Chapter 3356-10 Policies on Admission, Retention, and Graduation standards

3356-10-01 Hiring and selection process for full and part-time faculty.

(A) Policy statement. While the president has overall responsibility for the management of the university, the responsibility for decisions about the employment of personnel is delegated to the appropriate divisional executive officer who is responsible for making personnel decisions within the described university procedures. Personnel actions will become effective upon approval by the board of trustees. The university employs faculty with the degrees and other credentials appropriate to their responsibilities.

(B) Parameters.

(1) Recruitment to fill faculty positions must be authorized by the provost/vice president for academic affairs. In accordance with higher learning commission expectations, "faculty members must possess an academic degree at least one level above the level at which they teach, except in programs for terminal degrees or when equivalent experience is established." Recruitment activities must conform to the equal opportunity and affirmative action procedures (see rule 3356-2-01 of the Administrative Code).

(2) Faculty are employed as either full-time or part-time status. Part-time faculty supplement the full-time faculty to meet departmental instructional needs and cannot acquire tenure.

(3) The official offer of employment for full-time faculty is made by the provost/vice president for academic affairs upon the recommendation of the college dean, the chairperson of the department, and the office of human resources.

(4) The chief human resources officer will submit a summary of all full-time faculty appointments to the board of trustees at the next regularly scheduled meeting for approval. Offers of employment for full-time faculty shall be contingent upon approval by the board of trustees; however, faculty may begin employment prior to the approval by the board of trustees.

(5) Each full-time faculty member will be assigned a home department, which shall be that department in which the majority of the person's time is budgeted. In cases where the time assignment is evenly distributed, the home department shall be the department where the person holds academic rank.

(6) Except for department chairpersons (who are excluded from the bargaining unit), the types of contracts and terms and conditions of employment of full-time faculty are outlined in the "Agreement Between Youngstown State University and Youngstown State University Chapter of the Ohio Education Association."

(7) Faculty responsibilities of departmental chairpersons are described in the "Department Chair Handbook."

(8) Part-time faculty members are appointed by the appropriate college dean upon the recommendation of the department chairperson and subject to review by the provost/vice president for academic affairs. Such appointments are for one academic term or a portion thereof. For purposes of compliance with the Revised Code and the state constitution regarding the hiring and the appointment of employees, including part-time faculty, the board of trustees designates the provost/vice president for academic affairs as the hiring authority for part-time faculty. The provost/vice president for academic affairs will report to the board of trustees on the use of part-time faculty on an annual basis.

(9) Part-time faculty may teach up to six workload hours per term and up to twelve workload hours per academic year. The provost/vice president for academic affairs may waive this limitation when it is in the best interest of the university.

(10) Part-time faculty are paid on the basis of workload hours taught and highest earned degree held. The rate of pay is identified in the annual "Operating Budget and Capital Funds" document approved by the board of trustees.

(11) Procedures, benefits, and other matters affecting part-time faculty are found in the "Part-time Faculty Manual" available in the office of the provost/vice president for academic affairs.

(12) Cross-reference. This policy incorporates former rule 3356:1-11-02(former guidebook policy 1001.02 ) of the Administrative Code For information about faculty with graduate status, see rule 3356-10-02 of the administrative code. For information about adjunct faculty, see rule 3356-10-09 of the administrative code.

Replaces: 3356:1-11-01

Effective: 1/22/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 8/15/98, 6/16/03, 8/21/10

3356-10-02 Graduate faculty.

(A) Policy statement. The graduate faculty shall consist of the president of the university, the provost/vice president for academic affairs, the dean of the college of graduate studies, the deans of the colleges, and faculty members qualified to teach graduate courses as determined by the dean of graduate studies and the graduate faculty.

(B) Definition. Graduate faculty membership includes:

(1) Category three members who are not employed by Youngstown state university and whose academic entitlements are determined by the dean of graduate studies in consultation with the graduate council;

(2) Category two members who may teach and supervise master's level graduate work and participate fully in activities of graduate studies committees and may vote in graduate faculty meetings;

(3) Category one members who may teach and supervise master's and doctoral level work and have full rights and privileges in governance of the college of graduate studies. In addition, those faculty serving as chairpersons of doctoral committees shall meet advanced requirements determined by the appropriate college departments and approved by the dean of graduate studies in addition to those necessary for category one members.

(C) Parameters.

(1) The graduate council is the representative governance unit for the graduate faculty and the college of graduate studies.

(2) Criteria and internal college procedures for appointment to the graduate faculty are recommended by the individual colleges and approved by the graduate council.

(3) The graduate faculty recommends and maintains standards for graduate admissions, courses, programs, and degrees, plus rules and procedures to give uniformity to the quality of graduate instruction throughout the university. It shall make recommendations concerning curricular activities required for graduate degrees and make suggestions to the departments concerning courses for graduate credit. It shall encourage the development and improvement of graduate work and research.

(4) Graduate council policies and procedures are found in the "College of Graduate Studies Academic Policy Book."

Replaces: 3356-10-02

Effective: 1/20/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 8/15/98, 6/16/03; 8/21/10, 1/22/12

3356-10-03 Affiliated scholars.

(A) Policy statement. The university encourages the affiliation of non-university individuals engaged in appropriate scholarly activity. Such appointments are either externally funded or non-remunerative.

(B) Definition. "Affiliated scholars" are individuals with a record of ongoing scholarship or research who are not full-time faculty. Affiliated scholars are expected to hold the appropriate terminal degree and to be engaged in ongoing scholarly activity.

(C) Parameters.

(1) The associate vice president for research, or designee, in cooperation with the college dean and the university research council, is responsible for the nomination of affiliated scholars. Offers of appointment as affiliated scholars are the responsibility of the provost/vice president for academic affairs.

(2) Affiliated scholars will credit Youngstown state university in publications stemming from scholarly activity conducted while affiliated with the university. Copies of publications will be provided to the associate vice president for research.

(3) Affiliated scholars have access to university facilities and services, as defined by the appropriate dean.

(4) Usual and customary charges for the use of university facilities and services are the responsibility of the affiliated scholar.

(5) When applying for external funding and invoking the university affiliation, affiliated scholars will follow university procedures and will assign to Youngstown state university indirect cost reimbursement awarded by the grantor.

(6) The university administers any grant monies awarded to the affiliated scholar whose grant application names Youngstown state university as the institutional affiliation.

Effective: 1/20/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 8/15/98, 6/2/03, 8/21/10, 1/22/12

3356-10-04 Degrees.

(A) Policy statement. The board of trustees awards degrees to students who are recommended by the respective dean as having fulfilled the requirements established by the faculty.

(B) Parameters.

(1) Official diplomas are signed by the chairperson and secretary of the board of trustees and by the president and provost/vice president for academic affairs of the university.

(2) The seal of the university is affixed to all diplomas.

(3) The office of records is responsible for the development of the listing of graduates appearing in the commencement program and for ordering the diplomas awarded.

(C) Procedures.

(1) Students shall complete all appropriate materials in the semester in which they plan to graduate.

(2) The office of university scholars and honors forwards to the office of records the names of the candidates for scholars and honors diplomas.

(3) Degree completion requirements are verified by the appropriate department chairpersons and deans, and the information is then forwarded to the office of records.

(4) Diplomas will be awarded only to those candidates who have met all academic requirements and financial obligations of the university. (See, however, posthumous degrees.)

(D) Posthumous degrees.

(1) A deceased student who was enrolled in an undergraduate, graduate or doctoral degree program at the university at the time of his/her death may be recommended for a posthumous degree by a faculty member, department chairperson, or dean of the appropriate college or academic unit. A recommendation must be in writing and proceed, respectively, for approval as follows: faculty member to chairperson, chairperson to dean, dean to provost and vice president of academic affairs. The provost and vice president of academic affairs will notify the registrar if the recommendation is approved.

(2) In order for a posthumous degree to be awarded, a student must be in good academic standing and have substantially completed the applicable degree requirements. Substantial completion means:

(a) For undergraduate degrees and master degrees without a thesis requirement, the student must be within one semester of completing all coursework and degree requirements.

(b) For doctoral programs and master degree programs with a thesis requirement, the student must be within one semester of completing all coursework and degree requirements, and the student must have completed a full draft of his/her thesis to the satisfaction of his/her thesis chairperson.

(3) If approved, the appropriate dean will notify the immediate family of the student who may choose to have the diploma presented at commencement or in a private ceremony. If the diploma will be presented at commencement, it will occur at the next feasible commencement.

(4) Diplomas for posthumous degrees will be identified as "Awarded Posthumously."

Replaces: 3356:1-11-05

Effective: 8/21/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 8/15/98, 6/16-03

3356-10-05 Honorary degrees.

(A) Policy statement. The board of trustees shall grant honorary degrees in recognition of a significant impact on the university, on the community, state or nation, or on society. Such degrees will be conferred at commencements or at special convocations.

(B) Procedures.

(1) Criteria for nomination of individuals to receive an honorary degree are determined by the provost/vice-president for academic affairs.

(2) Faculty, staff, board of trustees members and/or anyone associated with the university may submit nominations for honorary degree candidates to the academic events committee of the academic senate or directly to the provost/vice president for academic affairs. When nominations are made directly to the provost, the provost will forward the nominations to the academic events committee if time permits.

(3) The academic events committee of the academic senate "shall be responsible for making recommendations concerning policy governing academic events such as graduation ceremonies, honors convocations, inaugural ceremonies, and recommend candidates for honorary degrees to the university's president."

(4) The executive cabinet will review the credentials of all the candidates recommended for an honorary degree and will submit a list of no more than twenty candidates for approval by the academic quality and student success committee of the board of trustees at its March meeting. It is the expectation that candidates for honorary degrees for the next academic year will be selected from this list.

(5) The recommendation(s) of the academic quality and student success committee will be forwarded to the board of trustees for action.

Replaces: 3356:1-11-06

Effective: 2/6/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 6/16/03, 8/21/10

3356-10-06 Admission, retention, and graduation standards.

(A) Policy statement. The university shall establish appropriate rules and regulations governing the requirements for admission to, retention in, and graduation from the university.

(B) Procedures.

(1) Undergraduate standards for admission, retention, and graduation are made by the academic senate in accordance with its charter and bylaws.

(2) Graduate student admission, retention, and graduation standards are made by the graduate council in accordance with the "School of Graduate Studies and Research Academic Policy Book."

(3) Requirements for admission, retention, and graduation from specific curricula may be set by schools and departments and may be more selective than university requirements. Such recommendations are subject to review and approval by the appropriate dean, provost/vice president for academic affairs, and president.

(4) Changes in university standards for admission, retention, and graduation are reported to the academic and student affairs committee of the board of trustees.

(5) Academic standards can be found in the current editions of the "Undergraduate Bulletin" and the "Graduate Bulletin."

Replaces: 3356:1-11-07

Effective: 1/22/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 11/9/83, 8/15/98, 6/16/03, 8/21/10

3356-10-07 Organization of instruction.

(A) Policy statement. The faculty affiliated with an academic department and associated with a school or college delivers instruction at Youngstown state university. Departments, schools, and colleges may be established, altered, or abolished by the president upon the recommendation of the provost/vice president for academic affairs and approval of the board of trustees.

(B) Existing colleges include:

(1) Williamson college of business administration;

(2) Beeghly college of education;

(3) College of creative arts and communication;

(4) Bitonte college of health and human services;

(5) College of liberal arts and social sciences;

(6) College of science, technology, engineering, and mathematics.

(C) Existing schools include:

(1) Dana school of music in the college of creative arts and communication;

(2) Lariccia school of accounting and finance in the Williamson college of business administration;

(3) Rayen school of engineering and technology;

(4) School of engineering technology;

(5) School of graduate studies and research.

Replaces: 3356:1-11-08

Effective: 1/22/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 8/15/98, 6/16/03, 8/21/10

3356-10-08 Sabbatical leave for department chairpersons.

(A) Policy statement. Academic chairpersons may be granted sabbatical leaves to pursue substantial scholarly or professional development activities.

(B) Parameters.

(1) Up to three sabbaticals are provided each year for academic chairpersons.

(2) A chairperson who has served as a full-time faculty member and/or chairperson for the past seven years without a sabbatical is eligible for a sabbatical after having served at least two years as a chairperson.

(3) The sabbatical can be awarded for a twelve-month period. Sabbatical leave recipients will receive ninety per cent of their twelve-month salary for the period of their leave.

(4) Fringe benefits, including state teachers retirement system ("STRS") provisions, will continue during the sabbatical period.

(C) Procedures.

(1) The office of the provost/vice president for academic affairs distributes applications and deadline dates during the fall term.

(2) A completed application should be submitted to the dean of the chairperson's college. The dean will submit the application with a recommendation to a committee appointed by the provost/vice president for academic affairs, consisting of five individuals holding faculty rank. The committee will submit prioritized recommendations to the provost/vice president for academic affairs, who awards sabbaticals.

(3) Along with the application, applicants are required to provide a statement detailing substitute administrative arrangements during the sabbatical. The statement will not be used to evaluate the merits of the proposal and will be detached from the proposal. The ultimate funding of a particular proposal may, however, depend upon the suitability of substitute arrangements.

(4) Upon completion of the leave, recipients are required to submit a written report of the results of their work to the dean of their college. The report and the dean's written review are submitted to the provost/vice president for academic affairs for inclusion in the chairperson's personnel file in the office of human resources.

(5) Recipients of these sabbaticals must return to the university for a minimum of two years of full-time service following the leave (or reimburse the university within a two-year period for the full amount of the salary provided during the leave).

Replaces: 3356:1-11-09

Effective: 2/10/2014
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 4/30/81, 7/21/83, 1/31/00, 6/16/03, 8/21/10, 1/22/12

3356-10-09 Adjunct faculty.

(A) Policy statement. The university encourages the affiliation of non-university individuals engaged in appropriate professional activity as an adjunct faculty.

(B) Definition. "Adjunct faculty" are professionals employed by cooperating organizations or agencies who provide onsite assistance for the various university programs that require students to gain experience in clinical research or field settings.

(C) Parameters.

(1) Adjunct faculty have no regular teaching assignments in the university and are not compensated by the university.

(2) Typically, adjunct faculty are appointed annually by the provost/vice president for academic affairs. Under certain circumstances, the provost/vice president for academic affairs may extend an appointment to three years.

(3) Suitable recognition may be given adjunct faculty and the agency in which they are employed.

Replaces: 3356:1-11-10

Effective: 6/4/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03, 8/21/10

3356-10-10 Academic senate.

(A) Policy statement. Under authority delegated to the academic senate of Youngstown state university by the board of trustees, "In recognition of the essential role of the faculty in the development of policies concerning the academic functions and activities of the university, it is appropriate for the senate to have primary responsibility for the development of new policies, or changes in existing policies, integral and essential to the academic functions and activities of the university." (See "Academic Senate Charter Preamble.")

Where required, or as appropriate, such policy recommendations shall be subject to review by the provost and, in its oversight capacity, by the board's academic quality and student success committee, particularly as to statements of institutional mission, academic plans, university-wide standards of admission, retention, and graduation, and deletions or changes in academic programs and new programs leading to certificates or degrees. (See paragraph (B)(1) of rule 3356-1-03.8 of the Administrative Code.)

Where required, or as appropriate, the academic quality and student success committee will inform or make recommendations to the board.

(B) Purpose. The establishment of the academic senate as an integral part of the governance structure of the university recognizes the essential role and primary responsibility of the faculty in the development of new policies, or changes in existing policies, integral and essential to the academic functions and activities of the university.

(C) Parameter. The academic senate establishes bylaws for its own operation, which are consistent with its charter and the mission of the university.

(D) Procedures.

(1) Operating procedures for the academic senate are found in the charter of the academic senate and bylaws of the academic senate.

(2) Amendments to the charter of the academic senate, passed in accordance with article VI, section 1c, are presented to the president, or designee, and the board of trustees for action.

(3) Amendments to the bylaws of the academic senate, which are approved by the academic senate, are forwarded to the provost and presented at a regular meeting of the academic quality and student success committee of the board of trustees.

(4) Copies of the charter of the academic senate and the current bylaws are available in the offices of the academic senate and the provost as well as on the academic senate website at http://academicsenate.ysu.edu/.

Effective: 1/17/2016
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 1/31/00, 6/16/03, 12/20/10

3356-10-11 [Rescinded] Continuing education unit.

Effective: 1/16/2016
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03, 5/28/11, 3/27/15

3356-10-12 Teaching by staff.

(A) Policy statement. On occasion it is necessary and appropriate to have employees perform services above and beyond their normal scope of duties and to pay employees for these additional services.

(B) Definition. For purposes of this policy, a "staff member" is defined as any full-time employee who is not a member of the faculty bargaining unit.

(C) Parameters.

(1) Assignment of a staff member to teach shall be based solely upon the academic needs of the university and the appropriateness of the individual's academic credentials.

(2) Staff members may not receive payment for any course taught during their paid work schedule. Staff members may teach only during the lunch hour, approved leave time, or at times other than their paid work schedule.

(3) Prior to the assignment, the staff member's supervisor shall certify in writing that any teaching assignment will not interfere with the staff member's regular responsibilities.

(4) Non-exempt staff members that complete a forty-hour workweek and engage in teaching activities in addition to, and outside of, the primary duty of their position will be paid 1.5 times the established teaching rate for part-time faculty instructors, as per Fair Labor Standards Act (FLSA) requirements.

(5) A staff member may teach no more than one course per term (normally considered to be equivalent to three teaching hours) without approval of the provost/vice president for academic affairs.

(D) Procedures.

(1) A staff member having appropriate academic credentials may request or be requested by an academic chairperson to teach in a department. Appropriate academic credentials must be documented.

(2) The credentials will be collected by the chair of the department for departmental review. The credentials must be forwarded to the dean and provost for certification following higher learning commission expectations. Staff desiring to teach a graduate level course must also have graduate faculty status. Once approval is granted, the staff member becomes eligible to teach in the department.

(3) A department chairperson wishing to have an eligible staff member teach a class will initiate the appropriate part-time teaching assignment agreement, secure written approval of the staff member's supervisor, and then forward the materials to the dean and provost for final approval.

Replaces: 3356-10-12

Effective: 5/21/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior 11/4/77, 3/2/84, 2/27/85, 1/31/00, 6/16/03, 8/21/10, 1/22/12

3356-10-13 Research, grants, and sponsored programs.

(A) Policy statement. Believing that the quality of education and public service is grounded in scholarship, the university seeks to encourage and support research and scholarly and professional activity that strengthen its educational and service mission.

(B) Definitions.

(1) "Sponsored programs" are activities, including research, teaching, training or service programs, substantially funded by agencies external to the university and which require program technical, administrative, and fiscal accountability.

(2) "Grants, contracts, and cooperative agreements" are legal instruments governing the administration of sponsored programs.

(3) "Research" is legally defined as "... a systematic investigation, including research development, testing, and evaluation designed to develop or contribute to generalizable knowledge..." [ 45 CFR 46.102(d) ]. It includes internally- and/or externally-sponsored research, or unfunded research, conducted by authorized faculty or staff.

(C) Parameters.

(1) The university, as an entity of state government, is legally authorized to serve as fiscal agent for sponsored programs undertaken with institutional approval by faculty and staff, who may be designated as principal investigators (for research projects) or project directors (on other activities).

(2) University employees or students may not undertake sponsored programs involving university resources unless institutionally authorized to do so.

(3) The president, provost/vice president for academic affairs and the associate vice president for research are specifically designated to serve as authorized institutional officials with the right to approve sponsored program proposals and agreements.

(4) The associate vice president for research is the university official having primary authority to oversee the appropriate conduct of sponsored program activities, systems, and services.

(5) The university research council is charged with assisting the associate vice president for research in stimulating sponsored program activity. The executive director of the public service institute has been assigned the responsibility for coordinating sponsored program activity undertaken by members of the institute staff.

(6) All documents, reports, and/or other publications created under university auspices, notwithstanding the source of support, must appropriately acknowledge the university.

(D) Procedures.

(1) All sponsored programs are initiated by submission of a written proposal, including a properly completed Youngstown state university proposal submission form ( referred to as the blue sheet ), identifying the nature of the research or other activity, an estimate of the time needed to complete it, and a full costing of all resources needed to support the project.

(a) Faculty proposals are forwarded by the principal investigator/project director to the department chair(s) and dean(s) of the academic unit(s) involved in the anticipated project. Following their review and approval, the proposal is submitted to the director of grants and sponsored programs for review and submission clearance prior to approval by an authorized institutional official (usually the associate vice president for research).

(b) Public service institute staff members' proposals are delivered to the appropriate supervisor and then forwarded to the executive director of the public service institute for review and approval prior to submission to the director of grants and sponsored programs and final approval by an authorized institutional official.

(c) Proposals from other areas of the university must be forwarded to the appropriate supervisor and the provost/ vice president for academic affairs or other appropriate vice president prior to transmittal to the director of grants and sponsored programs and approval by an authorized institutional official.

(2) All sponsored program applications and award agreements must be reviewed by the director of grants and sponsored programs and approved by an authorized institutional official (usually the associate provost/dean of graduate studies and research) before individuals can accept an award or begin any work.

(3) Information on research policies, grants and sponsored programs is available from the office of grants and sponsored programs in the following formats:

(a) The university's guide to sponsored programs development (available in hard copy or electronic file).

(b) The office of grants and sponsored programs webpage at http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_ m946.html

(c) Grant development workshops offered by office of grants and sponsored programs each semester.

(d) Personal meetings with the director or staff members of the office of grants and sponsored programs.

(4) Other information on faculty research and related considerations is available in the collective bargaining agreement between Youngstown state university and Youngstown state university chapter of the Ohio education association.

Effective: 4/23/2016
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03, 8/21/10

3356-10-13.1 Cost-sharing and overmatching on external grants and contracts.

(A) Policy statement. Cost-sharing or matching is a frequent requirement on externally sponsored grants and contracts. The university match is permitted to meet the minimum requirements of the funding agency, and overmatching is prohibited unless written justification is provided to document that such overmatch benefits the university.

(B) Parameter. Requests for proposals ("RFP") from external sponsors frequently require cost-sharing or matching funds from the university as part of the budgetary grant request. The percentage of matching funds, when required, is typically set by the agency and appears in the grant application guidelines. However, on occasion, Youngstown state university ("YSU") principal investigators or project directors cite additional matching funds (overmatching) on grant submissions when additional matching funds are neither required nor necessary. For audit purposes, tracking of additional matching funds adds complexity to the agency and the university, and the university cannot then use these additional funds elsewhere as match on other projects.

(C) Procedures.

(1) As part of the formal grant submission process at YSU (see rule 3356-10-13 of the Administrative Code), clearance of the submission of an external grant application requires a priori approval by department chairs, college deans, the director of grants and sponsored programs, and the associate provost for research and dean of graduate studies and research, the authorized institutional official.

(2) A typical match on an application for support submitted to an external agency would not include more than a fifty per cent match from the university. In addition, such matching funds provided by the institution would normally be limited to equipment, supplies, or other non-personnel items in the budget. This approach enables full recovery of indirect costs from the funding agencies.

(3) YSU faculty and staff who intend to submit a grant proposal to an external funding agency must provide a written justification for including any overmatch in the preliminary budget. Prior to proposal submission externally, the justification must be submitted to the director of grants and sponsored programs and approved by the associate provost for research and dean of graduate studies and research.

Replaces: 3356:1-11-23

Effective: 8/21/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 11/15/03

3356-10-13.2 Payment of indirect costs on external grants and contracts.

(A) Policy statement. Externally sponsored grants and contracts typically pay for both direct costs and indirect costs. All funding organizations must pay indirect costs at the prevailing authorized rate for Youngstown state university (" university") based on the federally negotiated rate. In case of waiver or reduction, indirect costs shall be included as part of institutional match on the grant project.

(B) Parameter. Sponsored programs and grant projects have budgets depicting the actual costs, including both direct and indirect costs. Indirect costs, or facilities and administrative ("F&A") costs, have been deemed as real and allowable in federally sponsored programs and are paid at a federally negotiated rate with the U.S. department of health and human services. In some cases, the allowable percentage of indirect costs is reduced by the federal, state or local agency.

(C) Procedures.

(1) As part of the formal grant submission process at the university(see university policy 3356-10-13, "Research, grants, and sponsored programs"), waiver or reduction of indirect costs ongrant proposals submitted to external sponsors requires prior approval by department chairs, college deans, the director of grants and sponsored programs and the associate vice president for research, the authorized institutional official.

(2) The author of the grant proposal is expected to develop a budget for the proposal that accounts for the full payment of indirect costs, unless specifically disallowed by a funding organization. Exceptions may be requested only when directed by the solicitation. No general exemption of payment of indirect costs is provided to for-profit companies.

(3) University faculty and staff who intend to submit a grant proposal to an external funding agency must provide a written justification for reduced indirect costs. If indirect coss are waived or reduced, the dollar amount of waived or reduced indirect costs shown in the budget shall be included as part of the institutional match.

(4) Prior to proposal submission externally, the written justification for waived or reduced indirect costs must be submitted to the director of grants and sponsored programs and approved by the associate vice president for research, the authorized institutional official. This process will be included in university grant submission procedures.

Effective: 11/6/2015
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 11/15/03, 8/21/10

3356-10-13.3 Disposition of residual funds from external grants and contracts.

(A) Policy statement. Residual funds from external grants and contracts will be deposited in an account of the office of the dean(s) of the college(s) or head of unit/division from which the original proposal emanated, provided that the policies of the external agency permit such a disposition of unused funds.

(B) Purpose. The intent of this policy is to ensure that all research grant/contract and other sponsored program funds received by the university are delegated to the general purpose for which the grant/contract was intended. Furthermore, because the ability of the university to reward faculty and staff for seeking external resources is limited, use of such residual funds to support research or other scholarly and service activities intended by the external agency and sought by faculty/staff will provide an additional discretionary resource to the colleges and/or other units/divisions as an incentive to seek additional external resources.

(C) Definitions.

(1) "Agency" is any external organization, whether governmental or private, that awards a grant/contract or other sponsored program to the university. It does not include legislated funds for which no competitive application was made by the university.

(2) "College(s) and/or other units/divisions" include those academic colleges or other major departments/units (not in an academic college and usually supervised at an executive director or higher level) that prepared the original application for external funding to the funding agency.

(3) "General purpose for which the grant was intended" means that residual funds will be used to support research/scholarship, instruction, and/or service with the most general interpretation. It does not mean that the expenditure of funds will be used only for the specific purpose originally cited as a deliverable in the grant award.

(D) Procedures.

(1) At the conclusion of an external grant or contract award from an agency, after all accounts have been reconciled, remaining funds will be transferred to an account in the office of the dean(s) of the college(s) and/or the head of the nonacademic department/division that originally submitted the funding proposal.

(2) Grants/contracts made on a fixed price basis will not require additional agency verification that funds do not need to be returned. In other cases where agency guidelines are unclear as to disposition of residual funds, written approval for disposition from the agency will be needed and obtained by the principal investigator/project director. Approval in written or electronic form is acceptable evidence of agency approval.

(3) Disposition of residual funds from completed/closed grant/contract or sponsored program accounts will be completed by the office of grants and contracts accounting within ninety days of grant closeout.

(4) If the project was collaborative between/among several nonacademic units and/or colleges, the disposition of funds will be prorated according to the overall budget distribution as specified in the original/modified grant application. The office of grants and sponsored programs will determine the allocation for such distribution to the participating departments/colleges, with the approval of the associate provost for research and dean of graduate studies and research, when informed by the office of grants accounting that residual funds are available for distribution.

(5) Use of residual funds by the college(s) and/or department/division is discretionary to the dean (or nonacademic department/unit head), but will normally support research, scholarship, education/training, and/or service. Deans (or nonacademic department/unit heads) are encouraged to seek the advice of those individuals whose grant funds have contributed to the sponsored program/grant that generated the residual funds. Any dispute as to the appropriate use of such funds shall be decided by the associate provost for research and dean of graduate studies and research. Funds shall be held in a restricted account.

Replaces: 3356:1-11-25

Effective: 8/21/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356

3356-10-14 Integrity in research - use of human participants.

(A) Policy statement. The university conducts research with integrity requiring the protection of the rights, well-being, and personal privacy of all persons utilized as participants. The university is responsible for the development of procedures that are in conformance with, but not limited to, relevant federal and state regulations. All research conducted under university auspices that involves human subjects shall fall under the purview of this policy and its procedures.

(B) Parameters.

(1) The associate provost for research and dean of graduate studies and research is responsible for the administration of this policy and its procedures.

(2) The associate vice president for research annually forms an institutional review board composed of both university and non-university personnel. The committee is charged with maintaining review procedures for research projects and programs that utilize human subjects.

(C) Procedures. The institutional review board has established procedures that are in accordance with federal regulations to review, approve, modify, or disapprove research activities involving human participants. These procedures and other information concerning human subjects issues and procedures are available in the office of research.

Effective: 8/5/2016
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 1/31/00, 6/16/03, 8/21/10, 5/28/11

3356-10-15 Integrity in research - use and care of animals.

(A) Policy statement. The university conducts research with integrity requiring the humane treatment and care of all animals utilized in such research. The university has developed and maintains procedures, which are in conformance with, but not limited to, relevant federal and state regulations to humanely, efficiently, effectively, and legally use live vertebrate animals in research.

(B) Parameters.

(1) In accordance with the Health Research Extension Act of 1985 ( Pub. L. No. 99-158 ), the chief executive officer, i.e., the president, is required to annually appoint an institutional animal care and use committee ("IACUC") as specified by federal regulations. At Youngstown state university the presidential authority to appoint the IACUC is delegated to the associate vice president for research as the authorized institutional official of the university.

(2) The IACUC is charged with reviewing all research projects and programs that involve animals. This review process will be in accordance with all state and federal regulations and it will include authority to approve, require modification, disapprove, or suspend research activities involving vertebrate animals.

(3) The IACUC is further charged with:

(a) Requiring adequate scientific justification prior to approval, including consideration of alternative or in vitro methods, of use of live animals, especially when any pain or suffering is a possible result.

(b) Maintaining appropriate systematic continuing review and monitoring or approved protocols and a process to suspend or terminate approval of research that is not being conducted in accordance with the committee's requirements or that has been associated with unexpected results.

(c) Overseeing a comprehensive veterinary care program for all animal colonies that includes diagnostic resources, preventative medicine, postsurgical care, and a mechanism for emergency care.

(d) Assuring a training program for both researchers and animal care technicians that includes information on the humane practice of animal care and use and training to minimize animal distress.

(e) Maintaining an adequate system to track, report, and maintain compliance with the Animal Welfare Act, "Guide for the Care and Use of Laboratory Animals," the Health Research Extension Act of 1985, and applicable state and federal law.

(C) Procedures. Persons contemplating research utilizing the use of live animals should contact the IACUC through the office of research for the proper forms and current procedures.

(D) Note: Further information may be found in the "Guide to Sponsored Program Development," Pub. L. No. 99-158 (1985) and Pub. L. No. 89-544 (1966), as amended, ( Pub. L. No. 91-597, Pub. L. No. 94-279, and Pub. L. No. 99-198 ), 7 U.S.C. 2131 et seq. Implementing regulations are published in the Code of Federal Regulations, Title 9, Chapter 1, subchapter (A), parts (1), (2), and (3), and are administered by the U.S. department of agriculture.

Effective: 5/8/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 4/24/00, 6/16/03, 8/21/10, 1/22/12

3356-10-16 Research misconduct.

(A) Policy statement. Among the basic principles of Youngstown state university (university) are the pursuit of truth and the responsible exercise of academic freedom. From these principles derive such ideals and values as the freedom and openness of inquiry, academic honesty, and integrity in scholarship and teaching. The university affirms and honors the preservation, growth, and flourishing of these values throughout all its activities, including teaching and learning, research, scholarly inquiry, and creative scholarly endeavor. Accordingly, research misconduct is adverse to the concept of academic freedom and its responsible exercise. It is from this background that the board of trustees implements this policy for handling allegations of misconduct in research. This policy will be applied to all externally funded grants or sponsored programs at YSU.

(B) Purpose. To address allegations of misconduct in research.

(C) Scope. This policy will be applied to all misconduct alleged to have occurred in externally funded grants or sponsored programs at the university.

(D) Definitions (for purposes of this policy).

(1) Definitions used in this policy shall conform to those cited in 42 C.F.R. 93(public health service policies on research misconduct, department of health and human services):

(a) "Research misconduct." Fabrication, falsification, plagiarism in proposing, performing or reviewing research, or in reporting research results.

(b) "Fabrication." Making up data or results and recording or reporting them.

(c) "Falsification." Manipulating research materials, equipment or processes, or changing or omitting data or results such that the research is not accurately represented by the research record.

(d) "Plagiarism." The appropriation of another person's ideas, processes, results, or words without giving appropriate credit.

(e) "Complainant." A person who is good faith makes an allegation of research misconduct.

(f) "Respondent." The person against whom an allegation of research misconduct is made or who is the subject of the research misconduct proceeding.

(g) "Research integrity officer(RIO)." The associate vice president for research. The RIO means the institutional official responsible for:

(i) Assessing allegations of research misconduct to determine whether they fall within the definition of research misconduct, are covered by 42 C.F.R. 93, and warrant an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified;

(ii) Overseeing inquiries and investigations; and

(iii) The other responsibilities described in this policy.

(h) "Deciding official(DO)." The appropriate principal administrative officer in which division of the university the respondent holds appointment. The DO is the institutional official who makes final determinations on allegations of research misconduct and any institutional administrative actions. The deciding official will not be the same individual as the research integrity officer and should have no direct prior involvement in the institution's inquiry, investigation, or allegation assessment.

(2) Nothing in these definitions shall be deemed to include honest error or differences in opinion as research misconduct.

(E) Regulations.

(1) It is a violation of this policy for any member of the faculty, professional administrative staff, classified staff, an individual working under an independent contract for services, or a student to engage in research misconduct, to retaliate against anyone making a good faith allegation of research misconduct, to obstruct the inquiry into or investigation of allegations of research misconduct, or to make other than in good faith allegations of research misconduct.

(2) Except as otherwise required by this policy or by federal, state, or local law or regulation, it is a violation of this policy for any member of the faculty, professional administrative staff or classified staff, an individual providing services pursuant to an independent contract, or a member of the student body to violate the confidentiality of a proceeding under this policy.

(3) A finding of research misconduct under this policy requires that:

(a) There be a significant departure from accepted practices of the relevant research community; and

(b) The misconduct be committed intentionally, knowingly, or recklessly; and

(c) The allegation be proven by a preponderance of the evidence.

(F) Procedures.

Any person, upon observing or having evidence of suspected research misconduct or believing specific actions, activities, or conduct constitutes research misconduct, as defined in paragraph (D)(1)(a) of this policy, may make an allegation. Such person contemplating an allegation is encouraged to first discuss the contemplated allegation in confidence with the associate vice president for research, as the authorized institutional official for research, grants and sponsored programs, who will advise the person(s) about the procedures to be followed under this policy. The phases of process under this policy are divided into four areas: allegations, assessment and inquiry, investigation, and resolution.

(G) Allegations.

(1) An allegation of research misconduct may be brought through any means of communication. The disclosure may be by written or oral statement or other communication to an institutional official or, in the case of research funded by the U.S. department of health and human services ("HHS"), to an HHS official, but it may not be anonymous. Anonymous allegations are by their nature made "not in good faith" under this policy.

(2) If an allegation of research misconduct is made to an institutional official other than to the RIO, details of the substance of the allegation shall be transmitted to the RIO in writing within one working day. If the allegation is against the associate vice president for research, it shall be transmitted to the provost for disposition and the provost will appoint an individual to act for/as the RIO in implementing this policy.

(3) If the associate vice president for research is in a conflict of interest situation, s/he shall be replaced in the proceedings by the appointment of a substitute RIO by the provost.

(H) Assessment and inquiry.

(1) The RIO will initially assess allegations of research misconduct to determine whether they fall within the definition of research misconduct, as covered by 42 C.F.R. 93, and warrant an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified. Only those allegations that meet each of these requirements will result in an inquiry. The RIO will inform the complainant if the allegation is insufficient to result in an inquiry.

(2) Upon determination by the RIO that a formal allegation of research misconduct falls within the definition of research misconduct, is covered by 42 C.F.R. 93 or other federal agency guidelines, and warrants an inquiry on the basis that the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified, the RIO will notify the person(s) against whom an allegation is made about the allegation.

(I) Resolution.

(1) Misconduct. Upon receiving a research misconduct investigation report from the RIO in which the allegation of misconduct is in whole or in part substantiated, the appropriate principal administrative officer (the DO) makes final determinations on allegations of research misconduct and any institutional administrative actions and shall be responsible for initiating applicable disciplinary proceedings in accordance with board policy and/or provisions of an applicable collective bargaining agreement as appropriate. Appeal of disciplinary action is permitted in accordance with board policy and/or provisions of an applicable collective bargaining agreement as appropriate, but must be completed within one hundred twenty days of initiation of appeal in accordance with federal regulations.

(2) Absence of misconduct. If the results of the inquiry and/or investigation reveal that allegations of misconduct are not supported, then any party making an allegation or against whom an allegation is made and previously notified about the possibility of misconduct or the need to conduct an investigation should be informed of those findings in writing. In announcing a finding that the allegations are not supported, the RIO should consult with the person(s) who were the subject of the allegations to determine:

(a) Whether the announcement should be a public announcement; and

(b) What organizations beyond those initially informed should receive the information about the findings of no misconduct as a means to restore, repair, or reassure the reputation of those involved.

(3) The RIO should normally be guided by whether or not a public announcement will be helpful or cause further harm in restoring the reputations of those against whom the allegations were made and should give weight to their views in determining which additional organizations, if any, should be notified.

(J) Notification to federal agencies.

(1) The RIO shall immediately notify the cognizant federal funding agency and the office of research integrity if at any time during an inquiry or investigation conducted under this policy it is determined that any of the following conditions exist:

(a) Health or safety of the public is at risk, including an immediate need to protect human or animal subjects;

(b) Research activities should be suspended;

(c) Federal or department of health and human services resources or interests are threatened;

(d) There is an immediate need to protect the interests of those involved in the research misconduct proceedings;

(e) It is probable that the alleged incident is going to be reported publicly prematurely in order to protect the rights of those involved and to safeguard evidence;

(f) There is a reasonable indication of possible violations of civil or criminal law;

(g) The research community or public should be informed.

(2) When alleged misconduct involves employees or students conducting research supported by federal agency sponsors, additional agency notification requirements apply as follows:

(a) When on the basis of an inquiry it is determined that an investigation is warranted, the RIO shall notify the cognizant federal funding agency in writing on or before the date of investigation begins that an investigation is being commenced. The notification should inform the cognizant federal agency, at a minimum, of the name of the person(s) against whom the allegation(s) have been made, the general nature of the allegation(s), and the federal grant application(s) or award(s) involved.

(b) The RIO must submit the final report of an investigation to the cognizant federal funding agency if the investigation concerns research being supported by federal funds. This report to the cognizant federal agency must describe the policies and procedures under which the investigation was conducted, how and from whom information relevant to the investigation was obtained, the findings, and the basis for the findings. It must include the actual text or an accurate summary of the views of any individual(s) found to have engaged in misconduct as well as a description of any sanctions or corrective actions taken by the university.

Effective: 1/20/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 5/1/01, 6/16/03, 8/21/10, 5/28/11

3356-10-17 Objectivity in research - avoidance of conflicts of interest and/or commitment in sponsored research.

(A) Policy statement. Recognizing the need for objectivity in research, the university shall maintain procedures that control conflicts and potential conflicts in funded research. Such procedures are consistent with the Youngstown state university professional conduct policy (see rule 3356-9-06 of the Administrative Code) and relevant state and federal laws.

(B) Purpose. The intent of this policy and these procedures is to ensure that the design, conduct, and reporting of research projects and other sponsored activities are not compromised , nor would reasonably appear to be affected, by any significant financial interest of the responsible faculty and staff members.

(C) Definitions.

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

(2) "Investigator" includes the principal investigator, co-investigators, and other persons (e.g., technicians, students, research associates) responsible, in whole or in part, for the design, conduct, or reporting of the project; and for reporting purposes, includes the investigator's spouse and dependent children.

(3) "Significant financial interest" is anything of monetary value including, but not limited to, salary or other payments for services such as consulting fees or honoraria; equity interests such as stocks, stock options, or other ownership interests; and intellectual property rights such as patents, copyrights and royalties from such rights.

Not included in this definition are:

(a) Salary, royalties, promotion in rank, or other remuneration from the university;

(b) Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities;

(c) Income from service on advisory committees or review panels from public or nonprofit entities;

(d) Financial interest arising solely by reason or investment in a business by a mutual, pension, or other institutional investment fund over which the employee does not exercise control;

(e) Equity interest that when aggregated for the investigator and the investigator's spouse and dependent children, does not exceed ten thousand dollars in value, as determined by public prices or other reasonable measures of fair market values, and does not represent more than five per cent ownership interest for any one enterprise or entity;

(f) Salaries, royalties, or other payments that when aggregated for the investigator and the investigator's spouse and dependent children over the next twelve months, are not expected to exceed ten thousand dollars; and

(g) The financial interest is an ownership interest in a business which is the applicant organization under phase I of a small business innovative research ("SBIR") program or phase I of a small business technology transfer ("SBTR") program and the university is a subcontractor under the business' application.

(4) "Conflict of interest" means an action, omission, or situation that may or may reasonably appear to affect or compromise the objectivity or integrity of an investigator's design, conduct or reporting of a project. (A potential conflict of interest may exist if the director of grants and sponsored programs determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of a project.)

(5) "Disclosure" is a written statement submitted by the investigator describing the nature of any significant financial interests and the relationship of such interests to the externally funded project.

(D) Parameters.

(1) All faculty and staff members or other university-affiliated individuals who apply for, receive, or are currently working on a grant, contract, cooperative agreement, sub-grant, subcontract, or sub-cooperative agreement which is funded in whole or in part by federal funds or other external sources must adhere to this policy and its procedures.

(2) The associate vice president for research is designated to solicit and review financial disclosure statements from investigators.

(E) Principles.

(1) Complex relationships among universities, government agencies, and industry require adherence to standards of conduct in federally funded and other externally sponsored activities. Application of these standards must serve both project requirements and the public interest. Protecting the integrity of cooperating entities requires that both real and perceived conflicts of interest be avoided.

(2) Faculty or staff members engaging in a federally or other externally sponsored project are subject to the provisions of federal and state laws and any requirements of the sponsoring or entity.

(3) To avoid bias in the design, conduct, or reporting of the sponsored project, full disclosure must be made when a faculty or staff member consults for a business, nonprofit agency, government agency, or other non-university contractor, in the same technical field as the externally sponsored project.

(F) Procedures.

(1) Prior to submitting an application to conduct an externally funded project, the investigator shall disclose to the associate vice president for research any significant financial interests or other possible conflict situations:

(a) That would appear to be affected by the project for which the funding is sought; and

(b) In entities whose financial interests would appear to be affected by such project.

A conflict of interest statement shall be included within the proposal routing form process and shall be circulated for review and approval for all proposals.

(2) Throughout the duration of a sponsored research project, investigators shall update the conflict of interest statement at least annually. If an investigator acquires a significant reportable financial interest in an entity, the investigator shall submit a revised or new conflict of interest statement to the associate vice president for research within five working days after acquisition.

(3) The associate vice president for research shall review the disclosure and make an initial determination whether a potential conflict of interest exists. If the disclosure is determined not to be a potential conflict of interest, the associate vice president for research shall provide documentation of this determination that shall be retained with the other project records and shall so advise the investigator, the chair and the appropriate college dean .

(4) If the disclosure is determined to be a potential conflict of interest, the associate vice president for research shall consult with the dean of the college and the university general counsel. They shall review the disclosure, consult with the investigator, and seek any additional information to determine whether a conflict of interest exists. If they determine that a conflict of interest exists, they shall determine a plan of action and document in writing the conditions or restrictions that shall be required by the university to manage, reduce, or eliminate such actual or apparent conflict of interest. If all parties accept the plan, the associate vice president for research shall notify all involved parties and the provost of the final determination in writing.

(5) If a mutually acceptable method for managing, reducing, or eliminating the conflict of interest cannot be agreed upon, the associate vice president for research shall refer the disclosure to the provost, who shall consult with the university general counsel prior to appointment a conflict of interest review committee for final determination.

(6) The provost shall notify the investigator, the investigator's chairperson and dean, and the associate vice president for research of the final determination.

(7) In addition to possible legal action, the university may take disciplinary action against individuals who fail to file a disclosure statement or intentionally file an incomplete or misleading disclosure statement. Breaches of this policy may be referred to a conflict of interest review committee to investigate and recommend sanctions. If sanctions are necessary, they will be imposed in accordance with any applicable university policy, procedure, or collective bargaining agreement.

(8) Prior to the expenditure of any funds under a federally funded project award, the university will, as required by law, report to the appropriate federal agency the existence of a conflict of interest and assure that the conflict has been managed, reduced, or eliminated.

(9) When the university identifies a conflict of interest subsequent to the university's initial report under the federally funded project award, the university will report the conflict of interest to the appropriate federal agency and manage, reduce, or eliminate the conflict within sixty days of identifying the same.

(10) The associate vice president for research shall ensure that the required records, identifiable to each award, are retained for a period of not less than three years after the termination of the award, or until three years after the resolution of any action taken by the sponsor involving these records, whichever is longer. Records for proposals that are not funded by sponsoring agencies will be retained for a period of one year after the decision of the sponsoring agency.

Effective: 8/5/2016
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 4/24/00, 6/16/03, 8/21/10

3356-10-18 Intellectual property rights.

(A) Policy statement. The development and dissemination of intellectual property benefit the public, the university and its faculty, staff, and students. Research and scholarship are encouraged through an appropriate allocation of intellectual property rights between the creator and the university. Except for works for hire and joint efforts, an employee's or student's rights to copyrightable materials shall be governed by the applicable provisions of state and federal law. For all other intellectual property not governed by the copyright protection laws, the applicable state and federal laws shall govern the employee, student, university and external entity rights to such property. The president and the associate provost for research and dean of graduate studies and research are specifically designated to serve as authorized institutional officials with the right to approve licensing and royalty agreements with entities entering into a contractual or grant relationship for research and development activities to be carried out by the university.

(B) Definitions.

(1) "Intellectual property" includes inventions, discoveries, works of authorship and/or other creative works that may be subject to protection under federal or state patent, copyright, trademark and/or trade secret laws.

(2) "Invention" is any discovery, product, process, machine, composition of matter and/or improvement that may be patentable.

(3) "Patent/patentable" is any invention or other matter that may be patentable under the patent laws of the United States or foreign country.

(4) "Trade secret" is any information that derives economic value from not being readily known or available to others and is protected from disclosure by reasonable efforts.

(5) "Copyright/copyrightable" is any original work of authorship protectable under the copyright laws of the United States or foreign country.

(C) Parameter. Section 3345.14 of the Revised Code provides that all rights to discoveries, inventions, or patents that result from research or investigation conducted in any facility of a state university are the sole property of the university. The board of trustees may assign, license, transfer, or sell these rights as the board deems appropriate.

(D) Procedures.

(1) The associate provost for research and dean of graduate studies and research is responsible for administering intellectual property procedures as described in the "Handbook on Ownership of Intellectual Property" and for procedures for the allocation of income from intellectual property. Any faculty member, employee, or student who creates intellectual property that can be patented under applicable federal laws must disclose that information to the associate provost for research and dean of graduate studies and research according to the procedures described in the "Handbook on Ownership of Intellectual Property."

(2) As part of the duties of the associate provost for research and dean of graduate studies and research as authorized institutional official for grants and sponsored programs, the dean may agree to assignment of intellectual property to the funding agency, provided that such assignment is appropriate to the project and maintains university rights to all or an equitable portion of royalties that may be generated by the project. Externally sponsored research is always between the sponsor, as grantor, and the university, as grantee. Therefore, the university exercises intellectual property ownership over all intellectual property resulting from sponsored program support. No employee, other than an authorized institutional official, may sign on behalf of the university for any sponsored program, licensing, or related agreement.

(3) The university research council advises the associate provost for research and dean of graduate studies and research regarding the ownership of intellectual property and the distribution of income derived from the intellectual property.

(E) Ownership.

(1) "Employee-owned." Intellectual property privately created, made or originated by a faculty member, employee, or student without the use of university facilities shall be the sole and exclusive property of the creator(s), except as he or she may voluntarily choose to transfer such property, in full or in part.

(2) "University-owned." The university shall own the intellectual property in the following circumstances:

(a) The university expressly directs a faculty member, employee, or student to create a specified work or the work is created as a specific requirement of employment or a credit-bearing course or as an assigned institutional duty that may, for example, be included in a written job description or an employment agreement.

(b) The faculty member, employee, or student has voluntarily transferred the intellectual property, in whole or in part, to the institution. Such transfer shall be in the form of a written document signed by the transferring individual.

(c) The faculty member, employee, external entity, or student has contributed to a joint effort which has the ownership rights and any income distribution set forth in writing. Unless agreed in writing, otherwise, all intellectual property developed by students shall be the property of the university. Absent specific agreement for the ownership of intellectual property resulting from a sponsored program supported by an external entity, the intellectual property will be the property of the university.

(3) Distribution of royalties/income. All net income and royalties received as a result of university ownership of intellectual property will be distributed according to the current collective bargaining agreements and/or other contractual agreements with external organizations acting on behalf of Youngstown state university.

Replaces: 3356:1-11-19

Effective: 6/4/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 4/24/00, 6/16/03, 8/21/10

3356-10-19 Supplementary pay for faculty teaching at distant off-campus sites.

(A) Policy statement. On occasion, it is necessary and appropriate to have full-time faculty teach at instructional sites located beyond a fifty-mile radius from the Youngstown campus and to offer supplementary pay.

(B) Parameters.

(1) Only full-time faculty engaged in teaching regular for-credit Youngstown state university courses at sites located beyond a fifty-mile radius from the Youngstown campus are eligible for supplementary pay.

(2) Faculty engaged in teaching regular for-credit Youngstown state university courses at sites located beyond a fifty-mile radius from the main campus may be reimbursed for travel expenses in accordance with rule 3356-3-05 of the Administrative Code).

(3) Faculty teaching off-campus classes are subject to all applicable provisions of the "Agreement between Youngstown State University and the Youngstown State University Chapter of the Ohio Education Association" ("Agreement").

(4) Should the teaching of a class off-campus trigger an approved overload assignment the faculty member shall receive overload compensation as provided in the agreement.

(5) Supplemental pay shall be determined as follows:

(a) A teaching assignment involving one travel day (one roundtrip) per week for a full academic term will qualify for five hundred dollars;

(b) An assignment involving two or more travel days per week for a full academic term will qualify for one thousand dollars; and

(c) An assignment involving more than two travel days per week per term will make the faculty member eligible for an overnight stay to reduce the travel to two travel days.

Replaces: 3356:1-11-20

Effective: 6/4/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 4/24/00, 6/16/03, 8/21/10

3356-10-20 Faculty workload.

(A) Policy statement. Upon accepting an appointment, a faculty member assumes responsibilities for teaching, scholarship, and service. Participation in these three activities is understood to be a component of a faculty member's total workload.

(B) Parameters.

(1) Academic departments will create within themselves a community of expectation that fosters the continuing professional development of their faculty in the context established by the needs of the college or university.

(2) Academic departmental communities exist within and have a responsibility to the larger community of expectation, which is the college and university.

(3) The variability of workload distribution related to teaching, research, and service among colleges, departments, and individuals is recognized. Therefore, the responsibility for the development of workload policy is at the departmental level and is included in the departmental governance document. The following guidelines are designed to assist departments as they develop the workload policy:

(a) Follow the direction provided by the Ohio board of regents and adhere to the provisions of the current "Agreement between Youngstown State University and Youngstown State University Chapter of the Ohio Education Association," including submission of their statements for review and approval to the college dean.

(b) Base the development of workload policy on the approved written mission, goals, and objectives of the unit under the aegis of the mission, vision, and goals of the university.

(c) Recognize that instructional (other than teaching), scholarly, and service activities are a normal part of a faculty member's professional responsibility. Instructional activities other than teaching include, for example, advising, assessment, curriculum development.

(d) Understand that, reflecting individual faculty strengths, interests, and abilities, there will be differences in the assignment of workload responsibilities to individual faculty members within the department.

(e) Understand that, given the difference of mission, goals, and objectives among departments, there may be differences in the assignment of workload responsibilities among departments.

(f) Reassignment from teaching may be authorized when the faculty member's project or assignment will be substantial and beyond what is ordinarily expected when having a teaching assignment of twenty-four workload hours. Individual faculty members seeking reassignment within departmental guidelines will submit a written statement of their proposal and, ultimately, a written report of the outcomes of the project. Reports must be submitted to the chair within sixty days of the beginning of the term following the reassignment or prior to requesting additional reassigned time.

Alternatives to teaching must be approved by the departmental chair, the dean, and the provost. The chair and the dean hold the responsibility to ensure that all proposals are considered fairly and that departmental teaching obligations are fulfilled within an approved budget allocation. The chair and the dean will review the outcomes of the assignments. Written records of the proposal, its outcomes, and the review of the chair and dean will be kept on file in the department. Subsequent reassignments will be dependent on satisfactory outcomes of the previous projects as determined by the chair and the dean.

Replaces: 3356:1-11-21

Effective: 8/21/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/24/00, 6/16/03

3356-10-21 [Rescinded] Establishing, altering, or abolishing educational, research, and public service centers, institutes, and laboratories.

Effective: 11/4/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 06/16/2003, 08/21/2010, 01/22/2012

3356-10-22 Partnerships, centers, and related arrangements.

(A) Policy statement. The president is authorized and encouraged to pursue, develop, and expand partnerships, cooperative programs, contractual arrangements, and similar relationships that support and promote the mission of the university; and subject to approval by the board of trustees, establish, alter, or abolish centers, institutes, or laboratories that advance those goals.

(B) Purpose. In striving to fulfill its teaching/learning, research/scholarship, and community service goals, the university actively becomes involved in the establishment of mutually beneficial partnerships or similar arrangements with a broad range of public and private entities and may establish centers, institutes, or laboratories (referred to as CIL/CILs) to strengthen and enrich the educational (teaching and learning), research (and scholarship), and public service activities of faculty and students.

(C) Procedures.

(1) The chairperson of a department, council, committee or task force, or an individual member of the university community, may submit to the provost/vice president for academic affairs, after review by the appropriate academic dean(s) or executive director, proposals to establish partnerships, CILs, or related arrangements between the university and private or public entities.

(2) Proposals will include:

(a) Statement of need and purpose;

(b) Description of partnership or CIL and manner in which the arrangement will meet the stated need;

(c) Statement of the relationship between outside entity[s] and the university as outlined in the agreement;

(d) Identification of personnel/departments to be involved;

(e) Delineation of responsibilities of the university and other involved parties;

(f) Estimation of needs for fiscal resources, space, and equipment;

(g) A description of how these needs will be met;

(h) Work plan and budget for three years, including the sources of fiscal commitments; and

(i) A description of where administrative responsibility is housed and the lines of responsibility.

(3) Proposals will be circulated to all entities or individuals that might be involved for review and feedback prior to submission to the provost/vice president for academic affairs. All approvals to commit resources will be in writing and appended to the proposal during this process.

(4) The provost/vice president for academic affairs will determine whether review of the statement of partnership by the office of the general counsel is required.

(a) When the proposal involves research and/or sponsored programs, the office of research services must be contacted, and review by the associate vice president for research is required, including written recommendation/determination about whether the proposed agreement/partnership is allowable under grants policies.

(b) When the proposal involves international collaboration, the international programs office must be contacted, and review by the associate provost for international and global initiatives is required, including a written statement indicating potential issues or concerns regarding immigration or other international affairs issues.

(c) When the proposal involves graduate programs, the graduate college must be contacted and review by the dean of the graduate college is required.

(d) When there are issues of ownership of intellectual property arising from the research or service mission of a proposed CIL, the general counsel will review the proposal.

(5) Upon the completion of this consultative process, the provost/vice president for academic affairs may authorize implementation of the partnership or program or establishment of the center.

(6) All relationships and CILs established under this policy will be evaluated no less frequently than every five years, with newly established relationships evaluated within three years of their creation.

Effective: 11/4/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356