commercialization company are finalized.
(3) Faculty or staff members who wish to participate in a technology commercialization company may discuss initial company formation with the associate provost for research; however, they should not, as a general rule, participate in the ongoing negotiations of option and licensing terms between the company and university. As soon as possible, third parties, such as company management and/or legal counsel, should perform this function.
(4) As a prerequisite to the granting of an exclusive license to university technology, a technology commercialization company must provide the technology transfer oversight committee with a viable business plan including, at a minimum, the following:
(a) A capitalization plan demonstrating access to funds necessary for company growth,
(b) A proposed management team, and
(c) Milestones for product development and commercial sale.
(5) In recognition of the university's ownership of the technology, a technology commercialization company shall grant the university an equity interest in the company as negotiated by the technology transfer oversight committee.
(6) The faculty member's department chair or the staff member's supervisor must be an active participant in discussions with the technology transfer oversight committee and in the development of the conflict-of-interest management plan relating to a technology commercialization company.
(7) A department chair or staff supervisor who has a financial interest or is a co-participant with a faculty or staff member in a technology commercialization company is not in a position to provide effective oversight of that activity. In these situations, another disinterested administrator must be appointed to perform the responsibilities of the department chair or the staff supervisor.
(8) If the technology transfer oversight committee determines that, for any reason it is not possible for the department chair, the staff supervisor, or another disinterested administrator to provide effective oversight of the transaction involving a technology commercialization company, the transaction should not be approved.
(F) Responsibility for university duties
(1) Faculty are encouraged to develop discoveries and inventions with commercial potential; however, they should do so with due regard to the broader teaching and research mission of the university. Faculty should not allow their interest in a financial opportunity arising out of their research efforts to influence their teaching or advising of students, or to interfere with their relationships with other faculty. In particular, research assignments for students should be based on the students' interests and academic development. Faculty should respect and promote the cooperative nature of the academic environment by sharing information and participating in joint research efforts with their colleagues.
(2) While faculty are permitted by the university policy on outside employment and this policy to engage in specified private business activities relating to their university position, they continue to be responsible for the performance of all of their university teaching, research, and service obligations. Authorized private business activities must be undertaken in accordance with the university policy on outside employment and pursuant to formal consulting and conflict-of-interest management agreements between the faculty, the technology commercialization company, and the university and approved by the department chair, the office of the general counsel, and the technology transfer technology oversight committee.
(3) Staff members may engage in activities relating to a technology commercialization company during regularly assigned working hours only if they take approved leave. When performed outside regularly assigned working hours, these activities must be undertaken in accordance with the university policies on conflicts of interest and outside employment and pursuant to a formal conflict-of-interest management agreement between the staff member, technology commercialization company and the university and approved by the department chair and/or supervisor, the office of the general counsel, and the technology transfer technology oversight committee.
(4) Staff members may pursue research project as authorized by their supervisors. Supervisors should authorize only those staff research projects that will advance the missions of the university and the employing unit, without regard to the financial interests of the individual employees.
(G) Conflict-of-interest management standards
(1) University facilities, equipment and other resources may be used for research benefiting a technology commercialization company only pursuant to a sponsored-research agreement, facilities-use agreement, or other appropriate contractual arrangement.
(2) As a general rule, faculty or staff should not hold management positions in technology commercialization companies. While they may initially find it necessary to play a management role in a newly formed company, it is expected that their management responsibilities will decrease as the company develops. Professional management should be brought in at the earliest opportunity. In order to ensure the application of this principle, agreements between the university and the technology commercialization company should contain enforceable milestones for the reduction of these management responsibilities. Failure to comply with these agreed-upon milestones will result in the company's inability to engage in sponsored research and to utilize student employees and the other commercialization agreements and/or activities permitted under this policy.
(3) Faculty should not allow their management activities with technology commercialization companies to consume a disproportionate amount of their professional attention. Faculty engaged in approved private business activities who are unable to perform all of their university responsibilities must reduce those activities or request a reduction of appointment or other approved leave-Professional improvement leave authorized under section 3345.28 of the Revised Code may not be used for private business purposes.
(4) Staff members who are unable to perform all of their university duties because of activities in connection with technology commercialization companies must reduce those activities or request a reduction of appointment or other approved leave.
(5) Graduate and undergraduate students may use university facilities, equipment. and other resources to perform research benefiting a technology commercialization company only pursuant to a sponsored-research agreement. Such research may not be used to satisfy the criteria for a thesis or dissertation if the research material is restricted from publication. Students should be informed, in writing, of this restriction prior to the start of their research.
(6) Students may be employed by a technology commercialization company. subject to the limitations set for the in paragraph (G)(7) of this rule. Prior to such employment, the student, the faculty or staff member, the chair of the student's department, and a company representative must sign an agreement disclosing the student's rights and obligations. If the student is a graduate student, the agreement must also be signed by the director of graduate studies in the student's department.
(7) A student may not be employed by a technology commercialization company in which a faculty member has an ownership interest if
(a) The student is enrolled in a course taught by the faculty member.
(b) The faculty member is a member of the student's thesis or dissertation committee, or
(c) The faculty member is the student's adviser or the director of his or her thesis or dissertation research.
Such students may perform research benefiting a technology commercialization company only pursuant to a sponsored-research agreement or other formal internship agreement through the university.
(8) Technology commercialization companies may not enter into any agreements with the university for the purchase, sale, or rental of equipment, supplies, or services other than those explicitly authorized by the technology transfer oversight committee.
(9) As a general rule, faculty and staff members who are not directly involved with research and development of technology licensed to a technology commercialization company may not hold equity interests in that company. Equity ownership in these situations is permissible only to the extent allowed by section 2921.42 of the Revised Code.
(10) University regulatory review boards including, for example, the institutional review board for human subjects research and the institutional laboratory animal care and use committee, may be utilized for research benefiting a technology commercialization company only pursuant to a sponsored-research agreement.
(11) As a general rule, an individual faculty or staff member should not hold more that twenty-five percent of the outstanding equity in a technology commercialization company. While significant faculty or staff equity ownership may be inherent in a newly formed company, it is expected that their ownership interests, as a percentage of the total outstanding shares or membership interests of the company, will decrease as the company develops and attracts additional equity. In order to ensure the observance of this principle, agreements between the university and the technology commercialization companies should contain enforceable milestones for the dilution of these equity interests. Failure to comply with these agreed-upon milestones will result in the company's inability to engage in sponsored research and to utilize student employees and the other commercialization agreements and/or activities allowed for under this policy.
(12) Faculty or staff members may not assume the role of principal investigator in sponsored-research projects funded by technology commercialization companies in which they have an interest if the projects involve the use of human subjects. In other cases, faculty or staff may assume the role of principal investigator if a formal research-integrity plan has been approved by the office of the general counsel and the associate provost for research.
(13) Agreements for sponsored-research projects funded by technology commercialization companies must include, at a minimum, a requirement for full university publication rights and fully negotiated cost recoveries. The associate provost for research must approve exceptions to these conditions.
(14) Faculty and staff participating in technology commercialization companies approved pursuant to this policy continue to be bound by the university policy on intellectual property. New inventions and/or discoveries made as a result of a faculty or staff member's research efforts for the company, including those made under formal consulting agreements, will be owned by the university and the company will be offered an exclusive option to the technology. New inventions and/or discoveries developed by the faculty or staff member for the company must be disclosed to the office for the advancement of research and scholarship.
All fulltime faculty and unclassified administrative staff members are expected to devote his or her full attention and talents during the appointment period to the university. External services may in no way interfere with the performance of a person's university duties.
However, it is recognized that fulltime faculty and unclassified administrative staff members are sometimes asked by outside agencies and industries to provide consulting and other professional services. Normally such activity is encouraged when it:
(A) Contributes to the professional development of the individual;
(B) Contributes an expertise not commonly available to the solution of a societal problem; or
(C) has carryover value resulting in the improvement of instructional or research programs of the university.
Conflict of interest. All faculty and staff members are subject to Ohio's ethics laws. All faculty and staff members are subject to section 2921.42, of the Revised code having an unlawful interest in a public contract, and section 2921.43, of the Revised Code soliciting or receiving improper compensation All staff are subject to Chapter 102, division (C) of ethics, and faculty are subject to. division (C) of section 102.04 of the Revised Code. A summary of Ohio's ethics laws can be found in the ethics materials provided to new employees and the pamphlet, ethics is everybody's business, published by the Ohio ethics commission (http://www.eth ics.ohio.gov). Violations of Ohio's ethics laws carry criminal penalties. The general counsel serves as the university's chief ethics officer, and matters regarding potential or actual conflicts of interest should be directed to the general counsel.
Conflict of commitment. With the acceptance of an appointment at Miami university, an individual makes a commitment to the university. Every fulltime faculty and unclassified administrative staff member is expected to accord the university his or her primary professional commitment. Part-time faculty and unclassified administrative staff members are expected to devote their full time and attention during the designated work time. All employees are expected to arrange outside obligations, financial interests, and activities so as not to conflict or interfere with this overriding commitment to the university.
At the same time, no one benefits from undue interference with the legitimate external activities of faculty and staff who fulfill all of their duties; i.e., teaching at the university, conducting scholarly research under its sponsorship, meeting the other obligations to students and colleagues that faculty must share, and performing administrative duties. Indeed, the involvement of faculty or staff members in outside professional activities, both public and private, often serves not only the participants but the university as well.
All fulltime faculty and unclassified administrative staff members are required to complete the annual ethics and external service disclosure form even if no external services (including compensated and non-compensated activities) are anticipated. External service opportunities which arise after the annual disclosure form has been submitted require the employee to obtain advance approval using the request for approval to perform outside service form before undertaking such activity. university buildings, grounds, equipment and supplies, and personnel are provided and may be used only for official university work. Such facilities and personnel may not be used in any external services (including external employment or consulting activity).
For fulltime faculty and unclassified administrative staff members, external services (outside consulting, professional work, or work) shall not exceed an average of one day per working week in any semester or term. Time spent on such external services must be in addition to, rather than a part of, the normal full effort expected for university work.
No outside consultation or other professional activity may be undertaken where such activity is, or may be construed to be, competitive with any service of the university. Normally, teaching in a program other than that of Miami university will not be approved. Research activities that would ordinarily be done under university auspices may not be performed by private individual contract.
The fulltime faculty or unclassified administrative staff member shall take appropriate steps to ensure that any publicity or advertising relating to authorized external services is not detrimental to the good name and/or best interests of Miami university.
(A) Miami university statement on conflicts of interest
The close relationship Miami has with the community along with the growth of sponsored research, consulting contracts, staff involvement in the management of private businesses, and similar developments in recent years have increased the complexity of the relationships between the university, government, and industry. One of the consequences has been an increase in the potential for conflicts of interest between the university obligations a faculty or staff member has and the obligations he or she may assume in extramural activities involving sponsored research, private business ventures, consulting, etc.
It has long been recognized that the only truly effective safeguard against a conflict-of-interest situation is the integrity of the faculty and staff. A codification of the complex ethical questions involved, even if possible, would be unduly restrictive. At the same time, even the most alert and conscientious individual may at times be in doubt concerning the propriety of certain actions or relationships. Whenever such doubt arises, the university expects the individual involved to consult with the associate provost for research and dean of the graduate school, the associate vice president for finance and business services, or the office of the general counsel before making a decision.
Because of the importance of avoiding conflicts of interest and other ethical problems, the following summary of pertinent statutes is being made available. The summary should not be relied upon as the basis for answering a specific ethics question or determining a course of conduct in a specific situation. The summary is intended only to give all employees a basic understanding of the circumstances under which ethical problems may arise. Once the employee becomes aware of an ethical issue, he or she should look into the matter in greater detail.
There are two portions of the Revised Code that are directly applicable to university employees. The first of these is Chapter 102, of the revised code ethics; the second one is section 2921.42, of the revised code having an unlawful interest in a public contract; and section 2921.43, of the revised code soliciting or receiving improper compensation, which are part of the criminal code. Any interpretation of these statutes also may require consulting with the Ohio ethics commission or the employee's own attorney, in addition to appropriate individuals at the university. Such consultation should, of course, occur before, not after, the taking of any action that might raise ethical issues.
Ohio's ethics law recognizes that faculty and staff may be in a position to make or influence decisions that directly affect their personal interests. The guiding principle of the Ohio's ethics law is to prevent a public employee, including faculty and staff members, from participating in matters that involve the public employee's own financial interest or those of his family or business associates.
The specific sections of the Revised Code that are likely to affect Miami university employees are:
(2) Misuse of official position - divisions (D), (E), and (F) of section 102.03 of the Revised Code prohibit the giving, receiving, or soliciting of anything of value which would "manifest a substantial and improper influence" upon a public university employee with respect to his or her duties.
(3) Sale of goods or services - division (B) of section 102.04 of the Revised Code prohibits public university employees from selling or agreeing to sell, except through competitive bidding, goods or services to the university, general assembly, or any agency or institution of the state, excluding the courts. Again, there is a provision for exemption from the prohibition in some circumstances if the public employee files a disclosure statement, copies of which may be obtained from the Ohio ethics commission.
(4) Soliciting or receiving improper compensation - division (A) of section 2921.43 of the Revised Code prohibits employees from receiving or agreeing to receive compensation in addition to that paid by the institution for the performance of his or her duties. Division (C) of section 102.04 of the Revised Code prohibits employees from receiving or agreeing to receive, directly or indirectly, compensation other than from the university for any "service rendered or to be rendered" in any "case, proceeding, application or other matter" that is before the general assembly or any state institution or agency, excluding the courts. This provision may have an impact upon, among others, faculty members who receive compensation for certain types of consulting work, particularly giving testimony before state agencies. The law does provide mechanisms that may permit this type of activity in some circumstances, but it requires the filing of a disclosure statement, copies of which may be obtained from the Ohio ethics commission.
(5) Unlawful interest in a contract
(a) Divisions (A)(1) and (A)(2) of section 2921.42 of the Revised Code prohibit a public university employee from authorizing or employing the authority or influence of his or her employment to secure any public contract or public investment in which the employee, a member of the employee's family, or any of the employee's business associates, has an interest.
(b) Division (A)(3) of section 2921.42 of the Revised Code prohibits a public university employee from participating for profit in the prosecution of a public contract authorized by him or her as a public employee.
(c) Divisions (A)(4) and (A)(5) of section 2921.42 of the Revised Code prohibit public university employees from having any interest in a contract entered into by the university; or having an interest in any contract with any other state agency or institution which is not let by competitive bidding and which involves more than one hundred fifty dollars. There are exceptions to these prohibitions, which are quite detailed. For further assistance, the Ohio ethics commission should be contacted.
(B) Areas of potential conflict of interest/commitment
The areas of potential conflict may be divided into two broad categories. The first relates to conventional conflicts of interest - situations in which faculty and staff members may have the opportunity to influence the university's business decisions in ways that could lead to personal gain or give improper advantage to their associates. The second is concerned with conflicts of commitment - situations in which members' external activities, often valuable in themselves, interfere or appear to interfere with their paramount obligations to students, colleagues, and the university. Teachers and scholars are given great freedom in scheduling their activities with the understanding that their external activities will enhance the quality of their direct contributions to the university. It has been, and continues to be, assumed that all faculty and staff members will be alert to the possible effects of outside activities on the objectivity of their decisions, their obligations to the university, and the university's responsibilities to others.
(C) Informal resolution
Whenever members have any doubts about whether an activity may involve a conflict of interest or conflict of commitment, they are expected to consult with the university general counsel, who serves as the chief ethics officer. Questions on matters involving sponsored research conflicts of interest, should be directed to the associate provost for research and dean of the graduate school.
University employees have the right to participate in political activity, which is defined as running for elective public office, serving as a political party official, or serving in an official capacity on a campaign committee for a candidate or issue.
However, because political activity may raise sensitive issues for Miami university as a state-assisted institution, there shall be no suggestion of association of Miami university with partisan political activity. Faculty shall refrain from carrying political activity into the classroom. All university employees shall take due precaution to divorce their political activity from any suggestion of association with Miami university. They shall not place political stickers, banners, flyers, or other political literature on university bulletin boards, in and on university buildings, and on any university property. No letterhead or insignia of the university will be used in any partisan political activity.
Any member of the faculty or staff proposing to engage in political activity as defined above shall notify the president in writing of his or her intention. The president may require assurance that the contemplated political activity will not interfere with the individual's academic or staff responsibilities. If it is determined by the president that such political activity will interfere with the individual's university responsibilities, then the president may require the individual to apply for a leave of absence without pay during the period that such political activity creates such interference.
Instructional and administrative staff who are elected or appointed to public office shall notify the appropriate vice president upon their election or appointment. The form "request for approval to perform outside service" shall be used for this purpose.
Members of the instructional or administrative staff, elected or appointed to public office need not reduce their university commitment if the duties of the public office to which they are elected or appointed do not exceed an average of one day per working week in any semester. Time spent on such duties must be in addition to the normal effort expected for university work and may not interfere or conflict in any way with the performance of an individual's university duties. Examples of the public offices to which this provision normally applies are school board member, city council person or township trustee.
Members of the instructional or administrative staff elected or appointed to public office, the duties of which exceed an average of one day per working week in any semester, must either resign, be granted a personal leave or reach an agreement based on negotiations with the appropriate vice president regarding a reduction in University commitment and corresponding reduction in compensation. All such agreements are subject to the written approval of the president. If the individual and the university fail to reach an agreement, then the individual must either be granted a leave or resign. Examples of the public offices to which this provision normally applies are judge, state representative, county commissioner, clerk of courts or any other full- or part-time state, county or local office.
Miami university imposes no restrictions on the concurrent employment of members of the same immediate family except the following:
(A) One immediate family member may not supervise another or be in the supervisory line. No individual may be assigned to a department or a unit under the direct or indirect supervision of an immediate family member. Students may not work in the same department as another immediate family member. An agreement must be reached as part of the terms of the initial appointment designating the position to which the individual will report. This agreement is subject to the approval of the senior administrator of the division in which the person is employed. If the individual is an immediate family member of the senior administrator of the division, then the agreement is subject to the approval of the appropriate vice president or the president, as applicable. Supervision includes the awarding of any benefits (e.g., promotion, retention, salary, leaves of absence, etc.).
(B) Each immediate family member must be judged on his or her own merits and shall not be prejudiced (favorably or unfavorably) by the employment of another immediate family member or by their activities, status, rank or position.
(C) Each immediate family member must conduct himself or herself in accordance with all applicable state ethics laws and university ethics policies (See conflicts of interest/commitment, rule 3339-3-12 of the Administrative Code,).
(D) Specifically, immediate family members may not:
(1) Participate in searches or initial appointment decisions if an immediate family member is a candidate for the position.
(2) Authorize, vote upon, discuss, deliberate, recommend, or otherwise use the authority or influence of his or her position, formally or informally, to secure the employment, retention, promotion, or tenure of an immediate family member or to approve payment to an immediate family member for services rendered in his or her public employment. This provision does not prohibit immediate family members from providing requested factual information regarding the immediate family member's work-related activities (e.g., spouses who are co-authors on research or scholarly papers may provide factual information on the nature of the co-authorship and contributions of each for evaluation, promotion and/or tenure purposes).
For the purpose of this policy, "immediate family" includes the following relatives, regardless of where they reside: spouse or domestic partner; children (whether dependent or not); siblings; parents; grandparents; and grandchildren. It also includes any other person related by blood or by marriage and living in the same household.
Instructional, unclassified administrative and classified staff, and graduate students may not exercise academic authority or other university responsibility or authority over persons with whom they have a romantic or sexual relationship. Academic authority includes assigning grades, sitting on a thesis or dissertation committee, or otherwise exercising decision-making power that affects a student's academic record, academic benefits, or progress toward graduation.
Instructional, unclassified administrative and classified staff, and graduate students may not exercise supervisory responsibility or other university responsibility or authority over persons with whom they have a romantic or sexual relationship. Supervisory responsibility includes any relationship wherein one person has the power or authority to alter or influence the responsibilities, duties, terms, and/or conditions of employment of another. Those with supervisory responsibility as used in this policy are not limited to direct or first-line supervisors.
Relationships covered by this policy include, but are not limited to, relationships between administrative faculty and staff, faculty and student, coach or other athletic staff member and student, graduate student and undergraduate student, post-doctoral scholar/researcher and student, study abroad program director and student, and supervisor and supervisee.
Any instructional, unclassified administrative or classified staff member, or graduate student who is having or has had a romantic or sexual relationship with a person over whom he or she has academic authority, supervisory responsibility, or other university responsibility or authority must notify his or her immediate supervisor of the relationship. The instructional, unclassified administrative or classified staff, or graduate student must be removed immediately from all decision-making processes and positions of authority concerning the person with whom he or she is having or has had the relationship. The university requires the resolution of all conflicts of interest created by the relationship.
Failure to report the relationship, to cooperate in the transfer of responsibility and authority, or to resolve all conflicts of interest are grounds for discipline, up to and including termination, under appropriate university policies.
Miami university has no mandatory retirement age. A written notice is requested in case of service retirement. In order to assure an orderly transition, it is requested that at least ninety days written notice be given to the appropriate personnel office.
See also "retirement with rehiring contracts," rule 3339-9-01 of the Administrative Code which requires application at least six months prior to retirement.
Miami university is dedicated to providing a safe, healthy and efficient work place for its employees and for the entire university community. Therefore, Miami university recognizes that one of its most important obligations to its employees and students is to maintain a completely alcohol- and drug-free workplace.
(1) The illegal use of drugs or alcohol in the work place or on university property or as part of any university activity is strictly prohibited.
(2) Employees may not be under the influence of drugs or alcohol in the work place.
(3) The unlawful manufacture, distribution, dispensation, possession or use of a controlled substance on university property or as part of any university activity is strictly prohibited.
(4) Students and employees must notify Miami university of any criminal drug statute conviction for a violation occurring on university property no later than five days after such conviction.
(5) Any student who violates any portion of this policy will be subject to disciplinary action, including suspension or dismissal, under the "code of student conduct." Any employee who violates any portion of this policy will be subject to disciplinary action up to and including discharge under the appropriate disciplinary procedures.
(6) The university reserves the right to include completion of an appropriate rehabilitation program as a disciplinary sanction.
(7) For a description of the applicable legal sanctions under local, state or federal law for the unlawful possession, use, or distribution of illicit drugs and alcohol, the health risks associated with the use of illicit drugs and the abuse of alcohol or a description of drug and alcohol counseling, treatment, rehabilitation, or re-entry programs that are available to employees or students, please consult Miami's annual publication, "your right to know."
(C) Medical marijuana
As a recipient of federal funding, such as student financial aid and federal grants and contracts for research, Miami university is required to follow federal law including the Safe and Drug Free Schools and Communities Act and the Drug Free Workplace Act. In order to comply with these laws, Miami university prohibits the manufacture, dispensation, possession, use, or distribution of marijuana in any form on any university-owned property, in the conduct of university business or as part of any university activity. Beginning September 8, 2016, Ohio law will allow certain activities related to the possession and use of medical marijuana. However, using and possessing marijuana continues to be prohibited by and a violation of university policy and remains a crime under federal law.
This prohibition applies even when the possession and use would be legal under the laws of the state of Ohio. As a result, those with medical marijuana prescriptions/cards are not permitted to use medical marijuana on campus, in the conduct of university business or as part of any university activity. Sanctions for students and employees who are found to be in possession of or using marijuana include suspension, dismissal and/or termination of employment.
This prohibition does not extend to research related to marijuana that is approved by:
(1) The agency for health care research and quality;
(2) The national institutes of health;
(3) The national academy of sciences;
(4) The centers for medicare and medicaid services;
(5) The United States department of defense;
(6) The centers for disease control and prevention;
(7) The United States department of veterans' affairs;
(8) The drug enforcement administration;
(9) The food and drug administration;
(10) Any board recognized by the national institutes of health for the purpose of evaluating the medical value of health care services.
The university will accommodate students who are legally authorized Ohio medical marijuana users. These students may submit a letter asking to be released from their university housing and dining obligations to the dean of students at email@example.com.
Miami university is dedicated to providing a safe, healthy, and efficient work place for its employees and for the entire university community. As a result, Miami university recognizes that one of its most important obligations is to maintain a drug and alcohol-free workplace. Reasonable cause and post- accident drug and alcohol testing may only be conducted pursuant to properly adopted work-place rules or a collective bargaining agreement. Employees are encouraged to take advantage of the university's employee assistance program (EAP) for substance abuse issues.
Ohio House Bill 1219 provides for possible suspension from university employment upon arrest and for termination of university employment upon conviction of any of the criminal offenses enumerated in division (D) of section 3345.23 of the Revised Code.
(A) Procedure upon arrest
(1) House Bill 1219 requires that Miami suspend a university employee who is arrested for any of the criminal offenses enumerated in division (D) of section 3345.23 of the Revised Code, when either of the following conditions applies:
(a) The offense is committed on university property or affects university persons or property.
(2) A hearing will be held no more than five days after arrest (continuances may be granted which may not exceed a total often days).
(3) The hearing shall be fair and impartial, but the formalities of criminal process are not required. The hearing shall be adversary in nature. The individual whose suspension is being considered has the right, at his or her own expense, to be represented by legal counsel. The person also has the right to cross examine witnesses, to testify, and to present the testimony of witnesses and other evidence. In the absence of a waiver of the right against compulsory self-incrimination, the testimony given at the hearing by the person whose suspension is being considered shall not subsequently be used in any criminal proceeding against the person. The hearing shall be held before a referee appointed by the Ohio department of education.
(4) If the referee finds by a preponderance of the evidence that the person committed any offense covered by division (D) of section 3345.23 of the Revised Code, the referee shall take one of the following actions:
(a) Order the person suspended immediately.
(b) Permit the person to return to Miami under terms of strict disciplinary probation. The referee shall take this action only if the good order and discipline of Miami will not be prejudiced or compromised thereby. Subsequent violation of the terms of the probation automatically causes a suspension.
(5) The suspension is in effect until the person is acquitted or convicted of the offense. If the individual is convicted, the individual's employment is automatically terminated. Upon acquittal, or upon any final judgment not resulting in a conviction of the offense charged, the following actions occur:
(a) The suspension or probation resulting from the 1219 procedure is automatically terminated.
(b) The individual is reinstated, provided that no other disciplinary action has been taken (see paragraph (C) of rule 3339-3-20 of the Administrative Code.)
(c) The record of the suspension or probation made under the 1219 procedure is expunged from the individual's university record.
(6) Any suspension under this provision shall be without pay (division (C) of section 3345.23 of the Revised Code). An order of the referee may be appealed to the court of common pleas within twenty days after the date of the order.
(B) Procedure upon conviction
(1) According to Ohio law, a university employee is subject to immediate dismissal if the person is convicted of any of the offenses enumerated in division (D) of section 3345.23 of the Revised Code, when either of the following conditions applies:
(a) The offense is committed on university property or affects university persons or property.
(2) Upon notification of the conviction, the president or president's designee shall immediately notify the person, in writing, by certified mail delivery, of the dismissal and offer the individual the opportunity to be heard. The hearing shall be limited to the issues of whether the individual was in fact the individual so convicted and whether the conviction is for an offense enumerated in division (D) of section 3345.23 of the Revised Code.
(3) The contract of a faculty or administrative staff member or other employee so dismissed is terminated upon dismissal. No salary or wages shall be paid or credited to the individual after dismissal.
(4) A faculty or administrative staff member or other employee dismissed pursuant to this rule may be re-employed at the discretion of the board of trustees but only after the lapse of one calendar year following dismissal.
(5) If the conviction is reversed on appeal, the individual shall be reinstated, the record of the dismissal shall be expunged from the individual's university record, and the dismissal shall be deemed never to have occurred.
(C) Effect on other policies and procedures
(1) An individual suspended, placed on probation, or dismissed under these procedures has no right to any other hearings or procedures provided under the policies, procedures, or rules of Miami university.
(2) The university has the right, however, to pursue disciplinary action in accordance with the policies, procedures or rules of Miami university, up to and including dismissal, against any faculty or administrative staff member or other employee at the same time that a 1219 procedure is engaged and/or at the same time as criminal proceedings, even if the criminal charges involving the same incident are not complete, have been dismissed or were reduced. (see section 3345.24 of the Revised Code.)
Miami university is committed to conducting its affairs ethically and in accordance with federal and state laws and regulations, as well as university policy. Each member of the faculty and staff shares in this responsibility.
The university is committed to preventing and correcting violations of law and university policy. These violations most often result from lack of information, inadvertence, or mistake. On rare occasions violations are the result of deliberate misconduct. Illegal, unethical or otherwise inappropriate behavior in violation of Miami university's policies is not acceptable.
The university expects all faculty and staff to report any suspected criminal activity to law enforcement. If you suspect or have knowledge of criminal activity occurring on university property or involving university faculty, staff or students, call the Miami university police department at 513-529-2222 (in an emergency, please dial 911 immediately).
Ohio law (section 2921.22 of the Revised Code) requires every person, who knows that a felony has been or is being committed, to report it to law enforcement. Failure to report may be a criminal offense.
Ohio law (section 2151.421 of the Revised Code) further requires teachers, school administrators, speech pathologists, psychologists, doctors and others to report suspected child abuse. Suspected child abuse may be reported directly to the police, to Butler county children services at 1-800-325-2685, or at http://www.bccsb.org/content/reportAbuse/reportAbusehome.cfm.
This procedure has been developed to provide a process for good-faith reporting of violations of law or regulations or otherwise inappropriate behavior in violation of Miami university's policies.
(B) Internal reporting
Employees and students are expected to report good-faith concerns about illegal, unethical or otherwise inappropriate behavior in violation of Miami university's policies. Criminal activity occurring on university property or involving university faculty, staff, or students should be reported to the Miami university police department at 513-529-2222 (in an emergency, please dial 911).
Employees are encouraged to immediately report their concerns about illegal, unethical or inappropriate behavior to their supervisors, the central office responsible for addressing these concerns (see chart below), the appropriate vice president, or the president of the university. Students are encouraged to report their concerns to the dean of students, the vice president for student affairs, the central office responsible for addressing these concerns (see paragraph (F)of this rule) or the president of the university.
(C) Anonymous reporting
Persons who do not feel comfortable making an internal report may make an anonymous report to the university's confidential reporting agent, ethicspoint, by calling the toll-free hotline (1-866-294-9544) or in writing at http://www.ethicspoint.com. Hotline calls are not recorded. Ethicspoint system is maintained on a secure third-party server and ip addresses are stripped from internet-based communications to ensure that anonymity is maintained. Do not report emergencies to ethicspoint.
In addition, the auditor of state maintains a system for the anonymous reporting of fraud. The fraud may be reported via a toll-free telephone number 866-fraudoh, the auditor of state's website- www.auditor.state.oh.usor by mail.
(D) Investigation and resolution
All employees and students are expected to cooperate truthfully in the university's investigation of reports. Appropriate university officials will promptly address all concerns reported in good faith (see chart below). All investigations will be conducted in accordance with the law and applicable university policy.
(E) Retaliation prohibited
The university will use its best efforts to protect those who, in good faith, report suspected illegal, unethical or otherwise inappropriate behavior in violation of Miami policies. No employee will suffer adverse employment action (retaliation) as a result of any of the following:
(1) Disclosure or reporting of suspected illegal, unethical or otherwise inappropriate behavior in violation of Miami policies; or
(2) Refusal to violate or assist in violating an applicable federal or state law or regulation; or
(3) Refusal to work or cause others to work in conditions that would unreasonably threaten the health of safety of the employee or others.
Any employee who believes he or she has been retaliated against in violation of this policy may file a written complaint with the office of the president. Following an investigation by the office of the president's designated investigative findings will be made by the president of the president's designated investigator. The report shall be provided to the complaining party and the chair of the board of trustees' finance and audit committee. If the report finds that the complainant has been retaliated against, the report will include any appropriate relief for the complainant.
Appropriate disciplinary action, up to and including dismissal, will be taken against any individual who retaliates in violation of this policy.
(F) Reporting concerns
If after reviewing this table, you are not sure where to report a concern please contact the office of the general counsel, the director of internal audit and consulting services, or the ethicspoint toll-free hotline (1-866-294-9544) or contact ethicspoint in writing at http://www.ethicspoint.com.
Accounting and financial misconduct (including falsification of contracts, reports or records, fraud, improper disclosure of financial records, theft, waste, abuse or misuse of university resources, and mishandling of donor funds.
Director of internal audit and consulting services or controller
Athletic misconduct (including ncaa violations, gambling, improper giving of gifts, recruiting misconduct, misuse of assets, players or endorsements, recruiting misconduct, financial aid misconduct, sexual misconduct, and substance abuse)
Assistant athletic director, compliance
Financial aid misconduct (including fraud and regulatory compliance
Director of student financial assistance
Harassment and discrimination
Director of equity and equal opportunity
Personnel misconduct (including nepotism, threats, time abuse, and employee benefit abuses
Director of academic personnel services or senior director of human resources
Research misconduct (including conflict of interest, environmental and safety matters, fraud, misappropriation of intellectual property, inappropriate use of humans or animals in research, and grant misconduct or misappropriation
Research compliance officer
Risk and safety matters (including environmental health and safety, sabotage, and unsafe working conditions.
Environmental health and safety office
Information technology matters (including data privacy and integrity, inappropriate use of technology, misuse of resources and intellectual property infringement
Information security officer
Unethical conduct (including violation of conflict of interest and conflict of commitment, illegal interest in a contract, improper giving or receiving of gifts.
Miami university police department (911 in the event of an emergency or 529-2222)
In addition to the university's procedure, the state of Ohio, office of the inspector general is authorized to receive and investigate complaints of alleged wrongful acts or omissions by state officers or employees.
Miami university collects, stores, and distributes large amounts of information essential to the performance of university business. This information represents a valuable university asset. Although a large portion of university information is public, a portion of our information is protected by state and federal laws. To comply with these laws and protect the university community, the university has the right and obligation to protect, manage, secure, and control information (whether in hard copy or stored as electronic data) in its possession.
Information protected by federal or state law may not be shared with unauthorized persons. These laws include the federal privacy act which protects social security numbers, the family educational rights and privacy act which protects personally identifiable student records, the gramm-leach-bliley act which protects consumer financial information, and the health insurance portability and accountability act which protects personal health information. All employees, faculty and staff, bear responsibility for protecting confidential information from unauthorized disclosure. This is true whether this information is stored on paper, a network computer, on a laptop, on a personal digital assistant or other device.
Information that is protected by law may only be disclosed to authorized persons.
Examples of confidential information include: social security numbers, disability status, health and medical information, student advising records, student grades, student disciplinary records, consumer financial information, banner student identification numbers, trade secrets, credit and debit card numbers.
Social security numbers are used primarily for student financial assistance and employment tax-related matters. If unique identification of an individual is required, an identifier other than a social security number should be used. The recommended identifier to use is the banner plus number. An appropriate security plan and the written consent of the information security officer is required before any university office is permitted to collect and/or maintain social security numbers.
Each faculty and staff member must assume responsibility for protecting confidential information from unauthorized exposure. This means you must:
(A) Understand and follow Miami's responsible use of computing resources policy
(B) Consult the information security office if you are uncertain whether certain information is confidential
(C) Consult the information security office if you are uncertain how to safeguard confidential information
(D) Understand and follow the Miami university computing security policy
(E) Protect your computer password and change it according to standards published by the information security office in the it services knowledge base at http://ithelp.muohio.edu
(F) Not provide access to confidential information to any other person unless authorized to do so
Ohio law requires the university to take certain actions in the event of unauthorized disclosure of confidential information. You must report any suspected disclosure of confidential information to unauthorized persons to the information security officer (call 529- 9252 immediately and report that you suspect that confidential information has been disclosed). In addition to reporting the theft of any laptop, personal digital assistant or other device that contains confidential information to the appropriate law enforcement authorities, you must immediately report the loss/theft of any laptop, personal digital assistant or other device that contains confidential information to the information security office.
Any Miami university employee who drives a university-owned or university-leased motor vehicle is required to have a valid state of Ohio or other state of residence driver's license. Departments may implement programs to verify on a regular basis employees' possession of a valid driver's license. A current employee who, as a condition of employment, must possess a valid driver's license to perform his or her regularly assigned work duties is required to notify his or her supervisor immediately upon receipt of any notification that his or her driver's license has been suspended, revoked, or has in any way been modified or subjected to restrictions not previously known to the supervisor. The supervisor must report this information to the employee's personnel office (department of human resources or academic personnel services).
If a current employee's driver's license is suspended or revoked, expires, or is subject to modification or restriction which prevents the employee from performing any part of his/her regularly assigned work duties, that employee will not be permitted to operate a university motor vehicle on any public roadway until the license is fully reinstated, renewed, or additionally modified.
Until the employee's driving privileges are restored, the employee's department may reassign, when practicable, the employee to a job not requiring the operation of a university vehicle. In cases where reassignment is not practicable, the employee may be placed on a leave of absence or terminated.
Before the employee may resume operating a university motor vehicle, the employee must present the supervisor with a properly issued renewal license or with written confirmation from the state of Ohio or state of residence verifying license reinstatement or conferring privileges to drive while at work. The supervisor must report this information to the employee's personnel office (department of human resources or academic personnel services).
Failure to comply with this policy may result in disciplinary action up to and including termination of employment.
(A) Current faculty, staff, graduate assistants, graduate teaching associates, student employees, volunteers, and staff that are provided by third-party staffing vendors are required to self-disclose criminal convictions which occur on or after July 1, 2012, within three business days of the conviction to the director of the appropriate personnel office (department of human resources or academic personnel services).
(B) Persons who fail to disclose criminal convictions or fail to provide accurate details regarding criminal convictions will be subject to disciplinary action up to and including termination.
(C) A crime is violation of a local or state law of this or any other state or law of the United States where time in jail is a possible penalty. For the purpose of this policy, a minor misdemeanor traffic offense is not a criminal conviction, but driving under the influence of drugs or alcohol is a criminal conviction.
Call 911 in an emergency (violent, hostile, or threatening situation in progress).
(A) A statement of policy
Miami university is committed to promoting and maintaining a safe working and learning environment for its employees and students. Threatening, intimidating, or violent behavior will not be tolerated. If such conduct occurs, it should be promptly reported to the proper authorities (police and/or appropriate personnel office) and will be investigated.
Persons found to have violated this policy will be subject to disciplinary action up to and including termination in accordance with the appropriate collective bargaining agreement, classified civil service rules, and/or university disciplinary policy.
Any person who is the victim of threatening or violent conduct in the workplace, or who observes such behavior, or who believes a credible threat of such behavior exists is expected to immediately report the conduct to the proper authorities (police and/or appropriate personnel office). Those who, in good faith, make such reports will be protected from retaliation.
(B) Conduct prohibited by this policy
Prohibited conduct in the workplace includes violent behavior, intimidation, stalking, threats, domestic violence, and property damage committed by or against any faculty, staff, or student.
(1) Workplace is defined as any location owned, leased, or rented by Miami university, or any location where a university employee is acting in the course and scope of employment. This includes, but is not limited to, buildings, grounds, and surrounding property, including streets, parking lots, field locations, classrooms, and residence halls. It also includes vehicles when those vehicles are used for university business.
(2) Violent behavior involves a physical assault on a person, or a physical action intended to damage property. It does not include lawful acts of self-defense or the defense of others. Physical assault includes unwanted or hostile physical contact such as hitting, fighting, pushing, shoving, or throwing objects at a person.
(3) Intimidation/bullying is engaging in actions that include, but are not limited to, behavior intended to frighten, coerce, or induce duress.
(4) Stalking is
(a) Engaging in a course of conduct directed at a specific person that would cause a reasonable person to:
(i) Fear for the person's safety or the safety of others; or
(ii) Suffer substantial emotional distress.
(b) For the purpose of this definition:
(i) Course of conduct means two or more acts, including, but not limited to, acts in which the stalker directly, indirectly, or through third parties by any action, method, device, or means interferes with a person's property;
(ii) Substantial emotional distress means significant mental suffering or anguish that may but does not necessarily require medical or other professional treatment or counseling;
(iii) Reasonable person means a reasonable person under similar circumstances and with similar identities to the victim.
(5) Threat is the expression of intent to cause physical or mental harm whether verbal or written that would cause a reasonable person to fear for his or her safety or the safety of others. It includes bringing a firearm, knife, or other weapon to the workplace. An expression constitutes a threat without regard to whether the party communicating the threat has the present ability to carry it out and without regard to whether the expression is contingent, conditional, or future.
(6) Domestic violence is a felony or misdemeanor crimes of violence committed by:
(a) A current or former spouse or intimate partner of the victim;
(b) A person with whom the victim shares a child in common;
(c) A person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner;
(d) A person similarly situated to a spouse of the victim under the domestic or family violence laws of the jurisdiction in which the crime of violence occurred; or
(e) Any other person against an adult or youth victim who is protected from that person's acts under the domestic or family violence laws where the crime of violence occurred.
(7) Dating violence is violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim.
(a) The existence of such a relationship shall be determined based on the reporting party's statement and with consideration of the length of the relationship, the type of relationship, and the frequency of interaction between the persons involved in the relationship.
(b) For the purpose of this definition:
(i) Dating violence includes, but is not limited to, sexual or physical abuse or the threat of such abuse.
(ii) Dating violence does not include acts covered under the definition of domestic violence.
(8) Property damage is intentional damage to property and includes property owned by the university or its employees, visitors, vendors, or others.
(D) This policy will not be enforced so as to infringe upon legitimate First Amendment rights, including the right to academic freedom or the university's right to direct and evaluate employee performance and take appropriate disciplinary action.