Chapter 3342-3 Administrative Policies Regarding Academic Requirements

3342-3-01.1 Administrative policy and procedure regarding academic requirements, course specifications, and course offerings.

(A) Policy. The university reserves the right to change academic requirements, course specifications, the time of meetings of a class, and to drop or add any course from the "Schedule of Classes." These actions are normally taken when changes in certification or licensure standards mandate changes in academic requirements or in university programs, or when there is insufficient student demand or resources are unavailable; nevertheless, such changes should not be to the substantial disadvantage of a student during his/her continuous enrollment.

(B) Academic requirements.

(1) University orientation. Undergraduate students are required to complete the university orientation course. Adult students (twenty-one years or older at the time of admission) and transfer students entering with more than twenty-four semester hours (excluding post-secondary and dual-enrollment credit) are exempted from the requirement. Full-time students are expected to complete the university orientation course during their first full semester of enrollment. Part-time students are expected to complete the course before they attain sophomore standing. In addition to the course, all new undergraduate students are required to attend the university orientation program, which occurs just prior to the first week of class fall semester.

(2) Catalog in force.

(a) Student's academic requirements are based on the catalog that is in force during the student's first semester of enrollment in a degree or certificate program at Kent state university.

(b) Students may elect to complete an academic program (major, minor, certificate) under a more recent catalog. When changing catalog year, students must comply with all of the requirements relevant to their program in the newer catalog.

(c) Students may declare a different catalog for a minor, certificate or second major/degree; however, students must comply with all of the requirements relevant to the additional program in the different catalog .

(d) Catalog rights may be granted through inter-institutional curricular agreements. Such rights are subject to the same exclusions noted in the rule.

(e) Regardless of their first term of enrollment, students are governed generally by the university academic, administrative and operational policies in the catalog currently in force.

(f) Students who transfer to another university and return to Kent state university are readmitted under the catalog in force at the time of readmission.

(g) Dismissed students are readmitted under the catalog in force at the time of reinstatement.

(h) Undergraduate students who interrupt their enrollment at the university for one full academic year or longer, consecutively, including summer, are updated to the catalog-in-force at the time of their most recent reenrollment . Transient work and alternative credit do not qualified as enrollment at Kent state university .

(i) Kent state university will not permit reentry into programs that are not longer offerred at the time of the students' most recent readmission, reinstatement, or reenrollment.

(j) Undergraduate students who are enrolled continuously in a degree or certificate program in a catalog older than six years may be requried to update to a more recent catalog.

(k) Changes in degree requirements will be made to keep programs in compliance with accreditation, certification, licensure, or industry standards. Implementation of these standards may require that students update to a more recent catalog.

(l) Program changes may be required by financial urgency, unavailability of faculty or unavailability of other instructional resources. In these instances, the dean of the students' college will identify available alternatives for the completion of program requirements.

(m)

(C) Course specifications. Course specifications such as title, credit hours, prerequisites, status (e.g., Kent core), etc., are based on the term for which the student registered for the course. If the course is revised after the student completed, the student does not gain or lose anything with that revision. In the event that a change in prerequisite, for instance, would substantially disadvantage a continuously-enrolled student by unreasonably adding one or more courses to that student's degree requirements as specified in paragraph (B)(2) of this rule, dean's offices may authorize course substitutions, waiver(s), or some other appropriate alternative.

Effective: 9/8/2015
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04
Prior Effective Dates: 11/4/1977, 10/5/1979, 11/22/1982, 8/14/1985, 4/11/1990, 6/1/2007, 8/21/2012, 8/25/2014, 3/01/2015

3342-3-01.2 Administrative policy regarding class attendance and class absence.

(A) Purpose. Regular attendance in class is expected of all students at all levels at the university. While classes are conducted on the premise that regular attendance is expected, the university recognizes certain activities, events, and circumstances as legitimate reasons for absence from class. This policy provides for accommodations in accordance with federal and state laws prohibiting discrimination, including, but not limited to, Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, and its implementing regulation, 34 C.F.R. Part 104; Title II of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12131 et seq., and its implementing regulations, 28 C.F.R. Part 35; as well as university policy 5-16. This policy describes the procedures for requesting and responding to legitimate absences.

(B) Class attendance. The individual instructor has both the responsibility and the prerogative for managing student attendance. The instructor's policy regarding attendance for each course should be written in the course syllabus and communicated to students during the first week of the term. The policy may take alternate forms within the bounds of appropriate instructional techniques.

(C) Class absence. Legitimate reasons for an "excused" absence include, but are not limited to, illness and injury, disability-related concerns, military service, death in the immediate family, religious observance, academic field trips, and participation in an approved concert or athletic event, and direct participation in university disciplinary hearings.

(D) Academic requirement. Even though any absence can potentially interfere with the planned development of a course, and the student bears the responsibility for fulfilling all course requirements in a timely and responsible manner, instructors will, without prejudice, provide students returning to class after a legitimate absence with appropriate assistance and counsel about completing missed assignments and class material. Neither academic departments nor individual faculty members are required to waive essential or fundamental academic requirements of a course to accommodate student absences. However, each circumstance will be reviewed on a case-by-case basis.

(E) Informal resolution should first be attempted between individual instructors and students in the event of any attendance-related concerns. If informal resolution is unsuccessful, the following offices, with respect to that office's purview, can provide assistance and guidance on attendance concerns, and instruction on filing a grievance: student ombuds, student accessibility services (SAS), or equal opportunity" and affirmative action.

(F) Student responsibilities: In addition to this policy, students are responsible for following the procedures and policies of the respective offices from which they are seeking assistance, e.g. student accessibility services, the student ombuds, etc. In all instances of absences, students shall be responsible for all material covered in class during their absence. Students are responsible for completing any makeup work resulting from their absence. In no case is an excuse from class to be interpreted as a release from class responsibility.

(G) General procedures and responsibilities for requesting and determining legitimate class absence:

(1) Instructors shall:

(a) Inform student about assignments to be made during the absences, and make alternative suggestions for acquisition of the material missed.

(b) Provide reasonable opportunity for a makeup examination and/or assignment if a legitimate absence occurs on an examination day and/or a day when an assignment is due. In the extraordinary circumstance where it is not feasible to offer a makeup examination and/or assignment, some acceptable alternative must be provided.

(c) Resolve conflicts arising from a legitimate absence as provided in this rule through appropriate administrative channels.

(2) Students shall:

(a) Follow the documentation procedures set forth below.

(b) Notify their instructors as soon as possible of class absences.

(H) Procedures and responsibilities for requesting an absence due to attendance at a sponsored activity. For the purposes of this rule, "sponsor" refers to the organizer of the activity or event.

(1) Sponsors shall:

(a) Provide a list to each participant of all approved events that might involve student absences from classes. The list should be given to the participants at or before the first scheduled class, activity, or field trip of the semester, or before the end of the second week of the semester, whichever occurs first. In cases where the date and time of the scheduled activity is not known within this time frame, approval to schedule an event which will result in student absences must be secured from the administrative officer directly above the sponsoring unit; e.g., college dean, director of athletics, etc.

(b) Provide each participating student with a signed "class absence authorization form" for each of the student's affected classes at the time the list of events is distributed.

(c) Coordinate resolution of conflicts with instructors.

(2) Instructors shall:

(a) Refer to paragraph (G)(1) of this rule.

(3) Students shall:

(a) Provide the sponsor of the activity with a list of classes which conflict with the proposed activity or field trip. This list should be presented at or before the first scheduled class or activity meeting that causes the conflict.

(b) Present a "class absence authorization form" to instructors in all affected courses and return the signed "class absence authorization form(s)" to the sponsor of the activity before the end of the second week of the semester. In the event the absence was due to illness or injury, verification from the health center or other medical officer should be presented to the instructor.

(I) Procedures and responsibilities for requesting an absence due to a disability. Under no circumstances are students solely responsible for the resolution of such conflicts arising from disability-related absences.

(1) Instructors shall:

(a) Communicate and collaborate with student accessibility services (SAS) in the event of a student's attendance accommodation due to a disability.

(b) Refer to paragraph (G)(1) of this rule.

(2) Students shall:

(a) Consult with student accessibility services (SAS) if frequent or prolonged absences are anticipated due to a disability.

(b) In consultation with student accessibility services (SAS) and in accordance with their attendance policy modification, provide their instructors, each semester, with a SAS-issued accommodation document, which may be presented to the instructor in lieu of verification from a medical provider.

(c) Contact their instructor as close to the beginning of the semester as possible to discuss the attendance modification accommodation.

(J) Procedures and responsibilities for absence due to medical illness/injury.

(1) Instructors shall:

Refer to paragraph (G)(1) of this rule.

(2) Students shall:

(a) Provide verification from their medical provider.

(b) Refer to paragraph (G)(2) of this rule.

(K) Procedures and responsibilities for requesting an absence due to religious observation.

(1) Instructors shall:

Refer to paragraph (G)(1) of this rule.

(2) Students shall:

Notify the instructor as close to the start of the semester as possible of any scheduled classes that conflict with observed religious holidays.

(L) Procedures and responsibilities for requesting an absence to perform military service.

(1) Instructors shall:

Refer to paragraph (G)(1) of this rule

(2) Students shall:

(a) Notify the instructor as close to the start of the semester, or as soon as possible, of any scheduled classes that conflict with military leave.

(b) Consult the office of the university registrar in the event a prolonged absence is anticipated.

Replaces: 3342-3-01.2

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 9/13/1979, 10/26/1979, 2/14/1983, 1/30/1985, 7/10/1985, 9/7/1988, 1/29/1992, 9/19/2005, 6/01/2007, 1/13/2014

3342-3-01.3 Administrative policy regarding nondiscrimination and access to university programs for qualified students with disabilities.

(A) Purpose. Kent state university recognizes that the academic mission of this institution is to provide equal learning opportunities for every individual. Directly related to this endeavor is the need for protection against discrimination and the practices that may accompany it.

(B) Definitions:

(1) "Person with a disability" means any person who has a physical or mental impairment which substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment.

(2) "Qualified individual with a disability" means a person with a disability who meets the academic and technical standards requisite to admission or participation in the recipient's education program or activity.

(3) Other definitions as appear in 28 CFR 35.

(C) Requirements. The university shall make reasonable accommodations in its academic requirements to ensure that such requirements do not discriminate on the basis of disability against a qualified individual with a disability, whether applicant or student. However, requirements that the university can demonstrate are essential to the program of instruction of the student, or any directly related licensing requirement, or to the physical safety of students, faculty, or staff, will not be regarded as discriminatory.

(D) Other rules may not be imposed upon students with disabilities, such as a prohibition of tape recorders or guide dogs, which have the effect of limiting the participation of students in the educational program or activity. Further, in examinations or evaluations the university shall provide where possible such methods for evaluating the achievement of students with disabilities as will best ensure that the results of the evaluation represent the student's achievement rather than reflecting the student's impaired sensory, manual, or speaking skills.

(E) Grievance procedures and appeals. The student may appeal decisions made according to this policy. Procedures to be followed are stated in departmental or school policy books.

Replaces: 3342-3- 01.3

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 2/8/1980, 12/20/2004, 6/1/2007

3342-3-01.4 Administrative policy and procedures regarding final examinations.

(A) Purpose. All courses offered for credit require a substantial final examination.

(B) Intent and scope.

(1) The intent and scope of this policy applies equally to all departments, schools, colleges and campuses of the university.

(2) Final examinations have an important function in the progression of students through their courses of study. Final examinations are a vital element in students' intellectual development.

(3) The general nature of the final examination in each course is a curricular responsibility of the department, or school, or college without departments or schools.

(4) Within the limits of the course description, the content and weight of each examination is the responsibility of the faculty member teaching the course, except where a block final or standard final is established by the department, or school, or college without departments or schools, in which case these matters are a responsibility of the department, or school, or college faculty collectively.

(5) This policy applies to all Kent state university courses offered for credit.

(6) Monitoring and enforcement of this policy is the responsibility of department chairs, school directors, deans of colleges without departments and schools and campus deans.

(C) Definitions.

(1) As used in this policy, "final examination" means a formal examination or an equivalent appropriate activity used in evaluating student performance. In the case of courses that do not meet as formal classes (e.g., individual investigations, research, individual music instruction), or that do not use the lecture as a standard format, alternative activities (e.g., research papers, performances, presentations, portfolios) would be the norm. Other exceptions to the formal examination should be rare and justified on pedagogical grounds.

(2) As used in this policy, "on ground" means a course delivered in a traditional classroom setting to students in that classroom or to students receiving synchronous transmission of the course to another classroom location.

(D) Procedures for all campuses.

(1) Final examination requirements for departments, schools and colleges without departments and schools for individual courses are to be established through normal curricular procedures, recorded on the basic data sheet, and made available to faculty members.

(2) Faculty members are expected to include information regarding the nature and weight of the final examination on the course syllabus. This information must be supplied to all students in each course.

(3) Students with four examinations scheduled for one day may ask to change the time of one of the final examinations. Department chairs, school directors, deans of colleges without departments or schools, or regional campus deans may, in their discretion, grant relief to students with fewer finals examinations on any one day, if requested and if appropriate.

(4) Final examinations must be given at the officially scheduled time, day, and place as published in the schedule of classes or through other official university means. In rare and pedagogically justifiable cases, a faculty member may request permission to change the time of a final examination. Such a change cannot be made unless it is approved by the department chair, school director, dean of the college without departments or schools or regional campus dean. If approval is granted, the final examination must also be given at the regularly-scheduled time for those students who prefer to take the final examination at that time.

(5) A period of at least two hours is to be allocated for each final examination period for on ground courses. Faculty members are urged to make full use of that time to the extent appropriate based on course credit hours. If students will not be given the full examination time period to complete the final examination, such information must be supplied to all students in the course on the course syllabus. Setting time duration for online final examinations during finals week is the responsibility of the faculty member teaching the course. Such information must be supplied to all students in the course on the course syllabus.

(6) Cancelled final examinations (due to weather or other emergency) will be rescheduled for the next available weekday(s) following the end of the regularly scheduled final examination week.

(7) Final examinations for online courses shall continue as scheduled in the event of campus closures during final examination week. Should this present a problem for an individual student, the student should contact the online course instructor.

(E) Additional procedures for the Kent campus.

(1) The registrar's office is responsible for constructing and publishing the final examination schedule. Final examinations are to be scheduled over a five-day week following the end of classes for fall and spring semester. Final examinations are scheduled for the last day of class for summer terms.

(2) Departments, schools or colleges without departments or schools may establish block finals through normal curricular procedures. Requests for scheduling of block finals must be made of the registrar's office and approved by the dean's office and the office of the provost at the time of scheduling the classes which will be a part of the block final. All block finals must be included in the final examination schedule. Times for make-up exams must be scheduled for each block final examination to accommodate students with schedule conflicts.

(F) Additional procedures for the regional campuses.

(1) Specific application and procedures appropriate to the regional campuses are to be developed by each regional campus dean in consultation with the faculty at the campus.

(2) Final examinations given at the regional campuses must be consistent with paragraphs (B), (C), and (D) of this rule.

Replaces: 3342-3-01.4

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 5/5/1995, 9/7/1995, 2/27/1998, 9/19/2005, 6/1/2007, 12/28/2011

3342-3-01.5 Administrative policy regarding academic forgiveness.

(A) Purpose. The academic forgiveness policy pertains only to former Kent state students returning to the university as undergraduate students after a significant absence and prior to earning any degree at any institution. It provides them an opportunity to have their academic standing reflect their increased maturity and readiness and improved level of academic performance gained since the interruption of studies at Kent state.

(B) Eligibility. The academic forgiveness policy is available to any Kent state university student who has not been enrolled for a period of at least one calendar year (twelve months).

(C) Procedure.

(1) Any student who has not been enrolled at Kent state university for at least twelve consecutive months may request information on the academic forgiveness policy, as well as the academic forgiveness form, from the dean of his/her college or regional campus or director of his/her independent school. Once the acknowledgement portion of the form is completed, the student's records will be reviewed by the appropriate dean at the conclusion of each subsequent term.

(2) After returning to Kent state, a student must complete a minimum of twelve graded credit hours with a minimum GPA of 2.000 to be eligible for academic forgiveness. If the student meets these conditions, has completed the application for academic forgiveness form, and requests to have the policy applied, the following steps will be taken with regard to the student's academic record:

(a) All courses in which grades of C-, D+, D, F, NF, SF, M or U were received in the previous period of Kent state enrollment will be retained on the academic transcript with the notation of an "E" in the repeat column, which denotes courses excluded from GPA calculation, and the official grade will be changed to X* (e.g., XC-, XD, etc.), which denotes academic forgiveness.

(b) All calculations of hours earned and GPA will be adjusted.

(c) If a student has been awarded an associate degree and/or certificate from Kent state university, only courses not used in the completion of an associate degree and/or certificate will be eligible for the application of the academic forgiveness policy.

(3) If the student fails to maintain a 2.000 GPA for the first twelve semester hours of graded coursework following return to the university, the eligibility period shall be extended through the term that encompasses the twenty-fourth semester hour of graded coursework. Students are permitted to use the provisions provided by the course repeat policy during the extension period. If after completing twenty-fourth graded semester hours, the returning student has not achieved a 2.000 GPA, eligibility for academic forgiveness will have expired.

(D) Supplementary information.

(1) The academic forgiveness policy is non-selective. It applies to any and all grades below C ( 2.000 ), with the exception of courses taken on a pass/fail basis that were earned in the previous period of Kent state university enrollment. In the event that a course for which the students previously had received a "passing" grade of C-, D+ or D is required for the degree program the students are pursuing, the students must retake this course unless the dean of the college in which the students are enrolled approves a suitable substitution. The original GPA (unadjusted by the application of the academic forgiveness policy) will be used in determining eligibility for university, collegial, departmental or professional honors or other recognition based upon the entirety of students' undergraduate academic career and record of academic performance. Former students returning to the university may request the application of the academic forgiveness policy to their record only once in their career at Kent if state and within the eligibility standard.

(2) The academic forgiveness policy applies only to coursework formerly taken at Kent state university and only to the students' Kent state transcripts. It is available only to undergraduate students. The dean of the college or regional campus or director of the independent school in which the students are enrolled at the time of eligibility for the application of the academic forgiveness policy shall determine all questions as to the eligibility for, and the application of, the academic forgiveness policy. Completed forms are submitted to the university registrar for validation and application to the students' records.

Replaces: 3342-3-01.5

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.04
Prior Effective Dates: 1/4/1977, 3/11/1982, 6/1/2007, 8/21/2012, 8/25/2014

3342-3-01.7 Administrative policy regarding satisfactory academic progress for recipients of financial aid.

(A) Policy.

(1) Financial aid recipients at Kent state university are required to achieve satisfactory academic progress towards a degree in order to continue to receive financial assistance. This policy recognizes the requirements imposed by the federal government concerning satisfactory academic progress and the academic standards of the university for those seeking a degree.

(2) The university also recognizes that conditions may exist which require slower progress in achieving normal educational goals. These conditions, when verified by the student's academic advisor, will be taken into consideration when legally possible.

(B) Definitions.

(1) Satisfactory academic progress should not be confused with good academic standing requirements.

(a) "Good academic standing" may mean that a student can remain enrolled at the university in spite of insufficient credit hours each semester, a low grade point average, or even low achievement in standard test scores when originally admitted to the university.

(b) "Satisfactory academic progress" means that the student is proceeding in a positive manner towards fulfilling degree requirements in his/her course of study to include completion of credit hours during each academic year and achievement and retention of a satisfactory grade point average.

(C) Procedure.

(1) All financial aid recipients are required to complete at least twenty-four credit hours during the academic year (fall and spring semesters) if awarded aid on a full-time basis. This requirement will be proportionately less for part-time students. Financial aid will not be awarded to students enrolled for less than six credit hours in a semester.

(2) Undergraduate students must achieve at least a 2.0 cumulative grade point average at the end of the spring semester in order to receive consideration for continuing on aid programs for summer sessions and the next academic year. For graduate recipients, this requirement is a 3.0 cumulative GPA.

(3) Grades or administrative marks as follows are not acceptable towards meeting these standards of progress:

(a) AU;

(b) IN;

(c) IP;

(d) NA;

(e) R, and

(f) W.

(4) These standards for academic progress may not apply to other scholarship programs which have separate additional criteria and requirements.

(5) Undergraduates and graduate students must enroll for at least twelve hours of credit each semester in order to receive aid benefits based upon a full-time status. All undergraduate recipients must be aware that enrollment and completion of twelve credit hours per semester will not permit completion of degree requirements in the normal four-year period. Some aid programs have restrictions as to the number of semesters aid can be used; therefore, students run the risk of losing eligibility if they proceed at a reduced credit hour load.

(6) Continuation on any financial aid program is subject to the availability of funds. The university is not obligated to meet the financial need of students.

(7) Students who fail to meet these standards for academic progress will be notified of their discontinuance from aid programs by the financial aid office. Appeals can be made in writing to the director, student financial aid within ten working days after receipt of the discontinuance notice. All appeals must include substantive reasons for the failure to comply with this policy and all extenuating circumstances must be supported by documentation. The director of student financial aid will respond by letter to each appeal which is denied or award the recipient financial aid in the amount and type deemed appropriate within ten working days after receipt of the appeal. Further appeals can be made to the dean for student affairs.

Replaces: 3342-3- 01.7

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 8/24/1979, 11/22/1982, 3/7/2000, 9/19/2005, 6/1/2007

3342-3-01.8 Administrative policy regarding student cheating and plagiarism.

(A) Purpose. Students enrolled in the university, at all its campuses, are to perform their academic work according to standards set by faculty members, departments, schools and colleges of the university; and cheating and plagiarism constitute fraudulent misrepresentation for which no credit can be given and for which appropriate sanctions are warranted and will be applied.

(B) Definitions. As used in this rule:

(1) "Cheat" means intentionally to misrepresent the source, nature, or other conditions of academic work so as to accrue undeserved credit, or to cooperate with someone else in such misrepresentation. Such misrepresentations may, but need not necessarily, involve the work of others. As defined, cheating includes, but is not limited to:

(a) Obtaining or retaining partial or whole copies of examination, tests or quizzes before these are distributed for student use;

(b) Using notes, textbooks or other information in examinations, tests and quizzes, except as expressly permitted;

(c) Obtaining confidential information about examinations, tests or quizzes other than that released by the instructor;

(d) Securing, giving or exchanging information during examinations;

(e) Presenting data or other material gathered by another person or group as one's own;

(f) Falsifying experimental data or information;

(g) Having another person take one's place for any academic performance without the specific knowledge and permission of the instructor;

(h) Cooperating with another to do one or more of the above; and

(i) Using a substantial portion of a piece of work previously submitted for another course or program to meet the requirements of the present course or program without notifying the instructor to whom the work is presented.

(j) Presenting falsified information in order to postpone or avoid examinations, tests, quizzes, or other academic work.

(2) "Plagiarize" means to take and present as one's own a material portion of the ideas or words of another or to present as one's own an idea or work derived from an existing source without full and proper credit to the source of the ideas, words, or works. As defined, plagiarize includes, but is not limited to:

(a) The copying of words, sentences and paragraphs directly from the work of another without proper credit;

(b) The copying of illustrations, figures, photographs, drawings, models, or other visual and nonverbal materials, including recordings, of another without proper credit; and

(c) The presentation of work prepared by another in final or draft form as one's own without citing the source, such as the use of purchased research papers.

(3) "Student" means any person admitted or enrolled at the university in any of its courses, programs, campuses or offerings, including, but not limited to, cooperative programs or offerings with other institutions for whom a record is made at the university by the registrar or which is submitted to the university for admission or transfer credit.

(4) "Cooperation" means participation or assistance for the mutual benefit of both parties or the sole benefit of one party.

(5) "Academic sanction" means any of the various sanctions specifically listed in this rule under paragraph (D) of this rule.

(6) "Instructor" means any person employed or appointed to teach in any course or program offering of the university, or a committee appointed to assess, evaluate, or grade a thesis, dissertation or work. Any decision by such a committee shall be by majority vote.

(7) "Chairperson" means the chief administrative officer of a department, school, or program whose position is that of a first organizational level academic leader with a teaching faculty.

(8) "Dean" means the chief administrative officer of a regional campus, college or independent school or equivalent.

(9) "Department" means an academic unit headed by a chairperson or director.

(10) "College" means an academic unit headed by a dean and includes any independent school headed by a dean.

(11) "Independent College" means a college without subordinate departments or schools.

(12) "Regional campus" means any of the Kent state university system of community-oriented institutions.

(13) "Cheating/Plagiarism Sanction Form" means the form instructors fill out and distribute each time they impose a sanction on a student for cheating or plagiarism.

(14) "Plagiarism School Form" is the form signed by an instructor and student agreeing to a remedial, private session for a student sanctioned for plagiarism in return for a mitigation of the sanction.

(C) Intent and scope of the policy.

(1) In providing this policy, the university affirms that acts of cheating and plagiarism by students constitute a subversion of the goals of the institution, have no place in the university and are serious offenses to academic goals and objectives, as well as to the rights of fellow students.

(2) It is the intent of this policy to provide appropriate sanctions, to provide fair and realistic procedures for imposing those sanctions, to provide safeguards for any student suspected of cheating or plagiarism.

(3) This policy applies to all students of the university, graduate and undergraduate, full or part-time, whose conduct is of such a nature prohibited by the policy. Other offenses of a nonacademic nature are covered by the code of student conduct, rule 3342-4-02 of the Administrative Code and of this register.

(4) Ordinarily, students sanctioned under this policy may not seek to remove such sanction by invoking their rights under other university policies (such as the administrative policies addressing student complaints found in rule 3342-4-02.3 or 3342-8-01.4 of this Administrative Code) but may appeal a finding of responsibility and/or the sanction according to paragraph (F) of this rule.

(D) Sanctions.

(1) Academic sanctions. The following academic sanctions are provided by this rule for offenses of cheating or plagiarism. Instructors are to use the cheating/plagiarism sanction form to indicate which one of the following sanctions is to be imposed on the student. Instructors must send that form to the office of student conduct. For Kent campus instructors the form will be sent by the office of student conduct to the student, the instructor's department chairperson or dean, and the dean for the college in which the student is enrolled. For regional campus instructors the form will be sent by the office of student conduct to the student, and to the regional campus dean.

(a) Coursework. The following academic sanctions are provided by this rule for offenses of cheating or plagiarism. In those cases the instructor may:

(i) Refuse to accept the work for credit: or

(ii) Assign a grade of "F" or zero for the project, test, paper, examination or other work in which the cheating or plagiarism took place: or

(iii) Assign a grade of "F" for the course in which the cheating or plagiarism took place: and/or:

(iv) Recommend to the department chair or regional campus dean that further action specified in paragraph (D)(1)(b) of this rule be taken. The department chairperson or regional campus dean shall determine whether or not to forward to the academic dean or to the vice president for the extended university a recommendation for further sanctions under paragraph (D)(1)(b) of this rule.

(v) For students who have not previously been sanctioned for plagiarism, if the instructor and student agree. Plagiarism School could be provided as a means to mitigate the sanction (as described in paragraph (B)(14) and (G) of this rule.

(b) Degree. The following academic sanctions are provided for acts of cheating or plagiarism which so permeate the student's work that the effect is to compromise the validity of a degree. Such occurrences may be related, but not limited to. professional or graduate work. Sanctions which can be invoked by the dean of the college in which the student is enrolled or by the associate vice president for the extended university include those provided in paragraph (D)(1) of this rule: and/or

(i) Revocation or recommendation to decertify or not to certify: or

(ii) Rejection of the thesis, dissertation or work: or

(iii) Recommendation for revocation of a degree.

(2) Other sanctions. If the instructor feels, or the department chair or director, or dean where appropriate, that the offense is of such nature that the academic sanctions are an insufficient remedy, or that they are not available, he or she may initiate additional procedures by referring the matter in its entirety to the academic hearing panel defined in paragraph (I) of this rule, which can consider additional disciplinary sanctions. After the office of student conduct receives notification of a sanction via the cheating/plagiarism sanction form see paragraph (D)(1) of this rule the academic hearing panel will conduct a hearing to determine if the academic sanction applied by the instructor as well as additional disciplinary sanctions it deems appropriate will be assessed against the student. The following sanctions can only be imposed by the academic hearing panel following a hearing as set forth in paragraph (H) of this rule.

(a) Disciplinary probation. This sanction is one that places the student in serious jeopardy with the university. This sanction is invoked for a specified period of time. Notification of sanctions will be made to appropriate university offices, including the student's academic college or school. Students on disciplinary probation: might be subject to automatic dismissal or suspension if found responsible of any act of misconduct, including violation of the terms of the disciplinary probation

(i) Might not be permitted to participate in an official non-curricular capacity such as intercollegiate athletics, intramurals. fine arts activities, or as an officer of a student organization, etc.

(ii) Might be restricted from entering or remaining in selected campus buildings or in specified university facilities.

(b) Disciplinary suspension. This sanction is one of involuntary separation of the student from the university for a specified period of time. Notification of sanctions will be made to appropriate university offices, including the student's academic college or school. Students suspended:

(i) If a sanction grade was assigned, it should remain on the transcript.

(ii) Might be required to leave the land and/or premises of the university effective the date of suspension. Permission may be granted by the vice president for enrollment management and student affairs for entrance to university premises for a specified purpose and time.

(c) Disciplinary dismissal. This sanction is one of involuntary separation of the student from the university. Notification of sanctions will be made to appropriate university offices, including the student's academic college or school. Students dismissed:

(i) If a sanction grade was assigned, it should remain on the transcript.

(ii) Might be required to leave the land and/or premises of the university effective the date of dismissal. Permission may be granted by the vice president for enrollment management and student affairs for entrance of the student to university premises for a specified purpose and time.

(iii) Shall be reinstated only by the provost, who shall establish criteria for readmission.

(d) Additional sanctions. Additional sanctions are the prerogative of the AHP. They may be mandated as part of the sanctions listed above. Some options that may be considered are as follows:

(i) Counseling:

(ii) No contact order:

(iii) Educative/rehabilitative program referral:

(iv) Monetary penalty (not to exceed two hundred dollars);

(v) Letter of apology:

(vi) Warning:

(vii) Persona non grata status:

(viii) Campus access restrictions: and/or

(ix) Other as deemed appropriate through the disciplinary process

(E) Procedures for invoking sanctions.

(1) Academic administrative procedures pertaining to paragraph (D)(1)(a) of this rule. In the event that an instructor determines that it is more probable than not that a student in a course or program under the instructor's supervision has presented work for university credit which involves an act of cheating, plagiarism or cooperation in either, then the instructor shall:

(a) Inform the student as soon as is practical of the belief that an act of cheating or plagiarism has occurred. If the student cannot be reached in a reasonable period of time, the instructor may proceed with sanctions, notifying the student in writing as promptly as possible of the belief and the procedural steps the instructor has taken.

(b) Provide the student an opportunity to explain orally, in writing, or both, why the student believes the evaluation of the facts is erroneous.

(c) If the explanation is deemed by the instructor to be inadequate or if no explanation is offered, the instructor may impose one of the academic sanctions listed in paragraph (D)(1)(a) of this rule. In addition, the instructor may refer the matter to the dean of the college, campus, or school in which the student is enrolled for imposition of academic sanctions listed in paragraph (D)(1)(b) of this rule.

(d) The instructor shall provide a copy of the cheating/plagiarism sanction form to the office of student conduct. That office will provide copies of the form to the student, the instructor's departmental chairperson, or. for independent colleges and regional campuses, the dean of the college or campus in which the instructor is assigned, the dean of the college or campus in which the student is enrolled, and the office of student conduct, listing the specific sanction assessed (as defined in paragraph (D)(1)(a) of this rule) and whether or not the instructor is recommending the imposition of academic sanctions listed in paragraph (D)(1)(b) of this rule to the appropriate dean (the dean of the college or campus in which the student is enrolled). The form also serves to inform the student of the right to appeal.

(e) The instructor shall keep the evidence of cheating or plagiarism in a secure place and provide it upon request to the department chair, independent college or campus dean, or the academic hearing panel. The instructor shall provide copies on request to the student at the student's expense.

(f) The instructor shall cooperate with academic and student conduct personnel in any appeal of the decision, and/or in adjudication of any disciplinary proceedings.

(2) Academic administrative procedures pertaining to paragraph (D)(1)(b) of this rule.

(a) With concurrence from the faculty member and the department chairperson, the academic dean or the associate vice president of the extended university may invoke sanctions specified in paragraph (D)(1)(b) of this rule.

(b) The recommendation for sanction, paragraph (D)(1)(b)(iii) of this rule, is made by the academic dean or the associate vice president for the extended university who forwards it to the provost, who must approve it and forward it to the president, who must approve it and forward it to the board of trustees for approval.

(3) Procedures pertaining to paragraph (D)(2) of this rule (non-academic, disciplinary sanctions).

(a) After receiving notification from the instructor that a sanction has been imposed and/or recommended in paragraph (E)(1)(d) of this rule, the office of student conduct will check to see if a sanction invoked by this code was previously imposed on the student. If it is determined that the student was previously sanctioned and was not successful in removing the sanction through the appeal process defined in paragraph (F) of this rule. the matter in its entirety will be referred to the academic hearing panel (AHP) (defined in paragraph (H) of this rule).

(b) The AHP will follow the process established in paragraph (F) of this rule to determine if the academic sanctions imposed by the instructor and/or dean are upheld and/or if disciplinary sanctions should also be applied.

(F) Academic appeals. All appeals for sanctions imposed as a result of this policy will be adjudicated by the academic hearing panel.

(1) An appeal of a sanction imposed by an instructor or a dean must be filed with the office of student conduct by the student within fifteen working days of receipt of the cheating/plagiarism sanction form.

Hearing.

(a) The burden of establishing by a preponderance of the evidence that cheating or plagiarism occurred is on the person who claims the act took place.

(b) The instructor shall provide documents, if any, in support of the decision and shall make a statement, orally, in writing, or both, of the facts and the basis for the decision.

(c) The student may make a statement in writing, orally, or both.

(d) Both the instructor and student may ask questions of the other at an appropriate time during the hearing.

(e) Both may present witnesses.

(f) Both have the right to hear all testimony and examine all evidence.

(g) At the hearing, the student may be accompanied by one other person of his or her choice. That person may act as an advisor to the student, but may not participate in the hearing procedure in any manner whatsoever. No party may be represented by legal counsel.

(G) Plagiarism school. As a means to address less severe cases of student plagiarism (acts that may be considered by the instructor to be unintentional) the instructor may request that the student attend a remedial, private session administered by university libraries regarding acceptable ways to document research.

(1) Plagiarism school will only be offered to students not previously sanctioned for plagiarism.

(2) Plagiarism school will only be offered if both the instructor, and student and representative from university libraries (the plagiarism school instructor) agree by signing the "Plagiarism School Form." The instructor will indicate on the form how the sanction will be modified in favor of the student if the student completes all activities identified on the form.

(3) A student's successful completion of plagiarism school does not in any way change the process of reporting acts of cheating and plagiarism according to this policy.

(4) Upon successful completion of plagiarism school, university libraries will notify the instructor so that he/she can mitigate the sanction as indicated in the form.

(H) The academic hearing panel (AHP) is a special hearing panel established to decide cases resulting from either a referral for disciplinary sanctions from instructors, chairs, directors, or deans (paragraph (D)(2) of this rule), when an appeal of a sanction imposed by an instructor or a dean, or when a determination has been made that a student has previously been sanctioned for an act of academic dishonesty pursuant to this policy.

(1) Composition. The panel shall be appointed by the provost: a minimum often KSU faculty, five having graduate faculty status (staggered, serving terms of two years! a minimum of five current KSU gaduate students (serving a one-year term), and a minimum of five current KSU undergraduate students (serving a one-year term). The provost will appoint one faculty member as chair at the beginning of each fiscal year.

(2) Charge. For the purpose of holding a hearing, the chair will select a hearing committee of three AHP members (two faculty and one student). The committee selections should be based on graduate/undergraduate status (graduate faculty and student for cases involving an accused graduate student, undergraduate faculty and student for cases involving an accused undergraduate student) and be consistent with eligibility standards set in paragraph (H)(4) of this rule. The AHP will conduct hearings based on allegations of academic misconduct and determine if the accused student is in violation of this policy. Once the AHP has determined that a violation has been committed, the student will be assessed an academic sanction (as defined in paragraph (D)(1) of this rule or as defined in paragraph (D)(2) of this rule or a combination of both.) The severity of the offense and the student's overall behavior regarding academic honesty will determine the sanction(s) assessed against the student.

(3) Training. Annual training will be offered in a joint effort by persons appointed by the provost and the vice president for enrollment management and student affairs, and convened by office of student conduct.

(4) Eligibility. Faculty who are current instructors of the accused student, faculty of the instructor's department, and any student appointed to the AHP who shares a class, residence, or known affiliation with the accused student are not eligible to sit on the AHP hearing committee for that respective accused student.

(5) Records. All AHP hearings are closed to the public and are recorded, minimally audio, using current technological equipment available (i.e. DVD) All technological recordings shall be destroyed in accordance with university recordkeeping protocol.

(6) All matters pertaining to the conduct of the appeal hearing shall be under the sole authority of the academic hearing panel.

(I) Appeals.

(1) Students, faculty, and deans may appeal the decisions of the hearing board or officers to the Provost. No additional appeal will be heard.

(2) Appeals are limited to the following reasons:

(a) The decision is not in accordance with the evidence presented;

(b) The decision was reached through a procedure not in accordance with this rule;

(c) New information is available which may suggest modification of the decision;

(d) Sanction(s) imposed were not appropriate for the conduct violation which the student was found responsible for;

(3) An appeal must be in writing, must state clearly the rationale for the appeal and must be submitted within seven calendar days of the date of the decision.

(J) This policy will be effective beginning with the fall 2012 catalog year

Replaces: 3342-3-01.8

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 12/24/1979, 1/6/1981, 6/11/1986, 4/20/1995, 7/5/1995, 5/9/1997, 3/7/2000, 6/1/2007, 10/21/2011, 6/5/12

3342-3-01.9 Administrative policy regarding academic probation.

(A) Academic probation is a means of informing a student that his or her academic performance or progress is unsatisfactory while there may still be time for remedy.

(B) Academic probation is imposed by the academic deans, from whom specifics are available. Such probation is usually accompanied by restrictions in the number of credit hours which may be attempted in any given term and specifications as to the grade average necessary for a student to be allowed to continue for another term.

Replaces: 3342-3- 01.9

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 8/31/1979, 6/1/2007

3342-3-01.10 Administrative policy regarding dismissal of undergraduate students for academic reasons.

(A) Purpose. A student whose academic performance indicates a limited chance of obtaining the minimum grades required for graduation will be subject to dismissal from the university.

(B) The provost will not dismiss a student if any of the following conditions apply to that student:

(1) The student was in good academic standing at the end of the preceding term of enrollment.

(2) The student earns a 2.000 term GPA (unadjusted for the recalculation provisions in the course repeat policy).

(C) Eligibility. Specifically, the provost may dismiss a student if any of the following conditions apply to that student:

(1) The student earns between a 0.000 and 0.500 GPA in the first semester at Kent State.

(2) The student on probation (including the transfer student admitted on probation) when the student's cumulative grade point average (GPA) is within the following ranges:

(a) 0-29 GPA hours: below 1.100 cumulative GPA.

(b) 30-59 GPA hours: below 1.500 cumulative GPA.

(c) 60-89 GPA hours: below 1.750 cumulative GPA.

(d) 90 or more GPA hours: below 1.900 cumulative GPA.

(3) The full-time student who receives nine or more credit hours and the less-than-full-time student who receives six or more credit hours of any combination of the following grades or marks in the semester under review: F, NF, SF, U. This policy applies without regard to whether the designated grades were included or excluded from the student's cumulative GPA.

(D) Required absence. Students meeting the above conditions will be subject to academic dismissal and should expect to be away from the university for a minimum of twelve consecutive months. A dismissed student may not register for any coursework at any campus of Kent state university. The notation of academic dismissal will be printed on the student's official transcript.

(E) Dismissal appeal. A student who is dismissed has the right to appeal the decision. Appeals must be based on recent circumstances that were beyond the control of the student.

(1) Appeals must be made in writing to the college or campus at which the student was enrolled at the time of the dismissal. The appeal letter must be composed, typed and signed by the student. The appeal letter may be delivered personally or sent by mail, fax or e-mail from the student's kent.edu account, and must include all pertinent documentation for the appeal to be considered.

(2) Appeal letters for dismissals must be received by the college or campus no later than 10 calendar days after final grades are posted on the student's FlashLine account.

(3) Appeal letters must include the following:

(a) An explanation of the extenuating circumstances, such as personal illness/injury, critical family illness or other situations of sufficient severity that they may have adversely affected academic performance. These circumstances must be documented by providing physician statements or other appropriate official documents.

(b) Proof of consistent satisfactory academic performance prior to the occurrence of the circumstances believed to be the cause of the dismissal. These efforts must be documented by course instructors, and their statements must be submitted on university letterhead or sent from each instructor's Kent State e-mail address. If errors have occurred for one or more reported grades, the course instructor must verify that a grade change has been submitted.

(c) An explanation of why action such as course withdrawal, complete term withdrawal, request for an incomplete grade, etc., was not taken before the end of the semester.

(d) A detailed plan of action for achieving academic success for any future enrollment at Kent state university.

(e) The student's full name, Kent state ID number, current and permanent mailing addresses, current and permanent telephone numbers and Kent state e-mail address.

(4) Appeals that do not meet these guidelines will not be reviewed.

(F) Reinstatement.

(1) Reinstatement after dismissal from Kent state university is neither automatic nor guaranteed. A student may be reinstated only if the student provides convincing evidence of probable academic success if permitted to return to the university. A dismissed student who has previously accumulated a substantial number of credit hours and/or an excessively low GPA should expect that reinstatement is not likely to be approved.

(2) Application for reinstatement after the required period of time away from the university should be to the dean of the college or campus that houses the major program the student wishes to enter. Students wanting to be reinstated into a program with selective admission requirements, specified certification standards or additional graduation requirements may be approved to be reinstated into the university but not into that particular program. The application should include convincing evidence of the student's motivation to continue and of the student's specific efforts during the period of dismissal to eliminate previous weaknesses. After evaluating the application for reinstatement and all supporting materials, the dean will inform the student of the reinstatement decision.

(3) A student who is reinstated is automatically placed on probation until good academic standing (minimum 2.000 cumulative GPA) is attained. Academic requirements will be determined by the catalog-in-force at the time the student re-enrolls at the university.

Replaces: 3342-3-01.10

Effective: 9/8/2015
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04
Prior Effective Dates: 3/22/1982, 9/19/2005, 6/1/2007, 8/21/2012, 9/1/2014, 3/1/2015

3342-3-01.11 Administrative policy regarding disqualification of studnets from programs for other than academic reasons.

(A) Purpose. In certain programs of study, students may not be effective in their chosen area because of factors other than academic qualifications, such as personality. Such programs are often designed to train students to perform guidance roles upon completion of their educational requirements. In such cases, a student's personality may be detrimental to his or her effective functioning in his or her chosen area. The university reserves the right to dismiss a student in those programs concerned before completion of his or her graduation requirements for professional and/or educational reasons.

(B) Definitions. The definitions employed in the implementation of the provisions of this rule are included in the university affirmative action plan. As used in this rule, "Person with a disability," "qualified individual with a disability," and "reasonable accommodation" as applied are defined or applied in Title II of the Americans with Disabilities Act of 1990, 28 CFR 35.

(C) Requirements. The university shall make reasonable accommodations in its academic requirements to ensure that such requirements do not discriminate on the basis of disability against a qualified individual with a disability, whether applicant or student. However, requirements that the university can demonstrate are essential to the program of instruction of the student, or any directly related licensing requirement, or to the physical safety of students, faculty, or staff, will not be regarded as discriminatory.

(D) Other rules may not be imposed upon students with disabilities, such as a prohibition of tape recorders or guide dogs, which have the effect of limiting the participation of students in the educational program or activity. Further, in examination or evaluations the university shall provide where possible such methods for evaluating the achievement of students with disabilities as will best insure that the results of the evaluation represent the student's achievement rather than reflecting the student's impaired sensory, manual, or speaking skills.

(E) Department notices to students in affected programs. All programs in which nonacademic qualifications are deemed relevant to a program of study must obtain the approval of the educational policies council. The department shall furnish a general description, in writing, of such qualification to the student prior to the time the student is admitted into the program. No student shall be dismissed from such a program unless he or she has been furnished the requisite description prior to admission into the program.

(F) Grievance procedures and appeals. The student may appeal decisions made according to this policy. Procedures to be followed are stated in departmental or school policy books.

Replaces: 3342-3- 01.11

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 10/26/1979, 12/20/2004, 6/1/2007

3342-3-01.12 Administrative policy regarding leaves of absence for graduate students.

(A) Policy statement. A leave of absence may be granted for degree seeking graduate students actively enrolled in courses for one or more semesters for personal, family, financial or other compelling reasons.

(B) Eligibility. To be eligible for a leave of absence, a student must be seeking a graduate degree, have completed at least one full term of enrollment prior to the date a leave is to begin, be in good academic standing and be making reasonable progress toward the degree.

Leaves will not be granted to students who:

(1) Have completed less than one full term of enrollment;

(2) Are not in good academic standing at the time the request is made; and

(3) Have received a previous extension of the degree time limit under this or any other policy.

(C) Implementation.

(1) Pre-request considerations. Prior to requesting a leave of absence, students should consider its potential implications for related matters including but not limited to: funding (assistantships and veterans benefits), loan repayment, immigration status, health insurance, university housing and future course scheduling and graduation issues.

Because of its direct relationship to student eligibility under certain visa regulations, students attending the university under the student and exchange visitor program (SEVIS) program should notify the office of global education before requesting a leave of absence under this policy.

(2) Time limit. Leaves of absence are granted for a maximum of three consecutive semesters (e.g., fall, spring, summer). Students may request an extension for maximum one additional semester. Although a leave may be taken for as many as twelve months, students are encouraged to return to graduate study as soon as is reasonably possible to minimize the impact of the leave on degree progress. The time taken on an approved leave of absence is not included in the time limitations for degree completion and advancement to candidacy for the doctoral degree. Refer to the college of podiatric medicine section in the university catalog for leave of absence time limits and procedures for requesting a leave of absence for the doctor of podiatric medicine degree.

(D) Procedures.

(1) Formal request. The request for leave of absence form must be submitted prior to the start of the term for which the leave is requested when the necessity for leave is foreseeable. If the leave is not foreseeable, the request should be submitted as soon as possible, but no later than the last day of classes in the term during which the leave is taken. A retroactive leave of absence will not be granted.

At the time of request, the student and the student's advisor should develop a plan to facilitate the student's re-admission to the program, including any conditions that must be met by the student prior to re-admission. A copy of the plan should be retained by both parties.

(2) Course withdrawal. Students who are registered for courses must drop or withdraw from all courses prior to taking leave. Course withdrawal does not negate a student's financial obligation, and students will be held responsible for all balances due to the university consistent with all applicable university policies. Any applicable refunds will be processed per rule 3342-7-06 of the Administrative Code.

(a) Course withdrawal is not permitted after the tenth week of the fall and spring semesters (or the prorated deadline for flexibly scheduled sections and summer terms).

(b) Students applying for a leave of absence after the course withdrawal deadline should address grading and course completion issues with their individual instructors. The university is not responsible for resolving grading and course completion issues on behalf of the student.

(3) Status during leave. Students on a leave of absence are not enrolled in any courses and therefore are not eligible for those rights and privileges afforded to enrolled students.

Students on leave of absence under this policy will not be permitted to fulfill any official department or university requirements such as taking qualifying exams or submission of a dissertation/thesis.

(4) If a student does not return to the graduate program within the approved period for which the leave of absence was granted, he or she will be considered as having permanently withdrawn from the university.

(5) Return from leave.

(a) A student who has taken leave provided for in the policy must complete the "application for graduate re-enrollment form" and return such form to the department responsible for the student's main program of study that the student will enroll in courses in the following semester. Failure to provide such notice may result in the student being unable to enroll in coursework.

(b) To be reconsidered for graduate study, students who have permanently withdrawn must formally apply to their program of interest, including the submission of an application, the non-refundable application fee and any necessary application materials.

(6) Students are advised to check with the bursar's office prior to taking an approved leave of absence in order to determine the status of their student accounts. Accounts that are overdue will be subject to regular procedures in accordance with university guidelines, notwithstanding any approved leave of absence.

Replaces: 3342-3-01.12

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 5/13/2013, 9/1/2014

3342-3-01.13 Administrative policy regarding graduate student enrollment.

(A) Policy statement. This policy provides for the minimum standards of enrollment and re-enrollment for graduate students at Kent state university.

(B) Implementation.

(1) Graduate students shall enroll for at least one term each calendar year to maintain status as a degree-seeking student.

(2) Graduate students not meeting the minimum enrollment requirement for maintaining status as a degree-seeking graduate student will be considered as having voluntarily withdrawn from the university.

(3) Graduate students who withdrew and want to have their graduate standing re-instated must follow the same admission procedures as those required by new applicants to the program.

(4) Prior enrollment in a graduate studies program does not equate to any guarantee of acceptance of a future application under this or any other related policy. The university reserves the sole discretion for any admission decision at all times.

(5) Graduate students who apply and are admitted will be re-instated under the catalog-in-force at the time of admission.

Replaces: 3342-3- 01.13

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 05/13/2013

3342-3-01.101 Operational procedures and regulations regarding change of grade.

Faculty members may obtain a form for the purpose of changing a student's grade from their departmental offices, or, in the case of the college of fine and professional arts, from their school. The completed and signed form is to be returned to the departmental office for the chairperson's signature. The form is then to be submitted to the dean's office of the college in which the course is offered and then to be sent to the registrar for official recording. The student whose grade is in question must not be involved in the transmittal process of the forms.

Replaces: 3342-3-01.101

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 3/3/1978, 6/1/2007

3342-3-01.102 Operational policy and procedure regarding withdrawal from courses.

(A) Course withdrawal indicates that a student intends to stop attending any or all classes for the current term.

(B) Course withdrawal is permitted through the tenth week of the fall or spring semester (prorated deadline for summer or flexibly scheduled courses).

(C) After the withdrawal deadline, a student is considered to be committed to all remaining courses and must complete them. If a student is unable to complete the term because of extreme circumstances that first occur after the deadline. the student should consult his/her college or campus dean's office.

(D) Any course withdrawal(s) processed after the second week of the fall or spring semester (prorated deadline for summer or flexibly scheduled courses) will appear on the student's academic record with an administrative mark of W.

(E) Students in the Kent state university college of podiatric medicine who request withdrawal after seven weeks of course instruction will receive on their academic record either the administrative mark WP or WF if passing or failing, respectively, for each withdrawn course.

(F) Course withdrawal does not negate a student's financial obligation, and the student will be held responsible for all balances due to Kent state university.

Replaces: 3342-3-01.102

Effective: 9/8/2015
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04
Prior Effective Dates: 11/4/1977, 9/13/1979, 3/28/1986, 6/1/2007, 3/1/2015

3342-3-01.103 Operational procedures and regulations regarding withdrawal from the university.

(A) Students who withdraw from the university any time during a term will receive a mark of "W".

(B) Final examination week is not considered part of the academic term for purposes of withdrawal.

(C) Students who wish to withdraw from the university must report to the office of their academic dean.

(D) Academic deans or their designees will interview students applying for university withdrawal and will forward a completed "Exit Application" to the registrar's office.

(E) Any variation from this rule requires approval by the appropriate academic dean.

Replaces: 3342-3-01.103

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 08/24/1979, 6/1/2007

3342-3-01.104 Operational policy regarding honorary degrees.

(A) Purpose. Honorary degrees have been awarded by American colleges and universities since early colonial times as a way of recognizing persons of achievement. They have customarily been awarded to prominent alumni/alumnae of the granting institution and to professional and civic leaders, national and state leaders in public affairs, prominent educators, and distinguished contributors to the arts, sciences and humanities.

(B) Eligibility. At Kent state university honorary degrees may be awarded to persons who have clearly and unmistakably demonstrated achievement in a recognized field of endeavor, and who have in some measure contributed to the advancement of the university, or whose contributions are so significant that the benefits are recognized and acknowledged on a state, national, or international level.

(C) Procedure.

(1) For the award of an honorary degree, the statutes of Ohio require the approval of the faculty and of the board. By action of the faculty senate on February 25, 1980, the senate committee on citation and recognition represents the faculty in recommending and screening nominees for honorary degrees, making its recommendation through the president to the board.

(2) The board will consider only those nominations which have been screened by the senate committee on citation and recognition and brought forward by the president with his or her recommendation; however, the board may also propose nominations to this committee for faculty consideration.

(3) To avoid potential embarrassment, deliberations on the merits of nominations for honorary degrees will be conducted in closed sessions.

(4) Nominations of persons to be considered for honorary degrees must be in writing and may be made at any time to the chairperson of the senate committee on citation and recognition. Nominations should be fully documented and carry the names and addresses of at least five persons from outside the campus who might be asked to endorse the nomination.

(5) An earned degree is not to be considered a prerequisite for an honorary degree.

(D) Exceptions.

(1) A person actively campaigning for public office in the state of Ohio may not be considered for an honorary degree from this university during the period of the campaign.

(2) An honorary degree may not be granted "in absentia."

(E) The following honorary degrees are those usually awarded at Kent state university:

(1) LL.D (doctor of laws), customarily awarded to a person distinguished in general service to the state, to learning and to mankind.

(2) LH.D. (doctor of humane letters), customarily awarded to a person distinguished in the humanities.

(3) Sc.D. (doctor of science), customarily awarded to a person distinguished in the sciences.

(4) Lett.D. (doctor of letters), customarily awarded to an acknowledged scholar in a particular discipline.

(5) Mus.D. (doctor of music), customarily awarded to a distinguished performer or composer.

Replaces: 3342-3-01.104

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 11/22/1982, 9/19/2005, 6/1/2007

3342-3-01.105 Operational policy regarding posthumous degrees.

(A) Policy statement. This policy provides the process for the recognition and award of a degree to an eligible student who was enrolled at the university at or prior to his or her death.

(B) Eligibility. An "eligible student" for the purpose of this policy is one who was enrolled in the university at or continuously for at least two semesters prior to his or her death: who maintained good academic standing at the time of death: and, who completed no less than seventy-five perpent of the degree requirements at the time of death.

(C) Procedure

(1) Posthumous certificate of recognition. For those students who are not eligible students as provided by paragraph (B) of this rule, parents may apply for a posthumous certificate of recognition upon application to the office of the provost.

(2) Posthumous awarding of degree.

(a) A family member (e.g., parent, spouse, domestic partner, child) or legal representative of an eligible student must contact the office of the provost to initiate the process and receive information on the application process. Such requests must be made in writing.

(b) Once the office of the provost receives all requested information regarding the application, the office of the provost will forward the request on to the faculty senate committee on citation and recognition as provided for in rule 3341-3-01.104 of the Administrative Code. This committee will work with the office of the) registrar to ensure degree audits and requirement validation.

(c) The committee will make a recommendation through the president of the university to the board of trustees.

(d) The board will consider only those nominations that have been recommended by the faculty senate committee on citation and recognition, and brought forward by the president of the university with his or her recommendation.

(e) Upon approval of the board, the student will be awarded the posthumous degree.

Replaces: 3342-3-01.105

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 12/28/2011

3342-3-01.201 Operational procedures and regulations regarding jury duty absences for students.

(A) In the event that a student is called for jury service, the student shall be allowed the option of withdrawing with a full fee refund and no penalty.

(B) When summoned for jury duty, students shall provide appropriate documentation to the dean of their college, school or regional campus. Students shall also contact and inform their instructors at this time.

(C) Upon completion of jury duty, students shall consult with each instructor to determine if coursework may be completed. In the event that the instructor decides that it is not possible, the student will be permitted to withdraw from that course.

(D) Should there be any conflict regarding the withdrawal procedure, students shall contact the dean of their college, school or regional campus.

(E) Students holding appointments at the university shall make special arrangements with their deans.

Replaces: 3342-3- 01.201

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 6/1/2007

3342-3-02 University policy on instructors in courses carrying academic credit.

(A) Process. The instructor of record for all coursework carrying academic credit at Kent state university will have a Kent state university appointment. The instructor of record has primary responsibility for the delivery of instruction in a course, including the assignment of appropriate grades. In addition, all individuals providing ongoing or a significant portion of instruction in a course will have a university appointment. All instructors on Kent state university appointment will be approved by the disciplinary area. Assignments will be made by the academic unit, or by the regional campus if the course is to be offered at a regional campus.

(B) Kent state university appointments. Appointments will specify the rank and/or title of the individual appointment for the purposes of instruction and will note whether the appointment is a continuing one or for a specified term period only and whether the salary, if any, is from Kent state university or another source. Examples of such appointments include full-time tenure-track faculty, full-time non-tenure-track faculty, adjunct faculty (with or without compensation), and graduate teaching appointees.

(C) Employment relationship. Except in instances where the university has established a formal relationship with an accredited educational institution, a hospital or other health care organization, or a governmental agency, or where the university employs artists, actors or musicians who are customarily represented by agents or artistic organizations, the employment relationship between the university and individuals involved in credit instruction will be direct. Only under rare and extraordinary circumstances, and only after the advance approval of the educational policies council and the provost, will the university enter into agreements that provide for the subcontracting of credit instruction. In these instances, the provisions above with regard to the processing of appointments will be followed.

Replaces: 3342-3-02

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 9/10/2001. 9/19/2005, 6/1/2007

3342-3-03 [Rescinded] University policy regarding extramural projects, grants and contracts.

Effective: 10/15/2016
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04
Prior Effective Dates: 11/4/1977, 1/25/1980, 6/1/2007, 3/1/2015

3342-3-03.1 Administrative policy regarding experimental and integrative studies.

(A) Statement of purpose. Experimental and integrative studies are administered by the dean and staff of the honors college. Objectives include the following:

(1) To provide a means by which faculty and other qualified members of the university community may develop, offer, and test innovative courses which meet a legitimate intellectual need of students, but which are not regular curricular offerings of the existing academic units.

(2) To provide for the offering of courses on a temporary and topical basis which deal with matters of current social or cultural concern in a manner that gives credence to a variety of perspectives.

(3) To provide occasionally for the offering of courses which support university programs such as the university's freshman orientation.

(4) To encourage interdisciplinary and integrative teaching and learning of a kind not frequently found in the traditional academic units.

(5) To encourage generally a spirit of curricular experimentation, integration, and innovation in course content and pedagogy throughout the university community.

(B) Administration. The dean of the honors college shall approve and administer experimental and integrative studies in accordance with the curricular policies and budgetary resources of the college.

(1) Teachers. All those teaching experimental or integrative courses must have appropriate academic credentials and expertise. Those who are not contractually affiliated with the university must be given part-time temporary faculty status through the normal appointment procedure. Specifically, teachers of experimental and integrative studies courses may be:

(a) Part-time or full-time faculty members currently teaching at the university.

(b) Members of the university staff or administration who by virtue of their position have a special expertise in the pertinent subject area.

(c) Person who have no ongoing contractual status with the university but who possess qualifications to teach a university-level course in the pertinent subject area.

(d) In rare cases, at the discretion of the honors college dean and the EXPR-curriculum committee, a person without appropriate academic credentials, but with strong expertise in a pertinent subject area, may be permitted to co-teach a course on the subject matter at issue in conjunction with a member of the faculty, staff, or administration at the university, provided the latter has the appropriate academic qualifications. The pattern for sharing responsibilities must be included in the course proposal.

(2) Course approval. A completed course proposal form (available from the honors college) must be submitted for approval to the dean of the honors college prior to the course-scheduling process. The proposal requires a syllabus, information similar to that requested on a basic data sheet, and instructor credentials.

(3) Grading. Experimental and integrative studies courses are normally letter graded; however, individual students may elect pass/fail under the guidelines for that option. Because of the nature of the content, some courses such as freshman orientation may be designated as pass/fail only.

(4) Limitations on course offerings. The subject matter for experimental and integrative learning courses shall not duplicate a regular course offering in the university. Typically courses will be offered a maximum of three times and then be evaluated for one of the following:

(a) Retention as an EXPR course essential to the continuation of a university program or to serve recognized intellectual needs, but for which no clear disciplinary home is evident;

(b) Referral to an appropriate academic unit for possible inclusion in its curriculum;

(c) Termination as a course offering.

(5) Experimental and integrative studies curriculum committee. The dean of the honors college shall appoint an experimental and integrative studies curriculum committee, made up of administrative representatives from the undergraduate degree granting colleges and independent schools, to review and make recommendations regarding existing courses as indicated in paragraph (B)(4) of this rule, and regarding proposals submitted as indicated in paragraph (B)(2) of this rule. In certain cases, the dean may request the experimental and integrative studies curriculum committee to solicit the advice of related academic disciplines about the viability of proposals.

Replaces: 3342-3- 03.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 3/18/1982, 7/8/1986, 7/15/1987, 6/1/2007

3342-3-03.2 Administrative policy regarding research involving human subjects.

(A) Purpose. The university, in the course of carrying out its teaching, research, and service missions, engages in research involving the use of human subjects across a wide array of academic disciplines and administrative functions. In order to protect the rights, well-being, and personal privacy of individuals, to assure a favorable climate for the conduct of scientific inquiry, and to protect the interests of the university, the policies and procedures described below have been established for the conduct of investigations and educational projects involving human subjects.

(B) Scope.

(1) This policy shall apply to all activities conducted by, or under the auspices of the university, irrespective of the funding source, that meet the criteria for:

(a) "Research" involving "human subjects," as defined in the department of health and human service (DHHS) regulations 45 CFR pt. 46 as such regulations may be amended, and/or

(b) A "clinical investigation" involving "human subjects" or "subjects." as defined in U.S. food and drug administration (FDA) regulations in CFR Title 21, as such regulations may be amended. This includes graduate theses or dissertations.

(C) Implementation.

(1) All members of the university community, including all faculty, staff, and students engaged in research recognize and share in the responsibility for protection of the rights and welfare of human subjects.

(2) No research involving human subjects shall be initiated until approval or exemption has been granted by the institutional review board (IRB).

(3) Under the approved federal-wide assurance (FWA) provided by the university to DHHS, all research involving human subjects, and the oversight of such research shall be guided by the ethical principles set forth in the "Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research," and performed in compliance with the regulations set forth by DHHS.

(4) For clinical investigations involving drugs, biologics, medical devices, and other test articles, the university shall comply with human subjects research regulations established by the FDA for clinical investigations.

(5) The university shall conform with other applicable federal, state and local laws and regulations germane to human subjects research.

(6) Investigations conducted by university students in connection with academic work must be supervised by a faculty member, who will refer such proposals to the IRB for review. For student research, the faculty advisor is assumed the principal investigator in regards to IRB applications.

(D) Authority and responsibility.

(1) The IRBs designated under the university's FWA are the principal mechanism by which the university reviews proposed research to ensure that it is planned and conducted in a manner consistent with applicable law and policy, and that the rights and welfare of human research participants are adequately protected. The responsibilities of the IRB include, but are not limited to:

(a) Reviewing, approving, exempting, requesting modifications to, or denying proposed research involving human subjects to ensure that it is planned and conducted in a manner consistent with applicable law and policy, and that the rights and welfare of human subjects are adequately protected. Notwithstanding the preceding, research that has been approved by the IRB may be subject to further review and approval or disapproval by the provost or the provost's designee. No university official, however, may approve research that has not been approved by the IRB.

(b) Conducting continuing review of research approved by the IRB, at intervals not less than once per year, including as necessary, observing, or having a third party observe, the consent process and investigational activity; or requesting and inspecting information related to human participant research activity.

(c) Suspending or terminating approval of research activity that is not being conducted in accordance with the requirements established by the IRB for a particular research activity, has been associated with serious harm to research participants, or that is not otherwise in accordance with federal human subject research regulations or university policy.

(d) Reporting to appropriate university and federal officials, and as applicable, any department or agency head:

(i) Unanticipated problems involving risks to research participants or others and serious or continuing noncompliance with this policy or the requirements or determinations of the IRB.

(ii) Any suspension or termination of IRB approval.

(e) Contributing to the development and implementation of administrative policies and procedures consistent with federal regulations and best practices.

(2) Sponsored projects involving human subjects are subject to rule 3342-3-04.1 of the Administrative Code.

(3) The institutional official, by appointment from the provost, shall represent the university in providing assurance to the federal government that the university will comply with federal human subject research regulations, and shall be responsible for ensuring that all regulatory and programmatic requirements for the conduct of human participant research at the university are met.

Replaces: 3342-3-03.2

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 3/11/1982, 7/19/1985, 5/5/1995, 12/20/2004, 6/1/2007, 9/1/14

3342-3-03.3 Administrative policy regarding animal care and use.

(A) Statement of purpose. Recognizing a scientific and ethical responsibility to provide appropriately for the welfare of animals used for research and education, the university and its faculty and staff are committed to assuring humane care and use of these animals. To implement this commitment, an animal care and use (ACUC) committee under the direction of the provost or designee will be established. The animal care and use committee will operate in accordance with the United States public health service policy on humane care and use of laboratory animals and the public health service "Guide for the "Care and Use of Laboratory Animals," the provisions of the United States Animal Welfare Act and other applicable laws and regulations.

(B) Responsibilities of the ACUC. The ACUC has the following responsibilities:

(1) To review at least semi-annually, the university's program for humane animal care and use for compliance with state and federal regulations.

(2) To review all research projects involving live, vertebrate animals to determine that the described care and use of animals are in compliance with university, state and federal policy and regulations.

(3) To review and approve proposed changes in on-going research which introduce significant change in use of animals or when animal studies not originally proposed and approved by the ACUC are added.

(4) Inspect all of the university's animal facilities at least semi-annually.

(5) To provide assistance and advice in research involving live animals and to implement the guidelines and policies of the university through the division of research and graduate studies which has general administrative responsibility for animals used in research.

(C) General principles. The following general principles apply equally to all projects involving animals, whether carried out solely with university resources or with the assistance of outside funds. The university has responsibility for communicating and explaining these principles to university personnel, and for providing procedural guidelines to effect their observance.

(1) Experiments using live animals shall be conducted by, or under the immediate supervision of a qualified research scientist.

(2) Animal care and housing will be under the direction of a properly qualified veterinarian.

(3) Research will be conducted in a manner to ensure humane care and use of animals. Care will be taken to minimize the number of animals used and to avoid all unnecessary suffering and injury to the animals.

(4) Facilities will be maintained in accordance with standards prescribed by the United States department of agriculture and department of health and human services as well as relevant accrediting organizations.

(5) Transportation will be in accord with applicable standards to reduce discomfort, stress and spread of disease.

(6) Euthansia will be performed according to American veterinary medical association guidelines.

Replaces: 3342-3-03.3

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 10/26/1979, 7/19/1985, 5/5/1995, 7/5/1995, 6/1/2007

3342-3-04.1 Administrative policy and procedures regarding sponsored programs administration.

(A) Purpose. The sponsored programs office ("sponsored programs") resides in the division of research and sponsored programs and, together with grants accounting in the controller's office, is responsible for stewardship of external funds received for sponsored projects. Sponsored programs oversees submission of proposals to external sponsors, negotiation/acceptance of grant and contract awards, and other Sponsored programs-related matters. Sponsored programs shall assist faculty and staff with:

(1) Retrieval of funding source information;

(2) Preparation of proposal applications to include budgeting;

(3) Authorization and submission of proposals to federal/state/local/private sponsors;

(4) Negotiation/acceptance of grant/contract award agreements to include review of terms/conditions;

(5) Plans for spending awarded funds;

(6) Award modifications to include changes in scope of work or key personnel, re-budgeting, and/or no-cost extension requests; and

(7) Grant/contract personnel appointments.

(8) Additionally, in cases of proposed or awarded projects, sponsored programs shall guide faculty and staff in interpretation of university/federal/state/other sponsor policies relative to cost principles; external sponsor-required university cost sharing; effort certification; university use/maintenance/sharing of equipment; intellectual property rights; use of human participants; animal care and use; use of high hazard chemicals, radioactive materials, recombinant DNA, bio-hazardous materials, select agents/toxins; matters related to export controlled data; and classified research/sensitive but unclassified research.

(B) Scope. A "sponsored project" is defined as any externally funded research or scholarly activity that has a defined scope of work or set of objectives, which provides a basis for sponsor expectations. This more specifically involves research, demonstration, professional development, instruction, training, curriculum development, community and public services, or other scholarly activity involving funds, materials, or other forms of compensation, or exchanges of in-kind efforts under awards or agreements.

(1) A project is consider a "sponsored project" if any one of the following conditions apply:

(a) The project is awarded based on a proposal request;

(b) The university commits to a statement of work for a specified project;

(c) The project involves a set of objectives which provides the basis for sponsor expectations;

(d) The proposal includes a detailed budget;

(e) There is a written agreement for a commitment of resources between a sponsor and the university, there is a specified period of performance, requires deliverables (such as reports, financial accounting, or intellectual property ownership);

(f) The award provides for the disposition of tangible or intangible property that may result from the project (such as equipment, records, formal activity reports, rights in data, software, copyrights, invention or research-related materials);

(g) The sponsor is involved in making decision regarding project performance; or

(h) The project involves the use of human subjects, laboratory animals, radioactive or hazardous materials, recombinant DNA, carcinogens, pathogens or proprietary materials.

(C) General principles.

(1) To generate proposals for external funding to the university, Sponsored programs will disseminate information on funding opportunities across all campuses.

(2) Compliance. Proposals must be consistent with the mission of the university and must be suitable to the unit in which the project is to be conducted. A proposal is a formal offer by the university to conduct a program under the direction of the principal investigator/project director who does so utilizing personnel and facilities of the university. Therefore, projects must comply both with university policies and external sponsor regulations. Authority for proposal submission resides in sponsored programs where the authorized organizational representative (AOR) or his/her designee is the legal signatory on submissions.

(3) Acceptance and contracting authority. A grant or contract award is an award to Kent state university and, as such, must be accepted by the university. Authority for acceptance resides in sponsored programs where the AOR or his/her designee serves as the legal signatory on grant or contract agreement documents.

(4) Principal investigators/project director role eligibility. Faculty members and professional staff who are full-time university employees may serve as principal investigators/project directors. It is the responsibility of the principal investigators/project directors to maintain academic and research integrity in the conduct of his/her sponsored project. A project may be carried out under the direction of one or more principal investigators/project directors within a single department, school, institute, center, regional campus or college or under the direction of such individuals from various cooperating units. In extenuating circumstances, an individual who is not a full-time employee may serve as principal investigator/project director; such cases must be sanctioned by the chair of the department/institute or center director, or regional campus dean from which the proposal is submitted. A full-time employee must assume both reporting and fiscal responsibility for the resulting award if granted.

(5) Approval process. Prior to the submission of the proposal to an external sponsor, a proposal must be approved electronically through the Coeus grant proposal and management system, or any subsequent system in place at the university as designated by sponsored programs. Though completion of the routing and approval process, the principal investigator/co-investigator/project director/co-director must accept responsibility for the proposal's content while also certifying compliance with the sponsoring agency and institutional requirements. Also prior to submission to an external sponsor, the proposal must be approved by the appropriate chair(s), director(s), regional campus dean(s), dean(s), or other university officer(s), as relevant, indicating to sponsored programs that the proposed project, its budget, and the level of effort committed by university personnel have the necessary university endorsements.

In reviewing the proposed project, the chair/director, dean or regional campus dean must ascertain that the proposed project is consistent with the goals of the department, college, school, or regional campus, that the faculty level of effort dedicated to the project is compatible with the unit's needs, and that any cost-sharing commitment is both possible and suitable. The college dean or regional campus dean shall review the proposed project to ascertain to what degree the project commits the college to long-term support of project personnel or program support beyond the award period.

(6) Budget. Sponsored programs staff shall determine the cost of a sponsored project in accord with principal investigator/project director needs and external sponsor program guidelines. The proposed project's budget shall include allowable direct costs, facilities and administrative costs, and, as needed, the appropriate, sponsor required university cost share whose source and amount has been approved by responsible chair, director, regional campus dean, or vice president.

(7) Cost sharing shall become part of a proposed project's budget when required by the external sponsor and only when authorized by the appropriate university official representing the unit providing the cost share. Cost sharing on one project precludes its use on another project. Sponsored programs shall ascertain that costs requested from an external sponsor as well as university cost sharing meet the cost principles (OMB A-21) of allowability, allocability, reasonableness, and consistency (with university financial practices). The university assumes the position that voluntary (not required by the external sponsor) cost sharing shall not ordinarily be offered, and that the university's negotiated facilities and administrative rate, an essential sponsored project cost, shall not be waived. When Kent state university project costs include subrecipient costs, in order to incorporate such costs into the Kent state university proposed budget, sponsored programs must receive adequate documentation from the subrecipient prior to proposal submission.

(8) Research projects involving use of human subjects must be reviewed by the university's institutional review board (IRB) prior to proposal submission or within thirty days after proposal submission if allowed by external sponsor guidelines (see rule 3342-3-03.2 of this Administrative Code). A project's human subjects must be protected in accord with federal regulations. A project that does not comply may not be conducted.

(9) Live vertebrate animals. Research projects involving use of live vertebrate animals must be reviewed by the university's institutional animal care and use committee (IACUC, as provided for in rule 3342-3-03.3 of the Administrative Code). No project involving animals may begin without approval by and adherence to recommendations by IACUC.

(10) Hazardous materials. Research projects involving use of high hazard chemicals, recombinant DNA, bio-hazardous materials, radioactive materials, or select agents/toxins must receive approval from the manager, research safety and compliance in research and sponsored programs. No project may begin without such approval.

(11) Export controls. The conduct of research projects involving export-controlled data must be approved by sponsored programs in concert with university legal counsel, with the aim of maintaining university exemption from export control restrictions based upon the university's position that it is (under "National Security Decision Directive 189") a fundamental research institution with publication rights which the university shall not waive. In such cases where export controlled information is a consideration, the university shall, as necessary, implement its master technology control plan accompanied by the annex appropriate to the specific project in question. Each project involving export-controlled information will comply with its specific annex.

(12) The university shall maintain its publication rights in all sponsored projects. The university shall not accept awards or enter into agreements for the support of research that permits another party the power to prohibit publication of or dissemination in any form of results of the sponsored research activities. The university shall permit short delays ( thirty to sixty days) of publication or dissemination of results in order for sponsor review, not sponsor approval, in order for sponsors to remove inadvertently included, sponsor-provided proprietary information or for sponsors to seek patent applications; in such cases, these delay conditions will be specified in the initial grant/contract award.

(13) Classified research. At times, a government agency or an industry has need to contract with the university for a research project under conditions that do not permit free inquiry and disclosure of results. Such research is "classified research." Contracts for classified research may be considered on a case-by-case basis. The general purpose and method of such research shall be disclosed to pertinent faculty and administrators so that they can judge the appropriateness of the research and its contribution to human knowledge and well being. The funding agency shall not influence the selection or promotion of faculty members or the formulation of university academic policy. The study's results and conclusion shall be available for open discussion and/or publication after a reasonable period of time. To ensure adherence to these policies, faculty members shall submit any proposal responding to an external sponsor request involving classified research to the vice president of research for review and consideration. The vice president of research may consult with the university research council. The principal investigator or the granting agency may appeal the decision of the vice president to the provost. In order to facilitate the conduct of federal classified grants or contracts, the university shall continue to hold a "facility clearance." This involves providing the physical means to protect security data, perhaps requiring personal security clearance of certain university officers and other employees.

(14) Gifts. A solicitation for a gift (a donation that has no requirements attached and is not work for hire) is submitted through the office of institutional advancement and foundation. The office of institutional advancement and foundation is also responsible for submission of other proposed projects in such cases where the agencies/foundations require submission by that office. In these latter cases, sponsored programs shall assist the office of institutional advancement and foundation with accurate proposal budget development.

(15) Approving department. A proposal to an external sponsor is subject to approval of the department in which the sponsored project will reside. The proposal may be submitted only if the proposed project does not unduly disrupt the established research and teaching programs of the university and department, that is, if teaching obligations can be met or rearranged as needed; if appropriate space, equipment, and facilities can be made available to the project; and, if the university can provide for continuation of support for a project's new positions if required

(D) Implementation: proposal preparation and submission.

(1) Individual faculty/staff members prepare proposals in accord with external sponsor guidelines.

(2) Sponsored programs staff shall review the proposal and provide project proposal support including but not limited to the following services:

(a) Sponsored programs staff shall review the proposal for adherence to university policy and sponsor regulations.

(b) Sponsored programs staff shall assist with development of the budget, ensuring its adequacy for the proposed work, allowability (meets cost principles as delineated in OMB A-21 and external sponsor cost requirements), and consistency with university financial procedures; and shall ascertain that the university is not cost sharing unnecessarily or unduly.

(c) Sponsored programs staff shall review the level of effort committed and the indicated current and pending support.

(d) Sponsored programs staff shall ensure that the principal investigator/project director follows university-required procedures (involving as necessary the institutional review board, the institutional animal care and use committee, the manager, research safety and compliance, university legal counsel) when human subjects, animals, export controlled data, high hazard chemicals, recombinant DNA, bio hazardous materials, radioactive materials, select agents/toxins, or new use of space (obtaining approval from the relevant university official) are involved in the project's conduct.

(3) Sub-recipient institution. When a sub-recipient institution serves as a partner in the university's proposed project, sponsored programs staff shall coordinate the proposal submission with the subrecipient. Sponsored programs staff shall obtain, prior to submission of the proposal, the necessary subrecipient documents. This documentation shall be in the form of a letter of commitment to the project, an officially authorized budget for subrecipient costs and cost sharing if applicable, the sub-recipient's statement of work substantiating what that institution will do for its proposed costs, and verification of the sub-recipient's facilities and administrative rate.

(4) AOR authorization. Every proposal must be authorized by the AOR for submission and submitted by sponsored programs staff to the external sponsor.

(5) Endorsement. Prior to its submission to an external sponsor, the proposal must be approved electronically through Coeus by the appropriate chair/director and dean or regional campus dean. In reviewing the proposed project, the chair/director, dean or regional campus dean and executive dean for regional campuses must ascertain that the proposed project is consistent with the goals of the department, college, school, or regional campus, that the faculty level of effort dedicated to the project is compatible with the unit's needs, and that any cost sharing commitment is both possible and suitable. The college dean or regional campus dean shall review the proposed project to ascertain to what degree the project commits the college to long-term support of project personnel or program support beyond the award period.

(6) Conflict of interest. Prior to its submission to an external sponsor, all potential conflicts of interest must be disclosed (see rules 3342-3-07 and 3342-3-07.1 of the Administrative Code) by the project's key personnel (those who have a role if the design, conduct, or reporting of the project! Each investigator must complete the "investigator certification" in Coeus, which incorporates the financial conflict of interest screening form questions, while key personnel must complete the financial conflict of interest screening form.

(7) Time for submission. Sufficient time shall be allowed for sponsored programs to process the proposed project. University principal investigators/project directors submitting proposals must follow the established timelines to ensure efficiency, expediency, and quality of the proposal process.

(a) Sponsored programs should be notified of intention to submit a proposal at least ten working days before the submission deadline.

(b) A complete proposal with the final budget must be entered into Coeus and routed for internal approval no later than five working days prior to the due date.

(c) If narrative proposal documents will be revised after submission for internal approval, all files must be finalized in Coeus no later than two working days before the due date of the proposal to the external agency or source.

(E) Procedures: Grant/contract acceptance, initiation, and administration

(1) The grant or contract award to Kent state university is issued as a document that must be reviewed by sponsored programs staff, often in concert with university legal counsel; prior to acceptance, unacceptable clauses are modified or struck from the agreement. Acceptance is evidenced by the AOR's signature on the award agreement document. The university does not make funds available to the principal investigator/project director until he/she has met all compliance requirements (e.g., financial conflict of interest, IRB, IACUC).

(2) When an award to the university includes subrecipient collaboration, the university shall issue the subaward agreement that includes the external sponsor's award terms and conditions. The subaward agreement will require the subrecipient's certification of compliance with federal regulations and/or other external sponsor requirements. The agreement is then executed between Kent state university and the subrecipient. Ongoing monitoring of subrecipient technical performance is documented by the principal investigator/project director and of administrative requirements by sponsored programs and grants accounting.

(3) In the administration of grant or contract awards, sponsored programs shall abide by:

(a) The award instrument issued by the particular funding agency;

(b) OMB circulars A-21, A-133, A-I 10;

(c) Other federal regulations; and

(d) University policies.

(4) When an external sponsor selects a proposal for an award, the sponsor commonly requests additional budgetary or technical information. Such budgetary information may be provided only by sponsored programs staff.

(5) Any award negotiation that takes place between Kent state university and an external sponsor must be conducted by sponsored programs. If an external sponsor contacts a principal investigator/project director directly, he/she shall advise sponsored programs. Prior to finalizing negotiations, sponsored programs staff shall work with the principal investigator/project director to ensure that his/her needs are met and that the university is protected. Sponsored projects are subject to facilities and administrative costs (F&A) at the university's current federally-approved F&A cost rate agreement applicable to the type of project being conducted. If the sponsor has a published policy, uniformly applied, prohibiting or restricting the payment of F&A costs, the university may accept the reduced F&A rate in accordance with the sponsors policy. This does not apply to for-profit sponsors that are expected to provide full F&A recovery.

(6) The principal investigator/project director shall operate within university policy and external sponsor requirements and shall be responsible for day-to-day direction and financial and administrative management of his/her awarded project. Sponsored programs staff shall guide the principal investigator/project director in the interpretation of university policy and external sponsor requirements. University policy and external sponsor terms and conditions shall be followed for all sponsored program activities including but not limited to travel, equipment acquisition, employment and committed effort of personnel, participation of human participants, and/or use of animals. The principal investigator/project director shall fulfill the requirement for review and certification of salaries, assuring that salaries charged to sponsored projects correspond to effort expended on those projects.

(7) Equipment as defined by the university that is purchased with grant/contract funds shall be subject to university equipment inventory control procedures regardless of whether title vests in the university or the funding agency. The principal investigator/project director shall be responsible for such equipment, shall purchase the equipment in due time (well before an award end date), and shall account for all items periodically as well as at the project's end. Retention and disposal of equipment at project termination falls into three categories:

(a) equipment purchased by the university with university funds (deemed to' be cost share) remains in the department, school, or regional campus of the principal investigator/project director and cannot be removed from the university by a resigning principal investigator/project director;

(b) special purpose equipment purchased by the university with grant or contract funds with title vested in the university by a sponsor remains in the principal investigator/project director's department, school, or regional campus and may be transferred with the approval of the appropriate chair/director/regional campus dean to a principal investigator/project director's new institution upon his/her resignation, only if the department/school/regional campus has no use for the equipment (final approval for transfer rests with the provost or his/her designee: and

(c) equipment purchased with grant/contract funds that remains vested with the external sponsor shall be tagged appropriately to identify the sponsor and grant/contract number and shall be disposed of in accord with external sponsor instructions and as coordinated between the controller's office and sponsored programs.

(8) Kent state university considers that cost sharing included in proposal budgets and accepted by the sponsoring agency is an award condition and university obligation. Cost sharing is subject to audit; the external sponsor will require repayment of a portion of grant funds if the proposed cost sharing is not obtained/documented and could terminate an active award. Cost sharing obligations, including both mandatory and voluntary-committed investigator effort, are appropriately recorded by project in the university's accounting records and substantiated by documentation (e.g., effort certification, vendor letters stating equipment value). Cost sharing is monitored for timeliness and adequacy as well as for allowability, allocability, reasonableness, and consistency with other university charging procedures. Cost sharing expenditures like expenditures subsidized by the grant/contract award must comply with federal cost principles and sponsor award terms and conditions. Where cost sharing is a requirement of a university-issued subaward, the cost sharing commitment that the university requires from the subrecipient is included in the university-issued subaward document. The subrecipient's compliance with the required cost sharing commitment is then monitored by both the principal investigator/project director and grants accounting and appropriately reported to the external sponsor.

(9) Throughout an externally funded project's course, the principal investigator/project director shall inform his/her chair/director, or regional campus dean as well as sponsored programs staff if there is or will be(a) any deviation from the project's sponsor-approved scope of work, budget, and/or level of personnel effort; or (b) any other change necessitating external sponsor approval. Sponsored Programs staff should be informed about any such proposed deviations prior to discussions that might occur between the principal investigator/project director and the external sponsor. The principal investigator/project director shall not communicate directly with the external sponsor about such deviations without approval from sponsored programs.

(10) A separate university-restricted index with its own number shall be established for each externally sponsored project. All project-related expenditures shall be charged directly to this index. All expenditures must occur during the period of the grant/contract award. Principal investigators/project directors shall be responsible for reviewing the project expenditures (as documented in the university system-generated reports) on a monthly basis, correcting any errors, and staying within the sponsored programs-approved budget.

(11) Costs allocable to a particular sponsored agreement may not be shifted to other sponsored agreements in order to meet deficiencies caused by overruns or other fund considerations, or to avoid restrictions imposed by law, by terms of the sponsored agreement, or for other reasons of convenience. Costs allocable to activities sponsored by industry, foreign governments or other sponsors may not be shifted to federally sponsored agreements. If a cost transfer is made due to discovery of an error, the transfer must be supported by documentation that fully explains how the error occurred and a certification of the correctness of the new charge. sponsored programs staff must approve any cost transfer that exceeds ninety days from the original erroneous charge.

(12) External sponsors and Kent state university expect principal investigators/project directors to manage the funded grant/contract project both within the sponsor-approved budget and project period. Unanticipated developments can, however, necessitate modification of the budget, scope of work, personnel effort, project period, or, in some cases, all of these. Principal investigators/project directors who need a modification must submit the request to sponsored programs for approval. The university has established procedures to implement the federal expanded authorities and documents actions taken under such federal expanded authorities. Exercising this authority, the university's AOR is able to approve certain budget and time frame modifications, to include pre-award costs, expeditiously without contacting the funding agency. When required, the university seeks external sponsor prior approval for modifications and maintains records of the approvals granted.

(13) As recipients of external funds, principal investigators/project directors must exercise appropriate responsibility in reporting performance on the funded project to the sponsor. Technical progress (e.g., quarterly, annual) and final reports shall be submitted by the principal investigator/project director to the external sponsor as required and in timely fashion. The principal investigator/project director shall provide a copy of any submitted report (to include electronic reports) to sponsored programs. At the project period's end, the project work ceases; after the termination date, no additional expenditures may be charged to the grant/contract index. A period of thirty to ninety days is usually allowed to pay previously committed financial obligations prior to grant accounting's preparation of the final financial report based on expenditures recorded in the grant index. Grants accounting shall certify the accuracy of the final fiscal report to the external sponsor. Final technical reports, invention disclosure reports, subrecipient reports (property, patent, technical, and fiscal) if applicable, and other reports as required by the external sponsor shall be submitted by sponsored programs to the external sponsor (the principal investigator/project director may have submitted the final technical report as required). The university shall not pay the subrecipient's final invoice until the reports and deliverables required from the subrecipient have been received and accepted. The principal investigator/project director shall certify that the subrecipient has adequately completed the technical aspects of the work. Upon acceptance of these closeout reports, grants accounting shall close the index.

(14) Considered an integral part of a department/center/institute, school, or regional campus program and resources base, grant/contracts/other sponsored agreements must be monitored not only by the principal investigator/project director but also by the chair, director, and college dean or by the regional campus dean. Project over-expenditures and audit disallowances are, ultimately the responsibility and burden of the home department/center/institute, school, or regional campus.

(15) Records of sponsored project activities (financial and programmatic records, supporting documents, statistical records, lab books, records for real property and equipment) shall be retained for the active years plus five years.

Replaces: 3342-3-04.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 11/4/1977, 10/26/1979, 7/19/1985, 8/7/1985, 5/5/1995, 6/1/2007, 5/15/2009, 11/3/2011

3342-3-05 [Rescinded] University policy regarding misconduct in research and scholarship.

Effective: 10/15/2016
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04
Prior Effective Dates: 6/29/1989, 9/19/2005, 6/1/2007, 3/1/2015

3342-3-05.1 Administrative policy and procedures regarding allegations and instances of misconduct in research and scholarship.

(A) Purpose. Recognizing a responsibility for the proper and ethical conduct of research and scholarship by all its personnel, and further recognizing that allegations or instances of conduct inconsistent with accepted standards may occur, the university is committed to providing maximal opportunity for fairness and due process. Toward this end the procedures stated herein shall be applied when misconduct is alleged.

(B) Requirement. As a recipient of federal grants and contracts, particularly from the national science foundation (NSF) and the public health service (PHSl), including the national institutes of health, the university is bound by regulations requiring that procedures be established for inquiry into and investigation of alleged or apparent misconduct in scientific activities conducted, funded, or regulated by these agencies. In order to establish a consistent and comprehensive procedure for the university, the procedures set forth below will apply to all instances of alleged or apparent misconduct in research, scholarly and creative activities regardless of funding or source.

(C) Definitions. The following key definitions apply to the implementation of the requirement in paragraph (B) of this rule.

(1) "Misconduct" is defined as deception, fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, or reporting results from research and scholarship: material failure to comply with federal, state and/or university requirements for protection of researchers, human subjects, or the public, or for ensuring the welfare of laboratory animals: or failure to meet other material legal requirements governing research and scholarship.

(2) "Inquiry" is defined as information-gathering and preliminary fact-finding to determine whether an allegation or apparent instance of misconduct warrants an investigation, or other measure, such as referral to the faculty senate ethics committee when appropriate.

(3) "Investigation" is defined as a formal examination and evaluation of relevant facts to determine whether misconduct has taken place or. if misconduct has already been confirmed, to assess its extent and consequences or determine appropriate action. An investigation may be conducted simultaneously with an inquiry if circumstances warrant.

(D) Procedures.

(1) If a university employee is accused of misconduct in research or scholarship, the complaint shall be lodged by the accuser in writing with the chairperson/ director/dean of the accused's department/school. Any accusation of misconduct must be presented with what is perceived by the accuser as supporting evidence; the accused must have the opportunity to review any materials supportive of the complaint as soon as such accusations are made. Chairpersons and directors will immediately notify the research dean, the appropriate undergraduate and graduate dean(s), and the provost. Should the chairperson/director be the accused, the dean of the college will be the first point of contact and that dean will notify the research dean, the appropriate graduate dean, and the provost. Should an independent school or collegial dean be the accused, the first point of contact will be the dean for research and graduate studies.

(2) The research dean, (after appropriate consultation with the chairperson/ director/dean, and the faculty advisory committee) will select an inquiry committee of no less than three persons from among the tenured members of the faculty who have no direct interest in the case but who are otherwise closest in specialty to the area of work of the accused. The inquiry committee will be impanelled to discuss the seriousness of the charges and will be charged to conduct all procedures in the strictest confidence.

(3) Should the majority of the inquiry committee agree that serious misconduct in scholarly pursuits is clearly plausible, then the provost in consultation with the dean for research, and other appropriate members of the university community, shall inform the accused, shall alert appropriate granting agencies as to the possibility of irregularities and shall form an investigation committee from within, and if necessary and/or appropriate, from without the university to give considered opinion as to the gravity and validity of the accusations under consideration and, if appropriate, recommend sanctions. The investigating committee may, if it deems necessary, interview the accused and/or the accuser (separately). The accused and the accuser both have the right to appear before the investigating committee if either so desires. Utmost confidentiality is to be maintained during the investigation.

The committee of investigation will consist of at least five full-time university employees of faculty or administrative rank, one of which will be the dean, research and graduate studies as convener; one of which will be a representative of the undergraduate and graduate dean(s) of the individual to whose activities the investigation applies; and at least two of which will be ordinarily chosen from the membership of or upon the recommendation of the university research council. Additional members will be appointed to provide scientific, legal, or other scholarly expertise required by the nature of the research or scholarship under investigation. The university may invite outside consultants or experts to participate in an investigation.

(E) Sanctions. Upon the completion of its deliberations and in accord with Article V of the Collective Bargaining Agreement, the investigating committee may recommend sanctions against the employee(s) found guilty of research misconduct.

(1) Recommendations of sanctions and a summary of its findings are to be made in writing by the investigating committee to the provost, with a copy provided to the faculty or staff member(s) to whom the recommended sanctions would apply.

(2) Possible sanctions recommended by the investigating committee may include:

(a) A letter of concern;

(b) Censure;

(c) Director to the dean for research and graduate studies to:

(i) Terminate a research grant or contract involved in the misconduct;

(ii) Withdraw research grant or contract proposals connected with the research misconduct;

(iii) Suspend academic year or summer research/creative activity appointments to the faculty member;

(iv) Deny, permanently or temporarily, access to the services and facilities of the office of research and graduate studies;

(v) Deny, permanently or temporarily, access to the university computing facilities, the university library, and similar research tools;

(vi) Deny access for the purposes of university approved research to human subjects or laboratory animals;

(vii) Notify appropriate federal, state and local agencies;

(viii) Notify journal editors, book publishers, etc., as appropriate and necessary.

(d) Director to the dean of the appropriate graduate school to conduct an immediate review of the faculty member's graduate faculty status;

(e) Direction to the dean of the appropriate collegial/independent school/campus unit to:

(i) Place the employee(s) on appropriate probation;

(ii) Reduce pay and/or benefits;

(iii) Suspend the employee(s);

(iv) Initiate termination of employment.

(3) If adopted, all of these recommended sanctions are to be carried out in accord with Article V sanctions for cause, of the current collective bargaining agreement between the university and the local chapter of the American association of university professors and the appropriate sections of this policy register and the Administrative Code.

(F) Appeals. Subjects of investigation who are found guilty of research misconduct may appeal the findings of the committee of investigation to the provost within ten working days of receipt of the decision and recommendations of the investigation. Upon completion of the appeals proceedings, the dean, research and graduate studies will report the final results to any relevant agency and the provost will take final action in the case, as appropriate.

(G) Reports. Upon completion of the investigation and appeal, if any, a report of findings and actions taken will be distributed to committee members, relevant administrators, and the parties involved. Further distribution will be made if needed to preserve the reputation of the person(s) alleged against.

Replaces: 3342-3-05.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 6/29/1989, 5/5/1995, 5/28/1997, 2/27/1998, 6/1/2007

3342-3-06.1 Administrative policy and procedures regarding fiscal audits.

(A) It is the policy of the university to cooperate fully with external auditors in the performance of their duties. The university requests that external auditors and university personnel involved in audits of local, state, and federal programs observe certain procedures to facilitate orderly reviews. The university auditing department has been designated as the focal point for all external audits. Therefore, external auditors are requested to arrange all initial contacts through the university auditing department. If the initial contact by auditors is made with other university personnel, the person contacted must immediately advise the university auditing department.

(B) Advance arrangements for external auditors by the university auditing department will ensure:

(1) Proper persons are available to assist the auditors and liaison appointed.

(2) Relevant records are located and made available.

(3) Interviews are scheduled so as to provide minimum disruption of departmental activities.

(4) Required facilities and services are available.

(C) Notification responsibilities.

(1) External auditor. It is anticipated that the audit agency will inform the university of proposed audits. Such notice should be directed to the university auditing department. The notice should indicate the purpose and scope of the audit. When an entrance conference is necessary that university auditing department will make arrangements with appropriate university officials.

(2) University auditing department. The university auditing department will notify the appropriate department or person regarding all known aspects of the proposed audit. A representative from the university auditing department or designee will personally accompany the auditor and introduce him/her to the appropriate university personnel.

(3) University departments. If any university department is contacted by an external auditor without prior notification of the proposed audit from the university auditing department, that department should notify the university auditing department.

(D) Entrance conference. The objectives of an entrance conference when requested are to establish the purpose, scope and timing of the audit, the information required by auditors, and the physical facilities needed. Entrance conferences will be scheduled by the university auditing department.

(E) Procedures during audit. After the audit commences and until conclusion it is important for the university auditing department to maintain contact with the auditor-in-charge. The university auditing department will arrange for audit liaison, additional interviews, provide for additional required documents, answer questions and supplement interviewee statements. The purpose of such contact is to expedite the audit and to correct any erroneous information which may have been inadvertently given. This should expedite the audit and ensure that the auditor obtains information, specifically:

(1) University records. Auditors should request the records required from the assigned audit liaison. The audit liaison will inform the auditor as to the best place, time and method of securing records. The auditors will be informed where to return the records for refiling by university personnel. In such cases where it is necessary to remove records from an office, the assigned liaison will secure the approval of the supervisor and will comply with the office procedures for identifying records removed from files, including listing and signing for records removed.

(2) University computer facilities. There may be instances where the auditors require the use of university computer resources to facilitate an audit. In such cases, the auditor-in-charge should transmit the request through the assigned audit liaison to the university auditing department.

(F) Exit conferences. The purpose of these conferences when requested are to information university representatives of the audit findings, to clarify possible misunderstandings, and to identify the issues that are unresolved. In some circumstances, the university may be asked to make preliminary comments on specific concerns. In such cases, auditors are expected to provide sufficient information, including reference to specific policy, to enable the university to review adequately the comments and provide meaningful responses. When audits are of limited scope and a formal exit conference is not practical or justified, the auditors should notify the university auditing department when their field work is complete. The university auditing department is responsible for scheduling exit conferences.

(G) Audit reports and responses. Copies of audit reports should be sent by the auditors to the president, vice president for administration, comptroller and the university auditing department. The university auditing department will in turn distribute copies to the audited unit, secure comments, coordinate or prepare the university response and maintain a central file of all audit reports, responses, and related correspondence.

Replaces: 3342-3- 06.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 1/25/1980, 11/22/1982, 6/4/2003, 6/1/2007

3342-3-07 University policy on finanical interest in sponsored projects.

(A) Purpose. University faculty and some staff members have taken on new and different functions in addition to the traditional roles of teaching, research, and public service. Spin-off companies transferring technology developed in the laboratory, extensive consultative activities, and various types of public service involvement are encouraged by both federal and state agencies, and by the university as necessary for the public good. Governmental agencies have become more concerned about the extent and type of these activities as they relate to funded and proposed research and scholarly activities of faculty and have issued regulations that require the establishment of standards and procedures to ensure that the design, conduct, or reporting of funded research will not be biased by any conflicting financial interest of the investigator.

The regulations require universities to develop, publish, and enforce institutional policies which comply with the requirements for regular, timely, and full disclosure of actual or potential conflicts of interests as they relate to significant financial interests which could reasonably be seen by an impartial observer as affecting the design, conduct, or reporting of research or educational activities funded or proposed for funding by an external sponsor.

(B) Procedure.

(1) Each investigator involved in sponsored activities whether proposed, pending or funded is required to disclose to a designated university official a list of significant financial interests (including that of his/her spouse and dependent children) that could compromise the objectivity of the proposed and/or supported activities.

(2) The university official will review these disclosures and determine whether any reported significant financial interests could directly and significantly affect the design, conduct or reporting of the research and, if so, such conflicts must be resolved by an administrative process.

(3) The vice president and dean, research and graduate studies, is responsible for administering the policy in accordance with existing present and future applicable governmental regulations.

Replaces: 3342-3-07

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 3/22/1996, 9/30/2005, 6/1/2007

3342-3-07.1 Administrative policy on financial interest in sponsored projects.

(A) Purpose. In accordance with state and federal regulations, the university is required to manage, reduce or eliminate any actual or potential conflicts of interest that may be presented by a significant financial interest of an investigator. Thus, the university requires that investigators disclose all significant financial interests that may present an actual or potential conflict of interest in relation to a sponsored project, as defined in rule 3342-3-04.1 of the Administrative Code. These requirements apply to all recipients of subawards.

(B) Definitions.

(1) "Confiict of interest" occurs when the relationship between an individual's private interests and his or her professional obligations to the university is such that an independent observer might reasonably question whether the individual's professional actions or decisions are determined by considerations of personal gain, financial or otherwise. An "actual" confiict of interest depends on the situation and not on the character or actions of the individual.

(2) "Investigator" means the principal investigator/project director, co-principal investigator, and any other person who is responsible or involved in the design, conduct, or reporting of research, instructional or service activities funded, or proposed for funding, by an external sponsor. For the purposes of the requirement relating to financial interest, investigator includes spouses and dependent children.

(3) "Project" means any externally funded scholarly activity such as basic, applied, or developmental research, instructional or curricular activities, student aid, career development, or other activity conducted by facult or staff members on behalf of the university.

(4) "Significant financial interest" means anything of monetary value or potential monetary value held by an investigator (and by the Investigator's spouse and dependent children! and that reasonably appears to be related to the investigator's institutional responsibilities, as follows:

(a) With regard to any publicly traded entity, remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds ten thousand dollars(for PHS funded research, this amount is five thousand dollars). For purposes of the definition of significant financial interest, remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship! equity interest includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value.

(b) With regard to any non-publicly traded entity, the value of any remuneration received from the entity in the calendar year preceding the disclosure, when aggregated, exceeds ten thousand dollars (for PHS funded research, this amount is five thousand dollars) or any equity interest (e.g., stock, stock option, or other ownership interest): or

(c) Intellectual property rights and interests (e.g., patents, copyrights! upon receipt of income related to such rights and interests: or

(d) A position giving rise to a fiduciary duty, such as director, officer, partner, trustee, employee, or any position of management.

(e) For Investigators applying for or conducting research funded by the PHS. any reimbursed or sponsored travel (i.e., travel is paid on behalf of the investigator and not reimbursed to the investigator so that the exact monetary value may not be readily available) related to the Investigator's institutional responsibilities. Disclosure of this interest will include the purpose and duration of the trip, the identity of the sponsor/organizer, and the travel destination.

(5) "Financial conflict of interest" (FCOI) means a significant financial interest that is related to proposed university research (i.e., the interest reasonably appears to be affected by the research or is in an entity whose financial interest reasonable appears to be affected by the research) and that could directly and significantly affect the design, conduct, or reporting of research.

(C) Requirements.

(1) Disclosure requirements. All investigators must submit a listing of the following significant financial interests:

Any significant financial interest that would reasonably appear to be affected by the research, instructional or service activities funded, or proposed for funding, by an external sponsor: or any significant financial interest in an entity whose financial interest would reasonably appear to be affected by the research, instructional or service activities funded, or proposed for funding, by an external sponsor.

(2) Regardless of the above minimum requirements, a faculty or staff member, in his or her own best interest, is encouraged to disclose any other financial or related interest that could present an actual conflict of interest or be perceived to present a conflict of interest. Disclosure is a key factor in protecting one's reputation and career from potential embarrassing or harmful allegations of misconduct.

(D) Procedures.

(1) Special requirements/disclosures for PHS-funded research. Pursuant to public health service (PHS) regulations ( 42 CFR 50 ) institutions receiving funds from any PHS agency [PHS agencies include NIH, SAMHSA, OPHS, IHS, HRSA, FDA, CDC, AHRQ] or other agencies adopting PHS financial conflict or interest policies, must comply with the following requirements:

(a) Each investigator who is planning to participate in PHS-funded research is required to disclose to Kent state university officials the investigator's significant financial interests (and those of the investigator's spouse and dependent children) no later than the time of application for PHS-funded research. Each investigator must complete the appropriate certification process required by the university.

(b) Each investigator who is participating in PHS-funded research is required to complete an updated certification either within thirty days of discovering or acquiring a new significant financial interest, or at least on an annual basis during the period of the PHS funding award.

(c) Disclosure of all externally-funded travel reimbursements: PHS-funded investigators must disclose all travel reimbursements that are either sponsored by (that is paid by an outside entity directly to the investigator) or reimbursed directly to the investigator from an outside entity for travel that occurs after August 24, 2012, with some exceptions. Exception include: travel reimbursements from an institution of higher education, a federal/state/local government, an academic teaching hospital, a medical center, or a research institute affiliated with an institution of higher education. This disclosure requirement does not apply to funding provided to the investigator by the institution (for example as part of sponsored research projects, paid from departmental discretionary or gift funds). Travel reimbursements must be reported within thirty days of its occurrence.

(d) Mandatory training requirements: All PHS-funded investigators must complete online FCOI training provided by Kent state university prior to the expenditure of funds of any newly-funded projects, including noncompeting continuation awards. This applies to all PHS-sponsored research projects as of August 24, 2012. Training must be completed at least every four years. Online training is available for KSU personnel. Current PHS awards are not subject to these new requirements until the noncompeting continuation award. For these purposes, the term "investigator" includes the principal investigator (PI) and any other person (regardless of title or position) that the PI identifies as independently responsible for the design, conduct, or reporting of the research.

(2) Review by conflict of interest review committee. The vice president for research, or official designee, will conduct an initial review of all disclosure statements submitted to determine whether a financial conflict of interest (FCOI) exists and, if so, determine what actions should be taken by the university to manage, reduce, or eliminate the FCOI. If a determination is made that there may be a potential or actual FCOI, the investigator, in cooperation with his/her dean, chair or director, will develop and present to the vice president for Research a plan to manage, reduce or eliminate any potential or actual FCOI presented by the disclosed significant financial interest.

(3) The proposed plan shall be referred to the university conflict of interest review committee (CIRC) which will advise the vice president for research. The CIRC shall contain, at a minimum, faculty members representing a cross section of academic disciplines. Committee members are appointed by the vice president for research.

(4) The CIRC shall review the plan and recommend it as presented, or suggest conditions or restrictions which may include the following:

(a) Modification of the research plan;

(b) Disqualification from participation in all or the portion of the funded research that would be affected by the significant financial interest;

(c) Divestiture of significant financial interests; or

(d) Severance of relationships that create conflicts.

(5) If the CIRC determines that imposing conditions or restrictions would be inequitable, or that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or public health and welfare, then the CIRC may recommend that the research go forward without imposing such conditions or restrictions.

(6) The plan, if approved by the vice president for research, will be incorporated into a memorandum of understanding that details the conditions or restrictions imposed upon the investigator in the conduct of the project and/or the relationship with the business enterprise or entity. The memorandum of understanding shall be signed by the investigator and the investigator's cognizant university official (usually a dean, chair or director) and the vice president for research. Actual or potential conflicts of interest must be satisfactorily managed, reduced, or eliminated in accordance with these guidelines prior to expenditure of any funds under the award. If actual or potential conflict cannot be satisfactorily managed, the sponsoring agency must be informed.

(7) Non-compliance. When an investigator is found to have violated this policy or the terms of the memorandum of understanding, the CIRC may recommend to the appropriate vice president that sanctions be imposed consistent with procedures established by university policy and/or an applicable collective bargaining agreement affecting the employee and his/her employment relationship with the university. Disciplinary action may range from a letter of reprimand to dismissal and termination of employment. If the violation results in a collateral proceeding under university policies regarding misconduct in science, the CIRC shall defer a decision on sanctions until the misconduct in science process is completed. In cases of violation, the vice president for Research will notify the appropriate funding agency.

(8) Reporting. The university will provide initial and ongoing reports of its management of FCOI to external sponsors of university research as required by law and in accordance with this policy.

(9) Records. Records relating to all investigator disclosures of significant financial interests and the university's review and management of such disclosures, will be maintained by the university in the case of externally-funded research for(a) three years from the date of submission of the final expenditures report (in the case of grants and cooperative agreements): or(b) three years from the final payment (in the case of research contracts), or(c) resolution of any government action involving the records, or(d) as otherwise required by law.

Replaces: 3342-3-07.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 3/21/1996, 6/1/2007, 8/22/2012

3342-3-08 University policy regarding faculty participation in companies commercializing Kent state university.

(A) Purpose. 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 research, or to interfere with their relationships with other faculty. Specifically, research assignments for students must be selected solely on the basis of 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.

(B) Eligibility. university rules apply only to faculty who:

(1) create intellectual property owned by the university: and

(2) desire to hold an interest, whether vested or not, in a firm, corporation, or other association (hereinafter "company") 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 faculty or in patents issued to that faculty commercializing their research.

University rules serve as exceptions to the Ohio ethics law and related statutes (Chapter 102., and sections 2921.42 and 2921.43 of the Revised Codel which might otherwise apply. Matters outside the scope of these rules will be subject to such laws to the extent applicable.

(C) Procedures and guidelines.

(1) Faculty responsibilities. While faculty are permitted by these rules to engage in specified private business activities relating to their institutional positions, they continue to be responsible for the performance of all their teaching, research and service obligations. Authorized private business activities must not be allowed to interfere with the performance of any of their institutional responsibilities and must be undertaken in accordance with university rule 3342-6-23 of the Administrative Code and pursuant to formal consulting and confiict of interest management plans between the faculty. Company and Kent state university, which plan must be approved by the vice president for research and dean of graduate studies.

(2) Reporting business activities. Private business activities that may relate to a faculty member's scope of employment throughout shall be reported in writing to the vice president for research and dean of graduate studies.

(3) Determining applicability of guidelines. Decisions concerning the relationship between a faculty member's private business activities and his or her scope of employment shall be made by the vice president for research and dean of graduate studies. The faculty member may appeal the decision of the vice president for research and dean of graduate studies to the provost. The decision of the provost will be final.

(4) Activities not related to research. Private business activities that are not subject to these rules because they are unrelated to the faculty member's scope of employment may be subject to other institutional policies on outside enterprises (rule 3342-6-24 of the Administrative Code), conflicts of interest and commitment (rules 3342-3-01.6 and 3342-6-23 of the Administrative Code), and patents and copyrights (rule 3342-5-09.1 of the Administrative Code).

(5) Approval process. A faculty member who wishes to participate in the commercialization of technology must first obtain approval from his or her department chair or school director and academic dean as appropriate. The faculty member, in consultation with his/her academic dean, chair or director, shall develop and present to the vice president for research and dean of graduate studies, a plan to manage, reduce or eliminate conflict of interest or commitment arising out of the faculty member's business activity. The vice president and dean shall refer the proposed plan to the university patent and copyright board, which will advise the vice president and dean as to the acceptability of the plan. Faculty may not enter into any agreements relating to their proposed business activities until the plan has received final written approval from the vice president and dean.

(6) Responsibilities of academic deans, chairs and/or directors. Academic deans, department chairs and directors have the responsibility of ensuring that faculty participating in approved business activities continue to perform all of their teaching, research and service obligations. Academic deans, department chairs and directors are also responsible for enforcing the university rules 3342-3-07.1 and 3342-6-23 of the Administrative Code and for reviewing and making a recommendation as to the propriety of business activities reported by their faculty in written disclosures required by those policies.

(7) Annual review. Prior to the start of each academic year, the vice president for research and dean of graduate studies, in consultation with the academic dean, department chair or director will conduct an assessment of the employee performance under conflict of interest management plan.

(a) The academic dean, department chair or director will provide a written assessment of the employee's performance of their teaching, research and service obligations as outlined in the conflict of interest management plan.

(b) A review of the company's performance focused on the achievement of milestones set forth in the plan including but not limited to the reduction of management responsibilities for the employee, the dilution of employee equity interests, patents filed, etc.. will be a part of the annual assessment.

(c) The vice president for research and dean of graduate studies shall consult with the patent and copyright board at its next regularly scheduled meeting for advice and counsel in the assessment of the performance of the faculty member to meet his/her obligations under the conflict of interest management plan.

(d) Failure to meet the goals outlined in the conflict of interest management plan will result in defined actions prescribed by the vice president for research and dean of graduate studies in consultation with the academic dean, department chair or director that may include but are not limited to revisions in the management plan, changes in the sponsored research or licensing agreements, or other remedies to ensure that faculty meet commitments to Kent state university.

(8) Agreements with start-up companies. A "start up" company is defined as a legal entity in the early stages of commercializing intellectual property or technology licensed by the university.

(a) Companies may not enter into any agreements with the university relating to the commercialization of a faculty member's research until final written approval from the vice president for research and dean of graduate studies is obtained.

(b) Faculty who wish to participate in a start-up company may discuss initial company formation matters with the vice president for research and dean of graduate studies; however, they should not participate in the ongoing negotiation of option and licensing terms between the company and vice president for research and dean of graduate studies.

(c) As soon as possible, third parties, such as company management and/or legal counsel should perform this function. A company wishing to obtain an exclusive license to the university technology may be required to provide the vice president for research and dean of graduate studies with a viable business plan including, at a minimum, the following:

(i) A capitalization plan addressing the acquisition of additional capital and the equity dilution of the faculty member's ownership interests;

(ii) A proposed management team; and

(iii) Milestones for capitalization, product development, and commercial sale.

(9) Use of university facilities. Institutional facilities, equipment and other resources may be used for research benefiting a company in which a faculty member has an interest only pursuant to a sponsored research agreement, facilities use agreement or other appropriate contractual arrangement in accordance with institutional policies.

(10) Management of start-up companies. Faculty for a limited period of time may hold management positions in start-up companies commercializing their research. 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. Agreements between the university and faculty owned start-up companies will specify milestones for the reduction of these management responsibilities.

(11) Management positions in existing companies. A faculty member who acquires interest in a previously established company that contracts with the university to commercialize his or her research should not serve as a director, officer or employee of that company.

(12) Leave to pursue private business activities. Faculty should not allow their management activities with newly formed companies commercializing their research to consume a disproportionate amount of their professional attention. Faculty engaged in approved private business activities who are unable to perform all of their institutional responsibilities are encouraged to consider a full or partial leave of absence without pay. Professional improvement leave available under section 3345.28 of the Revised Code shall not be used for private business purposes.

(13) Student research within the university. Graduate and undergraduate students may use institutional facilities, equipment and other resources to perform research benefiting a company in which a faculty member has an interest only pursuant to a sponsored research agreement.

(14) Student employment with the company. Except as provided in paragraph (C)(5) of this rule, students may be employed by companies in which faculty members hold an interest. Prior to such employment, the student, the faculty member, the chair of the student's department, the chair of the graduate studies committee and a company representative must sign an agreement that clearly sets forth the roles, rights, and responsibilities of the respective relationships.

(15) Employment of students academically involved with faculty owners of the company. A student may not be employed by a company in which a faculty member has an 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 advisor or the director of his or her thesis or dissertation research. Such students may perform research benefiting a faculty owned company only pursuant to a sponsored research agreement or formal internship agreement through the university.

(16) Contracts unrelated to technology development. Companies in which faculty hold an interest may enter into agreements with the university unrelated to research or technology development for the purchase, sale or rental of equipment, supplies, or services only to the extent not prohibited by Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code.

(17) Investments by faculty not involved with development of the technology. Faculty who are not directly involved with research and development of technology licensed to a faculty owned start-up company may hold equity interests in that company only to the extent not prohibited by Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code.

(18) Regulatory review boards. Institutional regulatory review boards, including for example, institutional review board and animal care and use committee, may be utilized for research benefiting a company in which a faculty or staff member has an interest only pursuant to institutional policies.

(19) Limitation of equity ownership. While significant faculty equity ownership may be inherent in a newly formed company, it is expected that faculty 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.

(a) Agreements between the university and faculty owned start-up companies shall specify milestones for the dilution of these equity interests. In most cases, the faculty's ownership interest should decrease to no more than twenty-five per cent of the total equity in the company.

(b) Failure to comply with or renegotiate these agreed-upon milestones may result in a renegotiation or in the company's inability to engage in sponsored research, employ students and the other commercialization agreements and/or activities allowed for under university rules.

(20) Principal investigators. Faculty may assume the role of principal investigator in sponsored research projects funded by companies in which they have an interest only pursuant to university rules 3342-3-07 and 3342-3-07.1 of the Administrative Code.

(21) Intellectual property. Faculty participating in start-up companies approved pursuant to these guidelines continue to be bound by all institutional policies on patents and copyrights. New inventions and/or discoveries made as a result of a faculty member's research efforts for the company must be disclosed in writing to the vice president for research and dean of graduate studies. New inventions and/or discoveries developed by the faculty for the company will be owned by the university, unless the patent and copyright board determines that the invention or discovery is wholly unrelated to the research and teaching responsibilities of the faculty member.

Replaces: 3342-3-08

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 3/14/2002, 9/19/2005, 6/1/2007

3342-3-08.1 Administrative policy regarding staff participation in companies commercializing institutional research.

(A) Purpose. Staff 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. Staff should not allow their interest in a financial opportunity arising out of their research efforts to influence their teaching or research, or to interfere with the relationships with others in their department.

(B) Eligibility. University rules apply only to staff members and/or student employees who:

(1) Are specifically assigned to engage in research and development activities;

(2) Create intellectual property owned by the university; and

(3) Desire to hold an ownership interest in any firm, corporation, or other association to which the board of trustees has assigned, licensed, transferred, or sold the college or university's interests in discoveries or inventions made or created by that employee or in patents issued to that employee (hereinafter "company") commercializing their research.

(4) University rules serve 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 chapter will be subject to such laws to the extent applicable.

(C) Responsibilities.

(1) Institutional responsibilities and personal financial interests. Staff members may pursue research projects as authorized by their supervisors. Supervisors must take extra care to monitor the entrepreneurial activities of their staff employees. They 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 individual employees.

(2) Staff responsibilities. Staff members may not perform private business activities of any kind during institutional working hours. Staff who wish to perform activities for companies commercializing their institutional research shall do so on their own time. These activities must not interfere with the performance of any of the employee's institutional responsibilities and must be undertaken in accordance with university rule 3342-6-23 of the Administrative Code and pursuant to a conflict of interest management plan between the staff member, company and university and approved by the vice provost and dean of research and graduate studies.

(3) Staff supervisors. Staff supervisors are responsible for ensuring that their employees participating in approved entrepreneurial activities continue to perform all of their institutional responsibilities. They are also responsible for enforcing university rules 3342-03-07.1 and 3342- 6-23 of the Administrative Code and for reviewing and making a recommendation as to the propriety of private business activities reported by staff in written disclosures required by that rule.

(D) Procedures and guidelines.

(1) Reporting business activities. Private business activities that may relate to a staff member's scope of employment shall be reported in writing to the vice provost and dean of research and graduate studies.

(2) Determining applicability of guidelines. Decisions concerning the relationship between a staff member's private business activities and his or her scope of employment shall be made by the vice provost and dean of research and graduate studies.

(3) Activities not related to research. Private business activities that are not subject to these rules because they are unrelated to a staff member's scope of employment are nevertheless subject to the policy on conflicts of interest and commitment, the policy on patents and copyrights and the rules of the employing unit.

(4) Approval process. Staff must obtain approval from the vice president for research and dean of graduate studies and a conflict of interest management plan must be in place before any business agreements related to their university research are finalized. Staff may not enter into any agreements relating to commercialization of their research until final written approval from the vice president for research and dean of graduate studies is obtained.

(5) Annual review. Each year on the anniversary of the agreement, the vice president for research and dean of graduate studies in consultation with the staff supervisor will conduct an assessment of the employee performance under conflict of interest management plan.

(a) The staff supervisor will provide a written assessment of the employee's performance as outlined in the conflict of interest management plan.

(b) A review of the company's performance focused on the achievement of milestones including but not limited to the reduction of management responsibilities for the employee, the dilution of employee equity interests, patents filed, etc., will be a part of the annual assessment.

(c) At the discretion of the vice president for research and dean of graduate studies, a staff advisory committee may be convened to provide advice and counsel to the vice provost to assist in the assessment of the performance of the staff member to meet his/her obligations under the conflict of management plan.

(d) Failure to meet the goals outlined in the conflict of interest management plan will result in defined actions prescribed by the vice president for research and dean of graduate studies in consultation with the staff supervisor that may include but are not limited to revisions in the management plan, changes in the sponsored research or licensing agreements, or other remedies that ensure the staff meets their commitments to Kent state university.

(6) Agreements with start-up companies. Companies may not execute any agreements relating to the commercialization of a staff member's research until final written approval from the vice provost and dean of research and graduate studies is obtained. While they may find it necessary to do so initially, staff members should not participate in the ongoing negotiation of option and licensing terms between the company and the vice president for research and dean of graduate studies. When available, third parties, such as company management and/or legal counsel shall perform this function.

A company wishing to obtain an exclusive license to the university technology may be required to provide the vice president for research and dean of graduate studies with a viable business plan including, at a minimum, the following:

(a) A capitalization plan addressing the acquisition of additional capital and the equity dilution of the staff member's ownership interest;

(b) A proposed management team: and

(c) Milestones for capitalization, product development, and commercial sale.

(7) Use of university facilities. University facilities, equipment and other resources may be used to conduct research benefiting a company in which a staff member has an interest only pursuant to a sponsored research agreement, facilities use agreement or other appropriate contractual arrangement in accordance with university rule 3342- 3-08 of the Administrative code and this rule.

(8) Management of start-up companies. Staff for a limited period of time may hold management positions in start-up companies commercializing their research. 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. Agreements between the university and staff owned start-up companies should contain enforceable milestones for the reduction of these management responsibilities. Failure to comply with these agreed-upon milestones may result in the company's inability to engage in sponsored research, utilize student employees and the other commercialization agreements and/or activities allowed for under these guidelines.

(9) Management positions in existing companies. A staff member who acquires an interest in a previously established company that contracts with the university to commercialize his or her research should not serve as a director, officer or employee of that company.

(10) Leave to pursue private business activities. Staff who wish to perform management activities for newly formed companies commercializing their university research during university working hours may do so only if they take approved leave. Staff who are unable to perform all their institutional duties because of management responsibilities in their private companies are encouraged to consider a reduction of appointment or other approved leave mechanism.

(11) Student research within the university. Graduate and undergraduate students may use university facilities, equipment and other resources to perform research benefiting a company in which a staff member has an interest only pursuant to a sponsored research agreement.

(12) Student employment with the company. Companies in which staff members hold an interest may employ students. Prior to such employment, the student, the staff member, the chair of the student's department, the chair of the graduate studies committee and the company must sign an agreement that clearly sets forth the roles, rights and responsibilities of the respective relationships.

(13) Contracts unrelated to technology development. Companies in which staff hold an interest may enter into agreements with the university unrelated to research or technology development for the purchase, sale or rental of equipment, supplies or services only to the extent not prohibited by Chapter 102 and sections 2921.42 and 2921.43 of the Revised Code.

(14) Investments by staff not involved with development of the technology. Staff who are not directly involved with research and development of technology licensed to a faculty or staff owned start-up company may hold equity interests in that company only to the extent not prohibited by Chapter 102 and sections 2321.32 and 2921.43 of the Revised Code.

(15) Regulatory review boards. University regulatory review boards including, for example, IRBs and animal care and use committees, may be utilized for research benefiting a company in which a staff member has an interest only pursuant to university policies.

(16) Limitation of equity ownership. While significant staff equity ownership may be inherent in a newly formed company, it is expected that their ownership interest, as a percentage of the total outstanding shares or membership interests of the company, will decrease as the company develops and attracts additional equity.

(a) Agreements between the university and staff owned start-up companies should contain enforceable milestones for the dilution of these equity interests.

(b) In most cases, the staff's ownership interest should decrease to no more than twenty-five per cent of the total equity of the company.

(c) Failure to comply with these agreed upon milestones may result in the company's inability to engage in sponsored research, employ students and the other commercialization agreements and/or activities allowed for under this chapter.

(17) Principal investigators. Staff may assume the role of principal investigator in sponsored research projects funded by companies in which they have an interest only pursuant to university policies.

(18) Intellectual property. Staff participating in start up companies approved pursuant to these guidelines continue to be bound by the university policy on patents and copyrights. New inventions and/or discoveries made as a result of a staff member's research efforts for the company, must be disclosed in writing to the vice president for research and dean of graduate studies. New inventions and/or discoveries developed by the staff member for the company will be owned by the university, unless the invention or discovery is wholly unrelated to the research responsibilities of the staff member.

Replaces: 3342-3-08.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 7/16/2001, 9/19/2005, 6/1/2007

3342-3-09.1 Administrative policy regarding transcript maintenance.

(A) Purpose. The integrity of academic transcripts is fundamental to the validity of coursewrok and degrees certified by the university.

(B) Operational procedures.

(1) All student transcript entries (grades and other notations) are finalized when the pertinent degree is officially posted ot the permanent academic record. Subsequent revision and alteration of any transcript entry, after the relevant degree is awarded, is permitted only for the correction of a proven error as certified by the appropriate academic dean and the registrar.

(2) Degres are posted ot students permanent academic records approximately thirty days following the effective date of graduation.

(3) Further adjustment of transcript content is not authorized beyond the date except as noted in the policy statement.

(4) This action is automatic and will be forestalled only by prior, official action of the student to change the effective graduation date through the graduation reapplication process.

Replaces: 3342-3-09.1

Effective: 3/1/2015
Promulgated Under: 111.15
Statutory Authority: 3341.01
Rule Amplifies: 3341.01 , 3341.04
Prior Effective Dates: 1/25/1991, 9/19/2005

3342-3-10 University policy regarding use of copyright-protected works.

(A) Policy statement. It is the policy of the university to respect, and comply with, the copyright laws of the United States (Title 17 of the United States Code, or the "Copyright Act"). Accordingly, members of the university community desiring to use copyrighted materials are responsible for complying with the Copyright Act in good faith.

(B) Implementation. Office of general counsel in cooperation with university libraries' copyright services.

(C) Scope. This policy shall apply to all university faculty, staff, and students seeking to use copyright-protected works.

(D) Use of a copyright-protected work.

(1) Unless a work is in the public domain or available for use under a creative commons or other public copyright license, it should be generally assumed that the work is copyright-protected. If there is no applicable license, exemption, or exclusion to permit use of a copyright-protected work, permission must be obtained from the copyright holder or a representative of the copyright holder. Faculty, students, and staff members are individually responsible for assessing whether a copyright-protected work is available for use, and if required, ensuring that the appropriate permission is obtained from the copyright holder or a representative of the copyright holder prior to use of the work.

(2) Limitations to exclusive copyright. Permission to use a copyright-protected work is not required in accordance with certain limitations to exclusive rights to copyright set forth in the Copyright Act. Such limitations include, but are not limited to, the exemptions set forth in this section below. Faculty, staff and students should refer to http://www.library.kent.edu/copyrightfor detailed information, guidance, and resources on copyright exemptions prior to relying on any exemption for use of a copyright-protected work.

(a) Public domain. A public domain work is a work that is not protected by copyright and which may be freely used. Works in the public domain include works published in the U.S. before January 1, 1923, most works owned by the federal government, or, prior to 1989, works for which an author has failed to satisfy a statutory formality required in the Copyright Act.

(b) Classroom exemptions. Section 110 of the Copyright Act allows for performance and display of a lawfully made copy of a copyright-protected work by instructors or students in the course of teaching activities (not entertainment) in a classroom (physical or virtual, or similar place devoted to educational instruction) as part of a curriculum.

(c) Fair use. If no other exemption is available, the fair use provisions set forth in section 107 of the Copyright Act allow for a limited use of a copyright-protected work without permission from the copyright holder. Prior to relying on fair use, a fair use analysis must be completed in good faith and on a case-by-case basis by the individual utilizing the copyrighted work.

(E) Permissions and licensing.

(1) Permissions must be obtained by the faculty, student, or staff member in all instances where it is determined that use of a copyright-protected work does not fit within an exemption or that the desired use exceeds fair use.

(2) Faculty, staff, and students may contact university libraries' copyright services for assistance in obtaining permissions from the copyright holder.

Effective: 1/19/2016
Promulgated Under: 111.15
Statutory Authority: 3341.04
Rule Amplifies: 3341.01, 3341.04