Chapter 3356-9 Selection and Evaluation of Officers of University and Employment of Students

3356-9-01 Selection and evaluation of executive level officers of the university.

(A) Policy statement. The divisional executive officers of the university are the provost/vice president for academic affairs, vice president for student affairs, vice president for finance and administration and the vice president for university advancement. The president is considered to be the divisional executive officer for those work units that have a direct reporting relationship and for the staff assigned to work in the office of the president. In the selection and evaluation of executive officers and general counsel of the university, the board of trustees is committed to the principle of collegiality, where, as appropriate, members of the university community (students, faculty, and staff) have an opportunity to participate in the decision-making processes of the university. The board of trustees acknowledges the need for the establishment of processes for the selection and regular evaluation of divisional executive officers and general counsel of the university. The board also affirms the principle of merit-based rewards that are directly associated with positive evaluation of these officers.

(B) Parameters.

(1) A position announcement, including the required and preferred qualifications, will be developed and brought to the board of trustees for review and approval prior to initiating the search.

(2) Advertising to fill divisional executive officer positions and the general counsel position of the university will be done in a manner that will create a diverse pool of candidates of racial, ethnic and social backgrounds, reflecting a wide diversity of values, ideas, and beliefs.

(3) An individual selected to serve as a divisional executive officer or general counsel will be identified from an applicant pool obtained as a result of a national search process. A national search firm shall be utilized in a search for a divisional executive officer or general counsel, unless expressly waived by the board of trustees. (Filling these positions on an interim basis may be done without initiating a formal process.)

(4) In recognition of the principles of collegiality, advisory committees will be utilized during the process of searching, screening, and interviewing divisional executive officers and the general counsel.

(5) Evaluation involves an employee and supervisor in a yearly process of mutually identifying measurable objectives, regular review of progress toward their achievement, and year-end determination of whether or not the objectives were met.

(6) The evaluation may involve merit salary considerations as part of the year-end sessions.

(C) Role of executive officers.

(1) Executive officers of the university maintain overall leadership for a particular division or unit. As university officials, each has the responsibility to represent the university and provide leadership in the specified areas of responsibility. The executive officers serve as primary advisors and the members of the president's cabinet. In addition, the president may designate other administrative officers to serve as members of the cabinet. Executive officers of the university include:

(a) Provost/vice president for academic affairs.

(b) Vice president for student affairs.

(c) Vice president for finance and administration.

(d) University general counsel.

(e) Other positions designated by the president with the approval of the board of trustees.

(2) The provost/vice president for academic affairs is the chief academic officer of the university. As the president's first delegate, the provost/vice president for academic affairs has primary responsibility for the overall administration of the academic programs of the university. A comprehensive list of duties and responsibilities is contained in the current job description for the position.

(3) The vice president for student affairs is the chief student personnel officer for the university, and in this capacity, provides leadership for the division of student affairs and its major units, including enrollment services, student life, and student services. A comprehensive list of duties and responsibilities is contained in the current job description for the position.

(4) The vice president for finance and administration is the chief fiscal and administrative officer of the university and provides leadership for the division of finance and administration, recommends fiscal policy to the president for consideration by the board of trustees, and is responsible for implementation of these policies. A comprehensive list of duties and responsibilities is contained in the current job description for the position.

(5) The university general counsel is the chief legal officer of the university. The general counsel is appointed jointly by the Ohio attorney general and the president with approval of the board of trustees. The general counsel serves as university legal counsel and serves as liaison between the office of the president and the office of the Ohio attorney general, including outside counsel. A comprehensive list of duties and responsibilities is contained in the current job description for the position.

(D) Procedures for the selection of an executive level officer. The procedures that follow provide an overall structure for executive level officer selection. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) When there is a need to identify a new executive level officer, the president will appoint a search advisory committee.

(2) This committee will include representatives of the affected university division, a member of the board of trustees, as designated by the chair, and may include other members of the university community and other external members, as appropriate.

(3) This committee will review all of the applications received, identify those that meet the pre-established qualifications, complete an initial check of references of the qualified candidates, and recommend a short list of candidates to be interviewed.

(4) This committee will be involved in the process of interviewing all of the candidates visiting the campus.

(5) The on-campus interview process may include a broad representation of each of the divisions of the university, students, appropriate community representatives, and others identified by the president.

(6) The president will also host a meeting with each of the final candidates and members of the board of trustees.

(7) The president, in consultation with the board of trustees, will identify the candidate to be extended the offer.

(8) The chief human resources officer will prepare and submit a summary of all personnel actions (i.e., appointments, promotions, reclassifications, transfers, demotions, salary adjustments, and separations) to the university affairs committee for recommendation for approval by the board of trustees. The personnel actions will become effective upon approval by the board of trustees.

(E) Exceptions to the selection procedures. Exceptions to the above selection requirements may be granted in special circumstances where departure offers demonstrable benefits for the university. A request for such an exception must be submitted in writing to the human resources and labor relations department and the office of equal opportunity and policy compliance for review and recommendation. The request initiated by the president, together with the recommendations of human resources and equal opportunity, will be submitted to the university affairs committee of the board of trustees, which shall recommend the final action to be taken on the request by the board of trustees.

(F) Procedures for the evaluation of an executive level officer. The procedures that follow provide an overall structure for evaluation. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) The evaluation process is conducted on an annual basis.

(2) The process will be initiated with one-on-one session(s) between the executive level officer and the president.

(3) The initial phase of the process will be devoted to dialog whereby mutually accepted annual objectives are identified and finalized in writing, usually at the start of the fiscal/academic year.

(4) Through the course of the year, one-on-one sessions will be initiated by either party to review the progress being made toward the achievement of the objectives. Adjustments can be made to the objectives during these sessions.

(5) At year's end, during a one-on-one session between the executive level officer and the president, the degree to which these objectives have been met will be determined and preliminary salary adjustment considerations will be discussed. The board of trustees considers it important to have the evaluation of executive level officers include the perspective of their constituents and subordinates. Therefore, an important component of the overall evaluation will be input from a sample of constituents and subordinates. The president shall consult with the board of trustees during the evaluation process as to the performance of executive level officers and will inform the board of trustees about the results of his/her evaluation of each executive level officer.

(6) When considering salary adjustments for executive level officers, the president shall submit proposed adjustments to the university affairs committee for its review and approval prior to implementing said adjustment(s).

Replaces: 3356-9-01

Effective: 8/31/2015
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 6/16/03, 11/15/03, 7/10/10, 8/23/10, 2/10/14, 3/10/14, 3/26/15

3356-9-02 Selection and annual evaluation of administrative officers of the university.

(A) Policy statement. In the selection and annual evaluation of administrative officers of the university, the board of trustees is committed to the principle of collegiality where, as appropriate, members of the university community (students, faculty, and staff) have an opportunity to participate in the decision-making processes of the university. The board of trustees acknowledges the need for the establishment of processes for the selection and regular evaluation of the administrative officers of the university. The board also affirms the principle of merit-based rewards that are directly associated with positive evaluation of these officers.

(B) Parameters.

(1) A position announcement, including the required and preferred qualifications, will be developed and brought to the board of trustees for review and approval prior to initiating the search.

(2) Advertising to fill administrative officer positions of the university will be done in a manner that will create a diverse pool of candidates of racial, ethnic and social backgrounds reflecting a wide diversity of values, ideas, and beliefs.

(3) An individual selected to serve as administrative officer will be identified from an applicant pool obtained as a result of a national search process. With the approval of or when deemed necessary by the president, a search firm may be utilized. (Filling these positions on an interim basis may be done without initiating a formal process.)

(4) In recognition of the principles of collegiality, advisory committees will be utilized during the process of searching, screening, and interviewing administrative officers.

(5) Evaluation involves an employee and supervisor in a yearly process of mutually identifying measurable objectives, regular review of progress toward their achievement, and year-end determination of whether or not the objectives were met.

(6) The evaluation process may involve merit salary considerations as part of the year-end session.

(C) Role of the administrative officers. Administrative officers of the university maintain management responsibilities for a specific segment of the campus. They also serve as an integral part of the university's leadership team that is responsible for the overall direction of the institution. Each serves as primary advisor on the various divisional advisory committees and as members of the executive and administrative staff council. Each dean has responsibility for one of the colleges and reports directly to the provost/vice president for academic affairs. Associate vice presidents and executive directors are responsible for a major administrative unit and each reports directly to an executive level officer or designee appointed by the president. Administrative officers of the university include:

(1) College deans.

(2) Associate vice presidents.

(3) Executive directors.

(4) Director of equal opportunity and policy compliance.

(5) Other positions designated by the president.

(D) Procedures for the selection of administrative officers. The procedures that follow provide an overall structure for administrative officer selection. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) When there is a need to identify a new administrative officer, the appropriate executive level officer (see rule 3356-9-01 of the Administrative Code) or designee appointed by the president will appoint a search advisory committee.

(2) This committee will include representatives of the affected university division and may include other members of the university community and other external members as appropriate.

(3) This committee will review all of the applications received, identify those meeting the pre-established qualifications, complete an initial check of references of the qualified candidates, and recommend a short list of candidates to be interviewed.

(4) This committee will be involved in the process of interviewing all of the candidates visiting the campus.

(5) The on-campus interview process may include a broad representation of the affected university division, other members of the university community, including the board of trustees and others identified by the appropriate executive level officer or designee appointed by the president.

(6) Upon the conclusion of the interview process, the search advisory committee will submit to the appropriate executive level officer or designee appointed by the president an unranked list of three to five candidates, with an assessment of each, that are recommended to fill the vacant position.

(7) The appropriate executive level officer or designee appointed by the president, in consultation with the president, will review the list of recommended candidates to identify the person to be extended an offer.

(8) The chief human resources officer will prepare and submit a summary of all personnel actions (i.e., appointments, promotions, reclassifications, transfers, demotions, salary adjustments, and separations) to the university affairs committee for recommendation for approval by the board of trustees. The personnel actions will become effective upon approval by the board.

(E) Exceptions to the selection procedures. Exceptions to the above selection requirements may be granted in special circumstances where departure offers demonstrable benefits for the university. A request for such an exception must be submitted in writing to the office of human resources and labor relations and the office of equal opportunity and policy compliance for review and recommendation. A request initialed by a hiring department, together with the recommendations of human resources and equal opportunity, will be submitted to the president, who shall take final action on the request and report the recommendations and action taken to the university affairs committee of the board of trustees at or before its next meeting.

(F) Procedures for the evaluation of administrative officers. The procedures that follow provide an overall structure for evaluation. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) The evaluation process is conducted on an annual basis.

(2) The process will be initiated with one-on-one session(s) between the dean and the provost/vice president for academic affairs or the executive director and the executive level officer.

(3) This initial phase of the process is devoted to dialog, whereby mutually acceptable annual objectives are identified and finalized in writing, usually at the start of the fiscal/academic year.

(4) Throughout the course of the year, one-on-one sessions will be initiated by either party to review the progress being made toward the achievement of the objectives. Adjustments can be made to the objectives during these sessions.

(5) At year's end, during a one-on-one session between the dean and the provost/vice president for academic affairs or the executive director and the executive level officer, the degree to which these objectives have been met is determined and preliminary salary adjustment considerations are discussed. The board of trustees considers it important to have the evaluation of administrative officers include the perspective of their constituents and subordinates. Therefore, an important component of the overall evaluation will be input from a sample of constituents and subordinates.

(6) All administrative officers' merit considerations are reviewed by the executive level officers in a group setting to ensure consistent application from an institutional perspective.

(7) When considering salary adjustments for administrative officers, the president shall submit proposed adjustments to the university affairs committee for its review and comment prior to implementing said adjustment(s).

Effective: 8/31/2015
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/14/77, 8/15/98, 4/24/00, 6/16/03, 7/10/10, 8/23/10, 2/10/14, 3/10/14

3356-9-03 Employment of students.

(A) Policy statement. Students are eligible to be employed by the university according to federal and state laws and university policy.

(B) Purpose. These procedures are designed to create a fair and equitable process for employment of students on campus. All procedures are in compliance with federal and state of Ohio law including Ohio public employment retirement system ("OPERS") guidelines and university policy.

(C) Parameters.

(1) The executive director of student life is responsible for the approval and coordination of the process of employing all student employees except for those employees participating in the employment programs administered by the graduate school (graduate assistants, teaching assistants, research assistants).

(2) Students may be employed through hourly student wages or a task-based stipend. In both categories, students are subject to the same eligibility requirements.

(3) To be eligible for employment under hourly student wages or task-based stipend during the fall or spring semesters, the student must be enrolled for a minimum of one course and no less than three credits and be in good academic standing.

(4) To be employed during the summer semester without summer enrollment, the student must have been enrolled during the previous spring, be currently registered for the upcoming fall semester, and be in good academic standing.

(5) Student employees may elect whether to participate in OPERS or not. Students who are employed during the summer, but not enrolled for a course (minimum one credit), are required to participate in OPERS.

(6) Regulations regarding compliance with the iaternal Revenue service and OPERS are made available to students by the office of student life.

(7) Appointments to all student employment positions and the effective appointment dates are made by the office of student life.

(D) Procedures.

(1) All positions for student employment, including federal work-study, are described in written position descriptions maintained and posted in the office of student life.

(2) Students interested in a posted position apply directly to the employing department or unit. That department or unit makes the offer of employment and submits the required documents for appointment to the position to the office of student life.

(3) Actual employment may begin only after the required documents have been processed and approved by the office of student life. The student is required to complete one OPERS election form during the term of their employment.

(4) Status as a student employee is continuous from the date of initial appointment until the student is terminated by the university. For purposes of this policy, a student who has not been enrolled for two consecutive semesters will be considered terminated. Changing positions of employment of departments does not impact one's student employment status. Therefore, once a student employee makes their OPERS election, i.e., exempt or nonexempt, the student's OPERS status is maintained until terminated by the university as defined in this rule or changes by operation of law.

(5) Concerns of student employees or those of their supervisor that cannot be resolved at the department or unit level may be referred to the office of student life.

Replaces: 3356:1-19-04

Effective: 2/10/2014
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03, 8/23/10, 1/22/12

3356-9-03.1 Appointment of graduate assistants, graduate research.

(A) Policy statement. While the president has overall responsibility for the management of the university, the responsibility for employment decisions of personnel is delegated to the provost and vice presidents. Each divisional executive officer is responsible for making personnel decisions within the described university procedures.

(B) Purpose. The graduate assistantship program is predicated upon the concept that given an opportunity to assist the faculty, graduate students provide a service to the university and gain valuable academic experience, which is appropriately supported through the annual institutional budget process. Academics must drive our cost structure. How the assistantship enhances the student's education must be apparent.

(C) Parameters.

(1) A graduate assistant ("GA") will normally be assigned duties primarily focused on the conduct of research/scholarly activity. A GA may be assigned teaching duties, but should not be the instructor of record. A graduate research assistant ("GRA") will only be assigned duties focused on the conduct of research/scholarly activity and will typically receive a twelvemonth appointment. All other assistantships are typically two-semester appointments. A graduate assistant/intern ("GA/I") is a special category of graduate assistant designated to provide opportunities for university offices or departments, community companies or agencies, or other appropriate external sponsors to involve graduate students as academic assistants/interns in real life experiences related to their fields of study. A student appointed as a graduate assistant (GA, GRA, TA and GA/I) will be paid a stipend. The department/agency of service will provide a stipend to the university which will be paid to the student through the normal stipend process for GA/I appointments. A teaching assistant ("TA") will only be assigned duties focused on instruction and may be the instructor of record for a regularly scheduled class. Additional academic services to the academic program in which the student is enrolled may be appropriate for all assistantship appointments. GA, GRA, GA/I, and TA appointments are covered by this policy.

(2) The graduate dean is responsible for the administration of the program and appointment of graduate assistants, graduate research assistants, graduate assistant interns, and teaching assistants.

(3) The graduate dean shall make available the "Graduate Premiere Scholarship," which shall normally be provided to students receiving an assistantship. The scholarship shall include up to thirty-six semester hours of instructional fees(for graduate courses required to complete a single degree program) for an academic year up to eighteen semester hours for each fall and spring semester. Scholarship awards may be provided for up to twelve semester hours of instructional fees for the summer term. The ''Premiere Scholarship" shall include instructional fees, nonresident tuition surcharge, and applicable music performance fees.

(4) The total number of graduate assistantships, teaching assistantships, and "Graduate College Premiere Scholarships" shall be allocated annually as a part of the institutional budget development process and will take into account the needs of new graduate programs as they are developed and implemented and the opportunities to increase enrollment and research through the growth of existing graduate programs. Colleges, departments, or external sources can also provide funds to support additional assistantships.

(5) Additional assistantship positions may be created by the graduate dean when external funding has been obtained through the office of research. In such cases, payment for assistantships may be made at rates higher than normal university rates if the external funding agency has a predetermined payment schedule or allows higher rates of payment.

(D) Procedures.

(1) The dean of the college of graduate studies shall allocate graduate assistants approved within the university budget across the institution. The deans of the academic colleges and appropriate standing committees of the graduate council shall be consulted as part of the allocation process.

(2) An academic department may recommend only full-time graduate students with regular (not provisional) status for an assistantship. Exceptions to this requirement may be granted only prior to appointment by the graduate dean with sufficient justification from the recommending department. A GA or TA with a teaching assignment may not have any undergraduate academic course deficiencies in any area that will be included in the assistant's teaching assignments.

(3) Recommendation to appoint a GA, GRA, GA/I and/or TA, and recommendations to award a "Graduate College Premiere Scholarship," must be obtained from the academic dean. Applications with the appropriate recommendations for appointment are forwarded to the graduate dean, who makes the official appointment. Until the appointment has been made by the graduate dean, no department is authorized to communicate to any applicant for a graduate or teaching assistantship that an award will be made. A department is authorized to communicate that they are recommending a student for appointment as a GA, GRA, GA/I, or TA. The college of graduate studies supports the "April 15th Resolution" regarding graduate scholars, fellows, trainees and assistants of the council of graduate schools ("CGS"). Appointments and communications regarding appointments will adhere to said resolution as described on the CGS webpage.

(4) Appointment as a GA, GRA, GA/I, or TA will normally occur for the fall or spring semester and be made prior to the beginning of the fall semester. Graduate research assistant appointments beginning in the summer term will be considered when justified. In cases where a spring semester appointment is made, the appointment will be for the semester only. In cases in which an appointment becomes available in the middle of a semester due to the availability of external funding, the stipend will be prorated to accommodate the period of time covered. Tuition may be covered by award of a "Graduate College Premiere Scholarship" for the full semester when funding is provided through an external award, which will fund the scholarship. Regardless of funding source, the stipend may be prorated to accommodate situations where students fail to begin or complete their assistantship as scheduled.

(5) Graduate assistants (GA, GRA, GA/I, or TA) shall not hold fulltime outside employment. Additional employment within the university is not permitted without the approval of the graduate dean.

(6) A faculty member within the department to which the graduate assistant is assigned will be designated to be directly responsible for the supervision of the assistant. A mentor from an academic department who will ensure the appropriate educational experience of the assistantship or internship must be designated. This applies to GA, GRA, GA/I, and TA positions.

(7) All teaching assistants must participate in a formal mentoring program in the department of instruction prior to being assigned independent teaching activities in that department.

(8) Additional information about graduate assistants, graduate research assistants, graduate assistant interns, teaching assistants, and the "Graduate College Premiere Scholarship" may be found in the "Graduate Bulletin," the "College of Graduate Studies Policy Book," and the "Handbook for Graduate Assistants."

Effective: 11/3/2017
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 01/31/2000, 06/16/2003, 08/23/2010, 08/31/2015, 08/05/2016

3356-9-03.2 Employment of students - federal work-study program.

(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 provost and vice presidents. Each divisional executive officer is responsible for making personnel decisions within the described university procedures.

(B) Purpose. The United States department of education provides a federal work-study allocation to Youngstown state university ("YSU") each fiscal year intended to encourage the part-time employment of undergraduate and graduate students with financial need. In addition to on-campus employment community service opportunities (e.g., "America Reads" tutors, escort services, etc.) are permitted and encouraged.

(C) Parameters.

(1) The office of financial aid and scholarships administers federal work-study fund usage, compliance with federal regulations, determination of student eligibility, and fund awarding.

(2) The federal work-study match funds are budgeted in accordance with federal regulations.

(3) Fringe benefits are not paid from federal work-study funds.

(4) Federal work-study payments are administered by the office of payroll.

(5) Federal work-study awards are cancelled or reduced when students default on federal loans, become over-awarded due to changes in aid eligibility, or no longer maintain federal student aid satisfactory academic progress.

(D) Procedures.

(1) The United States department of education provides a federal work-study allocation to YSU each fiscal year.

(2) Students must annually complete the "Free Application for Federal Student Aid" ("FAFSA") after January first for the following aid year. They are encouraged to answer yes to the FAFSA question that asks if they are interested in the federal work-study program.

(3) The office of financial aid and scholarships establishes packaging/awarding criteria for each fiscal year based upon the funding level received, federal regulations, and the number of students who demonstrate financial need and qualify and maintain good academic standing.

(4) Students are awarded federal work-study by the office of financial aid and scholarships during financial aid packaging or through the student employment review process.

(5) Students accept or decline federal work-study funding through the online banner self-service functionality.

(6) Students obtain employment on campus by applying for vacant positions posted on the office of student life website.

(7) The employing department completes the on-campus student appointment forms, attaches all other required documents, and sends them to the office of financial aid and scholarships. All appointment forms are reviewed by the office of financial aid and scholarships to verify federal work-study eligibility before approval by the office of student life.

(8) The office of financial aid and scholarships director reviews the individual student's federal work-study eligibility and signs the on-campus appointment forms after federal work-study eligibility has been confirmed.

(9) The appointment forms, with all necessary paperwork, are sent to the office of student life for final approval.

(10) The on-campus appointment forms for students with federal work-study eligibility are returned to the office of financial aid and scholarships for record keeping purposes once approved and signed by the executive director of student life.

(11) The student begins working on his/her approved start date.

(12) The office of payroll issues federal work-study payments biweekly in the form of a paycheck or direct deposit.

(13) Biweekly federal work-study earnings from the banner payroll system are loaded to the banner financial aid system through a banner delivered process used to track payments received.

(14) Year-to-date earnings are monitored by the office of financial aid and scholarships with an ad hoc report that compares year-to-date earnings to the federal work-study allocation in order to prevent student over-awards and to notify the employing department, the office of student life, and the human resources processing center when work-study funding has been exhausted.

(15) Community service is tracked throughout the year by the community service position identifications in banner documented through the hiring process to monitor compliance with the percentage mandated by the United States department of education.

(16) All federal work-study earnings are reconciled between the office of financial aid and scholarships and the office of general accounting.

(17) The office of financial aid and scholarships compiles and reports federal work-study information, including community services data, on the annual "Fiscal Operations Report and Application to Participate" ("FISAP") due October first each year.

Replaces: 3356:1-19-06

Effective: 2/10/2014
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03, 8/23/10, 1/22/12

3356-9-04 Acting president.

(A) Policy statement. Whenever the president intends to be absent from the university for three working days or more, an executive officer of the university will be designated as acting president.

(B) Definition. In addition to the president, the executive officers of the university include the provost/vice president for academic affairs, the vice president for finance and administration, the vice president for university advancement, the vice president for student affairs, and the university general counsel.

(C) Parameters.

(1) The president will prepare the appropriate notification to send to the board of trustees with a copy to the executive officer designated to serve as acting president. Such notification will include any parameters or cautions deemed appropriate by the president.

(2) The acting president shall have authority to act on behalf of the president in conformity with the notification of designation.

Replaces: 3356:1-19-07

Effective: 8/23/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 3/20/78, 12/25/84, 7/15/99, 6/16/03

3356-9-05 Faculty rank and tenure for designated administrators.

(A) Policy statement. Appropriate to their academic credentials, experience and position, persons hired to serve as president, provost, vice president, dean, department chair, or other administrative positions may be appointed with earned faculty rank and tenure upon the recommendation of the president to the board of trustees for their approval.

(B) Procedures.

(1) If appointment is to be with faculty rank and tenure, the academic credentials of the candidate will be presented to the appropriate department and dean for review. Granting of faculty rank and tenure to designated administrators will normally require that the individual will have earned rank and tenure at a previous institution.

(2) The department will prepare a written recommendation regarding the viability of candidate's receipt of faculty rank and tenure. This recommendation will be forwarded to the dean of the college (unless it is for a candidate for the position of dean, in which case the recommendation will be forwarded to the provost), who will forward the department's and his/her recommendation to the provost.

(3) The provost will make recommendations to the president on the granting of faculty rank and tenure to candidates for dean, department chair, and other administrative positions. After paragraphs (B)(1) and (B)(2) of this rule are followed, the president will make a recommendation to the board of trustees regarding faculty rank and tenure of the candidate for provost.

(4) The president will make recommendations to the board of trustees on the granting of rank and tenure for designated administrators to the board of trustees (excepting him or herself). The board of trustees will exercise final decision-making authority on all of the above recommendations and, as appropriate, on the granting of rank and tenure to the president.

(5) The designated administrator will be assigned a faculty base salary after the conferral of tenure. The faculty base salary will be determined based on the following procedure:

(a) Faculty salaries at the appointed faculty rank in the appropriate department/college will serve as a guideline.

(b) The provost negotiates the faculty base salary with the hiring authority.

(c) The agreed-upon faculty base salary is recorded in the office of human resources and serves as the basis for calculating a faculty salary should the administrator return to faculty status.

(d) Each year the faculty base salary is updated based on negotiated annual increases in the agreement between Youngstown state university ("YSU") and the Youngstown state university Ohio education association ("YSU-OEA").

(6) Administrators with faculty rank and tenure earned at Youngstown state university may return to their faculty position with tenure and at the rank held prior to administrative appointment. The faculty base salary prior to administrative appointment will be adjusted based on negotiated annual increases in the agreement between YSU and YSU-OEA.

(7) Tenure provisions defined in the YSU/YSU-OEA agreement current at the time of return or transfer to a full-time faculty position apply. Rank and tenure are not guaranteed for any administrator who has been removed from his or her administrative position for cause.

Replaces: 3356:1-19-08

Effective: 8/23/2010
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 1/31/00, 6/16/03

3356-9-06 Professional conduct of faculty, department chairpersons, and professional/administrative employees.

(A) Policy statement.

(1) Faculty, department chairpersons, and professional/administrative employees are expected to demonstrate professional conduct that exhibits the values of honesty, integrity, competence, respect, and responsibility. The parameters and procedures defined herein, serve as the framework for defining and investigating allegations of professional misconduct and the administration of sanctions against those found to have violated this policy.

(2) This policy and procedures apply to all full-time and part-time faculty, department chairpersons, and professional/administrative employees with respect to allegations of professional misconduct as defined herein. Allegations of professional misconduct related to sponsored programs, use of human subjects in research, use and care of animals in research, research misconduct, conflicts of interest and/or commitment in sponsored programs, nondiscrimination and equal opportunity, sexual harassment, and computer use shall be reviewed pursuant to procedures provided in board policies governing these areas. The applicable policies of the administrative code are the following:

(a) Rule 3356-10-13-"Research, grants, and sponsored programs."

(b) Rule 3356-10-14-"Integrity in research-use of human participants."

(c) Rule 3356-10-15-"Integrity in research-use and care of animals."

(d) Rule 3356-10-16-"Research misconduct."

(e) Rule 3356-10-17-"Objectivity in research-avoidance of conflicts of interest and/or commitment in sponsored research."

(f) Rule 3356-2-01-"Equal opportunity discrimination complaint procedures."

(g) Rule 3356-2-03-"Discrimination/ harassment."

(h) Rule 3356-4-09-"Acceptable use of university technology resources."

(B) Professional misconduct.

(1) "Professional misconduct," for purposes of this policy, means:

(a) Fabrication, falsification, plagiarism, or other intentional deception in proposing, awarding, administering, conducting, and/or presenting or reporting results of scientific research, administrative or scholarly inquiry, or creative endeavors.

(b) Recommending or awarding grants, leaves, travel requests, promotions, professional awards or recognitions, or other funds or resources in violation of applicable university policies, agreements, contracts, grants, laws and regulations.

(c) Use of grants, facilities, equipment, supplies, or other university resources in violation of applicable university policies, agreements, contracts, grants, laws and regulations.

(d) Selective reporting of favorable results, or intentional omission of conflicting data, as an outcome of research or inquiry.

(e) Improper use or release of information, ideas, or data in violation of applicable university policies, agreements, contracts, grants, laws and regulations.

(f) Stealing, destroying or otherwise taking or using without permission the property of others or products or research produced by others, such as data, equipment, supplies, computer programs, notes or other records, manuscripts, or specimen collections.

(g) Misrepresentation of one's credentials.

(2) No person shall:

(a) Disregard the procedures contained herein.

(b) Retaliate against anyone making a good faith allegation of professional misconduct.

(c) Obstruct the inquiry into or investigation of allegations of professional misconduct.

(d) Deliberately make false allegations of professional misconduct.

(e) Such actions may also be considered to be professional misconduct and a violation of this rule and subject to the procedures herein or other disciplinary measures.

(3) Nothing in this section shall be interpreted to include unintentional error, omission, or oversight or to obviate sincere and genuine differences in interpretations or judgments regarding policies, resources, or data.

(C) Definitions.

(1) "Fabrication" means the creation of nonexistent or fictitious data or results.

(2) "Falsification" means the manipulation or alteration of data for the creation or reporting of false results.

(3) "Plagiarism" means representing the work of another person, including the person's words, ideas, or methods, as one's own in public or private forums or media.

(a) Determinations of plagiarism, including allegations relating to classes, shall include consideration of:

(i) The purpose and character of the use, including whether such use is of a self-interested nature or is for purposes other than an educational or professional mission;

(ii) The nature of the work, including whether published and copyrighted and whether part of the generally accepted body of knowledge in a field, discipline, or area;

(iii) The amount and substantiality of the portion used in relation to the work as a whole; and

(iv) The effect of the use upon the audience and upon the potential market for or value of the work.

(b) In general, use of the work of another person should be accompanied by proper citation or acknowledgment. However, the requirements and specificity of citation or acknowledgment may be determined by the expectations or common practices of the forum, medium, or discipline within which the use occurs. If a generally accepted code of professional ethics for a particular discipline contains additional or different provisions related to plagiarism, then that code shall apply to members of that profession. Accordingly, the fact that the work of another person is not cited or acknowledged shall not, itself, mandate a finding of plagiarism.

(c) In no case shall a finding of plagiarism apply to written or oral representations that are part of casual conversations, strictly private communications between individuals, or other personal exchanges in which a faculty member, department chairperson, or professional/administrative staff member is not acting as a representative of the university or in his/her professional role.

(4) Nothing in these definitions shall be interpreted to include unintentional error, omission, or oversight or to obviate sincere and genuine differences in interpretations or judgments regarding policies, resources, or data.

(C) Procedures.

(1) Professional conduct committee.

(a) A standing professional conduct committee ("committee") in the academic senate will be responsible for addressing allegations of professional misconduct in accordance with this policy. The committee and any subcommittee will receive appropriate legal and secretarial support in connection with their work.

(b) The committee shall consist of twelve members. Six members shall be tenured faculty, one from each undergraduate college appointed by the chair of the academic senate, and six members shall be professional/ administrative employees appointed by the president of the university. At least two tenured faculty members of the committee shall be regular members of the graduate faculty. Members of the committee shall serve for staggered three-year terms. Initially two faculty members and two non-faculty members shall be appointed for a one-year term, two faculty members and two non-faculty members shall be appointed for a two-year terms, and two faculty members and two non-faculty members shall be appointed for a three-year term. The committee shall elect its own chairperson, who shall serve a three-year term as chairperson and member. The committee shall operate under majority rule, and a quorum shall consist of seven members.

(2) Allegation of professional misconduct.

(a) A person who believes that a faculty member, department chairperson, or professional/administrative staff member has engaged in professional misconduct, as a defined by this policy, shall meet with the committee chairperson to discuss the issue in strict confidence. This meeting must occur not later than thirty days after the complainant observes or discovers the alleged professional misconduct and, in any case, not later than three years after the alleged occurrence of the professional misconduct.

(b) If the chairperson is uncertain as to whether the alleged professional misconduct is subject to review pursuant to this policy or another board policy, the chairperson shall raise the question with the chair of the academic senate. The chair of the academic senate, the president of the university, and the provost/vice president for academic affairs, or their designees, shall confer and determine by a majority vote which policy is appropriately applied to the alleged professional misconduct.

In cases where the alleged misconduct involves a sponsored program, the associate provost for research and dean of graduate studies and research shall be consulted prior to the determination.

(c) The chairperson shall listen to the concerns of the complainant and advise the complainant as to how to file a formal allegation of professional misconduct and the procedures that must be followed under this policy once a formal allegation is made. A complainant who wishes to file a formal allegation of professional misconduct must do so not later than fourteen days after the meeting with the chairperson.

(d) A formal allegation of professional misconduct is not made unless and until it is received in writing by the chairperson and may not be made anonymously.

(3) Inquiry into formal allegation.

(a) Not later than seven days from the receipt of a formal allegation of professional misconduct, the chairperson shall notify the person against whom the allegation is made. The person against whom a formal allegation is made may be present during any inquiry proceeding along with, at his/her expense, representatives of his/her choice.

(b) Upon receiving a formal allegation, the chairperson shall call a meeting of the committee to inquire as to whether the allegation warrants a formal investigation. In conducting this inquiry, the committee shall be responsible for gathering information and conducting an initial fact-finding process to justify its decision regarding the need for a formal investigation. Not later than twenty-eight days from the receipt of a formal allegation of professional misconduct by the chairperson, the committee shall determine whether a formal investigation of the allegation is appropriate. At least seven votes in the affirmative shall be required to determine that a formal investigation is appropriate.

(c) If a formal investigation is determined not to be appropriate, the chairperson shall within seven days of that determination notify the complainant and the person against whom the formal allegation of professional misconduct was made that the allegation has been rejected. The chairperson shall make no public announcement regarding such determination unless he/she deems it necessary to protect the reputation of the person against whom an allegation was made.

(4) Investigation of a formal allegation.

(a) If the committee determines that a formal investigation of the allegation is appropriate, the chairperson shall notify the complainant and the person against whom the allegation of professional misconduct was made within seven days after that determination that a formal investigation of the allegation will be conducted. Not later than fourteen days after the vote of the committee, and with the advice of the committee, the chairperson shall appoint a case investigation subcommittee consisting of five members comprised of tenured faculty, administrators and/or professional staff with appropriate background and knowledge to conduct a thorough and authoritative evaluation of the evidence and information bearing upon the allegation. At least one member of the subcommittee shall be a member of the committee. The chairperson shall also designate the chairperson of the subcommittee. The subcommittee may include tenured faculty, administrators, or professional staff from outside the university in cases where individuals within the university would not have the required expertise or would be subject to an actual or apparent conflict of interest.

(b) The subcommittee shall investigate the allegation of professional misconduct and determine whether the allegation is justified. The investigation shall include interviews with the person against whom the allegation has been made, if possible, and an examination of all pertinent evidence and information bearing upon the allegation. A quorum shall be present whenever testimony is given in connection with an investigation. A quorum shall consist of no fewer than three members of the subcommittee. The subcommittee shall keep detailed records of its investigation, including transcripts of all testimony.

(c) The person against whom the allegation is made and his/her representatives shall be provided with all documents, records, statements and any other information and material gathered or used by the subcommittee. If the investigation includes interviews, testimony, or the appearance of any person before all or part of the subcommittee, the person against whom the allegation has been made and/or representatives of his/her choice may be present and question any such persons. In addition, they shall have the right to obtain documents, records and information, and to interview witnesses, including the complainant, regarding the allegation.

All persons being interviewed, giving testimony, or otherwise making an appearance before all or part of the subcommittee may have representatives of their choice present to advise them. Any person who chooses to have the aid of representatives shall do so at his/her own expense.

(d) Not later than sixty days from its appointment, the subcommittee shall file a report of its investigation with the committee, except that it may request an extension from the chairperson for no more than an additional thirty days to complete its work. The report of the subcommittee shall include all of the information and records gathered in its investigation.

(5) Finding of a substantiated allegation.

(a) Not later than twenty-one days from receipt of the report of the subcommittee, the committee shall vote to determine whether or not the formal allegation of professional misconduct is substantiated by the evidence. At least seven votes in the affirmative shall be required to find that the allegation is substantiated. If the allegation is substantiated, the committee may also recommend penalties or sanctions, provided at least seven members of the committee agree on penalties and sanctions.

(b) Not later than fourteen days after a finding by the committee that the allegation of professional misconduct is substantiated, the chairperson shall prepare a professional misconduct report and shall provide copies of this report to the person against whom the finding of professional misconduct was made, his/her immediate administrative superior, the person who made the allegation, the chair of the academic senate, the president of the university, the vice president of the division where the person against whom the finding was made works, and the chairperson of the university board of trustees. This report shall include the formal allegation, findings of fact, and any recommended penalties or sanctions.

(6) Finding of an unsubstantiated allegation. If at least seven members of the committee do not affirmatively vote that the allegation is substantiated, then the allegation will be found to be unsubstantiated, and the chairperson shall promptly notify the person who was the subject of the allegation, his/her immediate administrative superior, the person who made the allegation, the chair of the academic senate, the president of the university, the vice president of the division where the person against whom the allegation was made works, the chairperson of the university board of trustees, and others deemed appropriate by the chairperson, including professional societies.

(7) Appeal of a substantiated allegation.

(a) Not later than fourteen days after receipt of the professional misconduct report, the person found to have engaged in professional misconduct may file an appeal of the professional misconduct report as to the formal allegation, application of the policy, procedures followed, findings of fact, and recommended penalties or sanctions with the president of the university. If the person found to have engaged in professional misconduct is the president of the university, the appeal shall be filed with the chairperson of the university board of trustees.

(b) The person with whom the appeal is filed shall appoint a committee to review the appeal and make a recommendation. The person with whom the appeal is files, or any committee he/she appoints in connection with the appeal, may conduct whatever level of review they determine to be appropriate, including interviewing witnesses and reviewing documents. If the recommended penalty or sanction in the professional misconduct report is termination, then a de novo review of the allegation shall be conducted on appeal.

(c) Not later than thirty days after an appeal is filed, the person with whom the appeal is filed shall issue a decision on the appeal. If the appeal is upheld, the person granting the appeal shall promptly notify all appropriate parties. This notification shall include the rationale for granting the appeal. If the appeal is denied, the person denying the appeal shall promptly notify all appropriate parties, including the immediate administrative superior of the person determined to have engaged in professional misconduct. This notification shall include the rationale for denying the appeal. Alternatively, the person with whom the appeal is filed may modify any part of the professional misconduct report.

(8) Administrative implementation of sanctions.

(a) Absent an appeal, or if the appeal is denied or a modified professional misconduct report is issued, the immediate administrative superior of the person found to have engaged in professional misconduct may implement, or engage the process to implement, any recommended sanctions of the professional misconduct report, impose his or her own sanctions, or take other action. If the person found to have engaged in professional misconduct is a member of the Youngstown state university - Ohio education association ("YSU-OEA") bargaining unit, any sanctions imposed must be administered in a manner consistent with the YSU/YSU-OEA agreement. If the person found to have engaged in professional misconduct is a member of the Youngstown state university - association of professional administrative staff ("YSU-APAS") bargaining unit, any sanctions imposed must be administered in a manner consistent with the YSU/YSU-APAS agreement. If the person found to have engaged in professional misconduct is not a member of any bargaining unit, any sanctions imposed must be administered in a manner consistent with applicable university policies.

(b) Should the immediate administrative superior decline to implement or to engage the process to implement the recommendations of the professional misconduct report or the determination of the person with whom the appeal was filed, he/she shall issue an explanation in writing to the chairperson, the chair of the academic senate, the president of the university, the vice president of the division where the person against whom the finding was made works, and the chairperson of the university board of trustees.

(9) Records. The chairperson shall maintain all documentation related to the committee's actions regarding formal allegations and arrange for the safe storage of all records of the committee's and subcommittee's meetings, inquiries, investigations, votes, and recommendations for a period of three years after a finding on the allegation.

(10) Conflict of interest. No person shall serve on the committee or subcommittee in a given case if such a person is the person against whom an allegation of professional misconduct has been made or if such person has a personal interest in the outcome of the case. No person shall hear an appeal of a finding of professional misconduct in a given case if such person is the person found to have engaged in professional misconduct or if such person has a personal interest in the outcome of the case. If there is a need to appoint a temporary or permanent replacement member of the committee or subcommittee, the original appointing person shall appoint the replacement. If the chair of the academic senate has a conflict of interest in a given case, the president of the university shall appoint the replacement. If the president of the university has a conflict in a given case, the chairperson of the university board of trustees shall appoint the replacement.

Replaces: 3356:1-19-09

Effective: 5/28/2011
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 7/24/00, 6/16/03, 2/1/04

3356-9-07 Public records policy.

(A) Policy statement. It is the policy of the university that openness leads to a better informed citizenry, which leads to better government and better public policy. It is the policy of the university to strictly adhere to the state's public records act (see section 149.43 of the Revised Code).

(B) Purpose. The purpose of this policy is to define the procedures that the university will follow in administering the public records law.

(C) Procedures.

(1) A "public record" is defined as any document - paper, electronic (including but not limited to e-mail), or other format - that is created or received by or comes under the jurisdiction of a public office that documents the organization, functions, policies, decisions, procedures, operations, or other activities of the office. All records of the university are public unless they are specifically exempt from disclosure under section 149.43 of the Revised Code.

(2) It is the policy of the university that, as required by Ohio law, records will be organized and maintained so that they are readily available for inspection and copying. Record retention schedules are to be updated regularly and posted prominently.

(3) Each request for public records should be evaluated for a response using the following guidelines:

(a) Although no specific language is required to make a request, the requester must at least identify the records requested with sufficient clarity to allow the public office to identify, retrieve, and review the records. If it is not clear what records are being sought, the records custodian must contact the requester for clarification.

(b) The requester does not have to put a records request in writing and does not have to provide his or her identity or the intended use of the requested public record.

(c) Public records are to be available for inspection during regular business hours, with the exception of published holidays. Public records must be made available for inspection promptly. Copies of public records must be made available within a reasonable period of time.

"Prompt" and "reasonable" take into account the volume of records requested, the proximity of the location where the records are stored, and the necessity for any legal review of the records requested.

(d) Public records requests should be directed to the "Office of the General Counsel, Tod Hall, Suite 312B, Youngstown State University, One University Plaza, Youngstown, Ohio 44555," or call (330) 941-2340.

"Routine requests" are those that certain departments receive on a consistent basis and that request basic information. These routine requests do not need to go to the office of the general counsel but may be processed by the office that retains the information after having first discussed the process with the office of the general counsel. "Non-routine requests," or requests that produce voluminous documents, must be processed through the general counsel's office.

(e) Routine requests for information that are easily accessed will be processed as quickly as is reasonable. Non-routine or voluminous requests that require extensive copying or research will be accompanied by an acknowledgment including:

(i) An estimated number of business days it will take to satisfy the request.

(ii) An estimated cost, if copies are requested.

(iii) Any items within the request that may be exempt from disclosure, if known at the time of the acknowledgment.

(f) Any denial of public records requested must include an explanation, including legal authority. If portions of a record are public and portions are exempt, the exempt portions are to be redacted and the rest released. If there are redactions, each redaction must be accompanied by a supporting explanation, including legal authority.

(g) Those seeking public records will be charged only the actual cost of making copies. The university is permitted to request payment in advance.

(i) The charge for paper copies is five cents per page.

(ii) The charge for downloaded computer files to a compact disc is one dollar per disc.

(iii) There is no charge for documents e-mailed.

(iv) Requesters may ask that documents be mailed to them. They will be charged the actual cost of the postage and mailing supplies.

(h) Documents in electronic mail format are records as defined in section 149.43 of the Revised Code when their content relates to the business of the office. E-mail is to be treated in the same fashion as records in other formats and should follow the same retention schedules.

Records in private e-mail accounts used to conduct public business are subject to disclosure and all employees or representatives of the university are instructed to retain their e-mails that relate to public business.

(i) The university recognizes the legal and non-legal consequences of failure to properly respond to a public records request. In addition to the distrust in government that failure to comply may cause, the university's failure to comply with a request may result in a court ordering the university to comply with the law and to pay the requester attorney's fees and damages.

Replaces: 3356:1-19-10

Effective: 1/23/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 11/4/77, 7/15/99, 1/16/03, 8/23/10

3356-9-08 Selection and evaluation of the president of the university.

(A) Policy statement. In the selection and evaluation of the president of the university, the board of trustees is committed to the principle of collegiality where, as appropriate, members of the university community (students, faculty, and staff) have opportunity to participate in the decision-making processes of the university. The board further recognizes the value of input from the larger community, particularly as that input would be solicited as part of the process of presidential selection and evaluation. The board of trustees acknowledges the need for the establishment of processes for the selection and regular evaluation of the president of the university. The board also affirms the principle of merit-based rewards that are directly associated with the positive evaluation of the president.

(B) Principles.

(1) Advertising to fill the position of president of the university will be done in a manner that will create a diverse pool of candidates of racial, ethnic, and social backgrounds reflecting a wide diversity of values, ideas, and beliefs.

(2) An individual selected to serve as president will be identified from an applicant pool obtained as a result of a national search process. (Filling this position on an interim basis may be done without initiating a formal process.)

(3) In recognition of the principles of collegiality, an advisory committee will be utilized during the process of searching, screening, and interviewing candidates for president of the university.

(4) Evaluation of the president involves a yearly process between the president and the board of trustees of mutually identifying measurable objectives, regular review of progress toward their achievement, and year-end determination of whether or not the objectives were met.

(5) The evaluation process may involve merit salary considerations as part of the year-end session.

(6) The president is the chief executive officer of the university. Responsible to the board of trustees for the overall operation of the institution, the president executes the power and authority of the board of trustees in leadership, institutional strategic planning, and development of the institution. The president may delegate university administrative functions such as academic affairs, student affairs, financial affairs and administration, university advancement, equal opportunity and diversity, and intercollegiate athletics to various divisions or units. The president expects the faculty, through the provost/vice president for academic affairs, to share the responsibility by recommending admission requirements, curriculum, teaching appointments, graduation requirements, textbooks, and other appropriate academic procedures.

(7) The president is charged to manage the necessary financial resources, obtain personnel capable of maintaining and enhancing academic standards, maintain programs of support to the regional service area, and serve the needs of students in the university.

(8) The president may select a special/senior assistant, and the position will constitute an administrative or executive position, and in consultation with the executive committee of the board of trustees, the search process may be waived.

(C) Procedures for the selection of a university president. The procedures that follow provide an overall structure for selection of the president of the university. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) The selection of the president of the university is the responsibility of the board of trustees.

(2) When there is a need to identify a new president, the chairperson of the board of trustees will involve the board membership in the process of identifying the required qualifications for the position and outlining the process to be utilized to identify a president.

(3) The board shall utilize the services of a professional search firm or consultant to assist with the process.

(4) In recognition of the principles of collegiality, a presidential search advisory committee will be appointed by the board. The board may select a representative committee composed of alumni, faculty, staff, students, and members of the community to be involved in the search, screening, and interview elements of the process.

(5) The board of trustees will consider the recommendations and comments from all constituents; however, the board has the authority to make the final selection of president.

(D) Procedures for the evaluation of the university president. The procedures that follow provide an overall structure for evaluation of the president of the university. It is recognized that these procedures may need to be adjusted to accommodate a particular situation.

(1) The evaluation process will be conducted on an annual basis.

(2) The process will be initiated with one-on-one session(s) between the executive committee of the board of trustees and the president.

(3) The initial phase of the process will be devoted to dialog whereby mutually acceptable annual objectives are identified and finalized in writing.

(4) In addition to the quarterly reports provided by the president to the board of trustees throughout the course of the year, one-on-one sessions may be initiated by either the president or the executive committee of the board to review the progress being made toward the achievement of the objectives. Adjustments can be made to the objectives during these sessions.

(5) Annually, the executive committee of the board shall interview or appoint a committee to interview the executive level officers and others as it deems appropriate as part of its evaluation process.

(6) At least every three to five years, depending on the duration of the president's contract, the board of trustees will engage a consultant to conduct a comprehensive annual assessment of the president. This assessment will include participation from campus and community constituencies and may follow a process recommended by the association of governing boards ("AGB").

(7) Unless otherwise addressed in the president's employment contract:

(a) At year's end, during a one-on-one session between the executive committee of the board and the president, the degree to which these objectives have been met will be determined and preliminary salary adjustments, special merit or bonus considerations may be discussed.

(b) The executive committee of the board will review the preliminary merit considerations.

(c) The final salary adjustment for the president will be forwarded to the board of trustees for action.

Replaces: 3356:1-19-11

Effective: 3/10/2014
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: Prior to 11/4/77, 3/15/82, 7/21/83, 8/15/98, 7/24/00, 6/16/03, 8/23/10

3356-9-09 Records management.

(A) Policy statement. The board of trustees directs the university to comply with all state and federal laws regarding the creation and disposition of university records.

(B) Purpose. In compliance of section 149.33 of the Revised Code, the board of trustees establishes a records management program to apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposition of its records. The program shall be directed by the vice president for finance and administration and administered by the archives and special collections unit of Maag library, which shall have authority to develop administrative procedures and guidelines to implement this rule.

Youngstown state university hereby adopts the "Records Retention for Public Colleges and Universities in Ohio: A Manual" (hereafter, the "IUC manual") as developed by the inter-university council of Ohio, as it may be amended by the university's administration as its guidelines for the retention of its records.

(C) Definitions.

(1) "Records" includes any document, device, or item, regardless of physical form or characteristic, that is created or received by or comes under the jurisdiction of the university and which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university. Records and their retention and associated retention schedules are enumerated in the IUC manual.

(2) "Non-record materials" are documents, devices, or items in the university's custody that do not meet the above definition because they are not needed to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university. Examples include rough notes and drafts which do not contain any information that needs to be preserved or which merely duplicate information that is being preserved in other documents that are records, extra copies of documents kept only for reference, stocks of publications and processed documents, and library or museum materials intended solely for reference or exhibition. Personal records of employees that are clearly marked as such and not intermingled with university records and third party records, which are temporarily in the custody of the university but do not serve to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university, are also excluded from the definition of records. This rule does not apply to non-record materials, which may be retained or discarded at the discretion of the employees who create or receive them.

(D) Procedures.

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

(2) The creation of unnecessary and duplicative records should be avoided. Duplicative records are not official and should not be used to represent official records. Duplicative records should not be retained and should be destroyed as soon as their immediate need has passed.

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

(4) Each vice president or other officer having custody of university records shall designate one or more positions to administer the records in his or her division/department in accordance with the requirements of this rule. Each position so designated and referenced in relevant job descriptions shall cooperate with the university archives preparing an inventory of such records and shall be responsible for working with the university/archivist to ensure divisional compliance with the administrative procedures and guidelines that are established to implement this policy.

(5) Detailed administration guidelines for Youngstown state university records retention are found at http://www.ysu.edu/recordsmgt/.

Replaces: 3356:1-19-12

Effective: 12/27/2012
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356
Prior Effective Dates: 12/27/2012

3356-9-10 Acting/interim appointments of university administrators.

(A) Policy statement. In its efforts to promote equal access and opportunity and a diverse and highly qualified workforce, it is the general practice of Youngstown state university ("university') to hire employees through a formal search process. However, where there is a critical, immediate, or unforeseen need for an individual to perform specific university job responsibilities, appointments outside of the regular search process may be made.

(B) Purpose. To provide uniform guidelines and procedures for the use of acting and interim appointments for administrative, non-bargaining unit positions.

(C) Scope. This policy applies to the appointment of all university executive and administrative officers and to administrative, non-bargaining unit positions. The applicable department governance document shall be utilized for the appointment of an interim chair of an academic department. This policy does not apply to the appointment of an interim or acting university president (see rules 3356-9-04 and 3356-9-08 of the Administrative Code).

(D) Definitions.

(1) "Acting appointment." The temporary placement of an existing employee in a position due to the absence of an incumbent who is expected to return to the positon (e.g., incumbent on leave of absence). Upon the return of the incumbent, the acting appointment will return to his/her former position.

(2) "Interim appointment." The temporary placement of an existing employee or nonemployee to perform the duties of a vacant or soon-to-be-vacant positon while a unit is being reorganized or prior to or while university recruitment is underway to permanently select a successor (e.g., unanticipated or sudden departure of the incumbent).

(E) Parameters.

(1) An individual serving through an acting/interim appointment must possess at least the minimum qualifications stipulated in the applicable job description.

(2) An acting/interim appointee may be a candidate to permanently fill a position unless non-candidacy for the permanent position was a condition of the acting/interim appointment.

(3) An individual serving an acting/interim appointment is prohibited from serving on any University search committee during the duration of his/her appointment.

(4) Equal opportunity guidelines shall be considered when making an acting/interim appointment.

(F) Procedures.

(1) Acting appointment.

(a) An acting appointment is appropriate when an incumbent employee will be unavailable or unable to perform his/her job responsibilities for more than thirty days or in those situations in which the continuation of the incumbent's job responsibilities is critical to the effective continuing operation of the university.

(b) The president has the authority to appoint an acting or interim executive officer.

(c) For all other administrative acting/interim appointments, the immediate supervisor in consultation with the appropriate executive officer and the chief human resources officer shall determine if an acting/interim appointments is necessary for the effective operation of the unit or if an employee(s) is able to take on additional assignments and/or responsibilities for a limited time while maintaining his/her current job responsibilities.

(d) An initial acting appointment may last for up to one hundred eighty days and may thereafter be renewed in writing in thirty-day increments by approval of the executive officer or president and the chief human resources officer.

(e) Compensation shall be in accordance with human resources supplemental pay guidelines.

(f) A search to permanently fill the appointed position shall follow the selection process in the applicable policy.

(2) Interim appointment.

(a) All interim appointments shall be submitted in writing to the chief human resources officer and the director of equal opportunity and policy compliance for recommendation. The request must include the name of the position, the name of the individual(s) considered for appointment, the start date of the appointment, the anticipated length of the appointment, the anticipated start date of the search process, and the rationale supporting the appointment.

(b) The interim appointment of an executive level officer shall be approved by the board of trustees.

(c) The interim appointment of an administrative officer shall be approved by the president.

(d) All other interim appointments shall be approved by the immediate supervisor after consultation with the executive officer and the chief human resources officer.

(e) Interim appointments shall not exceed one year without a written request and the written approval of the president. The president may extend the appointment in writing in increments of up to ninety days. A request for an extension must include an anticipated date to begin the search process or a rationale for deferring a final search.

(G) Existing appointments. All acting and interim appointments in place as of the effective date of this policy shall be reviewed for consistency with this policy and brought into reasonable compliance with this policy.

Effective: 8/31/2015
Promulgated Under: 111.15
Statutory Authority: 3356
Rule Amplifies: 3356