Chapter 3359-11 Polilcies on Hiring Policies and Benefits

3359-11-01 Sick leave for school of law faculty, contract professionals, classified, unclassified exempt staff and other non-bargaining unit faculty.

(A) General policy.

(1) The university shall provide paid sick leave to all school of law faculty, contract professionals, classified, unclassified exempt staff in accordance with the provisions of sections 124.38 and 124.39 of the Revised Code, and all employees other than members covered by collective bargaining agreements.

(2) Paid sick leave is defined as the authorized absence from duties for the following reasons:

(a) Personal illness, pregnancy, or injury.

(b) Exposure to contagious disease which could be communicated to other members of the university family.

(c) Illness, injury, or death (to a maximum of five days) in the individual's immediate family.

(d) Medical, psychological, dental, or optical examination or treatment of the employee or a member of the immediate family.

(3) Definition of immediate family.

The employee's immediate family is limited to the employee's spouse, parents, children, grandparents, siblings, grandchildren, brother in law, sister in law, daughter in-law, son in law, mother in law, father in law, or a legal guardian or other person who under Ohio law is legally recognized to stand in the place of the parent.

(4) Where sick leave is requested to care for a member of the immediate family, the department of benefits administration will require a physician's certificate to the effect that the presence of the employee is necessary to care for the ill person.

(5) Active pay status means the conditions under which an employee is eligible to receive pay, and includes, but is not limited to, vacation leave, sick leave, leave with pay, bereavement leave, and administrative leave. No pay status means the conditions under which an employee is ineligible to receive pay, and includes, but is not limited to, leave without pay, leave of absence, and disability leave.

(B) Accrual of sick leave credit.

(1) Sick leave is accrued at the rate of 4.6 hours per eighty hours of active pay status. Only accrued sick leave hours can be requested for authorized paid absences. Sick leave will be charged only for hours an employee is regularly scheduled to work but absent. Employees are not permitted to change a paid sick leave request once a work day has started (i.e. paid sick leave to vacation).

(2) There is no accumulation of benefit while on leave of absence without compensation.

(3) Sick leave accrual shall accumulate without limit, from the date of hire. All sick leave accrued by existing employees from their date of hire shall be reinstated, less actual sick leave taken and recorded as such under prior policy.

(C) Procedure governing utilization of sick leave.

(1) Sick leave is authorized upon the request of the employee and approval of the department head by the employee or employee's legal representative notifying the department head as soon as practicable, presumably on the first day of absence.

(2) The university reserves the right to require a physician's certification or other verification in all instances of paid leave. When such certification or verification is required, it shall be collected by the department of benefits administration for audit and retention.

(3) When paid sick leave is used, it will be deducted from the employee's accumulated total, one hour for each hour of absence. However, managers may allow some flexibility in scheduling work time for a single day where reasonable and practical.

(4) For twelve-month faculty, contract professionals, classified and unclassified exempt staff, a continuous period of sick leave commences with the first day, or part of a day, of an absence and includes all subsequent days, or part of a day, except Saturdays, Sundays, and holidays observed by the university of Akron until the employee returns to work. However, Saturdays, Sundays, and holidays shall be included in the calculation of a continuous period of sick leave for those employees who may be scheduled to work on those days.

(5) For nine-month faculty, a continuous period of sick leave commences with the first day of an absence and includes all days classes are in session during the academic year or summer session except Saturdays, Sundays, and holidays observed by the university of Akron. However, Saturdays, Sundays, and holidays shall be included in the calculation of a continuous period of sick leave for those employees who may be scheduled to work on those days.

(6) The department of benefits administration shall establish a sick leave reporting system for faculty, contract professionals, classified and unclassified exempt staff.

(7) In all cases of leave for illness or injury, the university may require written certification by a physician attesting to an employee's fitness to return to work.

(8) Paid sick leave will be charged when used.

(D) Transfer of sick leave.

An employee who transfers from one public agency to another, or who is reappointed or reinstated, or who transfers from one state department to another shall, upon reentering and submitting certified evidence of accumulated sick leave, be credited with the unused balance of accumulated sick leave, provided the time between separation and reappointment does not exceed ten years. The words "public agency," as used above, include the state, counties, municipalities, and all boards of education within the state of Ohio. The amount of sick leave transferred to state service shall not be greater than the maximum accumulation which would have been allowed if all public employment had been in the state service.

(E) Payment of sick leave upon retirement.

(1) Upon retiring from active service with the university after ten or more years of service with the state or any of its political subdivisions, an employee may elect to be paid for one fourth of the accrued but unused sick leave credit up to a maximum of two hundred forty hours. This payment will be based upon the employee's rate of pay at the time of retirement. Upon accepting such payment, all sick leave credit accrued up to that time will be eliminated.

(2) Such payment will be made only once to any employee.

(3) The maximum payment allowed will be two hundred forty hours. Sick leave conversion does not apply to any termination or separation other than retirement.

(F) Unexcused absence, failure to give proper notification and falsification.

Any unexcused absence or failure to give proper notification may result in the absence being charged to leave without pay. Falsification of either a written, signed statement or a physician's certificate shall be grounds for disciplinary action, including dismissal. Except in instances due to extended illness or injury, monthly or annual absences greater than the number of hours or days accrued may be considered excessive.

(G) Vacation leave may not be converted to sick leave unless the employee or a member of the employee's immediate family is admitted to or treated in a hospital or is under the treatment of a licensed physician and is not released to work. Written verification is required. Only those hours/days certified above may be converted to sick leave.

(H) The university of Akron administration shall develop policies and procedures necessary to implement the provisions in this rule.

Effective: 12/22/2016
Promulgated Under: 111.15
Statutory Authority: 124.38 ; 124.39 ; 3359.03
Rule Amplifies: 3359
Prior Effective Dates: 08/24/96, 09/11/00, 03/15/01, 06/25/07, 05/09/14; 02/01/15

3359-11-02 Family and medical leave, leave of absence, paid maternity leave, paid paternity leave, paid adoptive and foster parent leave and vacations for employees other than bargaining unit faculty.

(A) Family and medical leave.

(1) Under the Family and Medical Leave Act of 1993 ("FMLA"), up to twelve weeks of leave without pay during any twelve-month period are provided to eligible employees for certain family and medical reasons. Employees are eligible if they have been employed by the university for at least twelve months, this twelvemonth period need not be consecutive, and worked at least one thousand two hundred fifty hours ( 0.6 FTE) over the twelve-month period preceding the leave. FMLA leave without pay will be granted for any of the following reasons:

(a) The birth of a child, the care of a newborn child, or placement of a child with the employee for adoption or foster care;

(b) A serious health condition of the employee that renders him or her unable to perform his/her job functions; or

(c) In order to care for an employee's child, spouse, or parent who has a serious health condition.

(d) A "qualifying exigency" arising out of the fact that the employee's spouse, child or parent is called to covered active duty (or notified of an impending call or order to active duty) with the armed forces, including the national guard and reserves. Covered active duty means duty during deployment of the armed forces member to a foreign country. A qualified exigency may include short-notice deployment, attending military events, arranging for alternative childcare, addressing financial and legal arrangements, seeking counseling, attending post-deployment activities, and other similar circumstances.

(e) Leave related to a child's birth or placement for adoption or foster care must be completed within the twelve-month period beginning on the date of the birth or placement.

(2) A leave of absence of up to twenty-six weeks in any single twelvemonth period (rolling forward) will be granted to eligible employees for the following purposes:

(a) To care for a covered family member or next-of-kin (nearest blood relative) who has a serious injury or illness incurred by the service member in the line of duty on active duty in the armed forces (or existed before the active duty began and was aggravated in the line of active duty in the armed forces) and that may render the service member medically unfit to perform his/her duties. The service member must be:

(i) undergoing medical treatment, recuperation or therapy:

(ii) in outpatient status: or

(iii) on the temporary disability retired list for the serious illness, or injury.

(b) To care for a veteran who is a covered family member or next-of-kin (nearest blood relative) who has a qualifying serious injury or illness incurred by the member in the line of duty on active duty in the armed forces (or existed before the member's active duty began and was aggravated by service in the line of active duty in the armed forces) and that manifested itself before or after the member became a veteran. The veteran must be undergoing medical treatment, recuperation, or therapy for the serious injury or illness and have been a member of the armed forces during the five years preceding the date on which the veteran underwent the medical treatment, recuperation, or therapy.

(c) Leave to care for an injured or ill service member, when combined with other FMLA-qualifying leave, may not exceed twenty-six weeks in any single twelve-month period.

(3) Subject to the provisions of the applicable policies, paid vacation leave or paid sick leave may, at the employee's option, be substituted for leave without pay while on FMLA leave.

(4) If the employee fails to provide at least thirty days' advance notice when the leave is clearly foreseeable, leave may be delayed until at least thirty days after the date the employee provides notice to the employer. If the employee fails to provide a medical or other certification to support a request for leave, leave may be delayed until certification is provided. If the employee never produces certification then the leave is not FMLA leave. The university may, at its own expense, request a second and/or third opinion. If the employee or employee's family member fails to authorize his/her health care provider to release all relevant medical information pertaining to the health condition at issue, as requested by the health care provider for the second/third opinion, the university may deny the taking of FMLA leave. However, if the university requests a second and/or third opinion, and the employee authorizes his/her health care provider to release the relevant medical information, the employee is provisionally entitled to the FMLA leave pending the employer's receipt of the relevant medical information.

(5) Group health benefits will be continued for the duration of an FMLA leave. Upon return, an employee will be restored to his or her original or an equivalent position with equivalent pay, benefits and other employment terms.

(6) A "rolling" twelve-month period measured retrospectively from the date an employee uses any FMLA leave shall be used to determine the "twelve-month period" in which the twelve weeks of FMLA leave entitlement occurs.

(7) Family and medical leave may be used on a continuous basis. It may also be used on an intermittent basis, or as a reduced work schedule as provided by law. Application for FMLA is made to human resources, and approval of the request made by human resources.

(8) When intermittent or reduced work schedule leave is foreseeable due to planned medical treatment, the employee must make reasonable efforts to schedule the treatment so as not to unduly disrupt the university's operation, and the university may temporarily transfer the employee to an alternative position for which the employee is qualified, if it better accommodates these recurring periods of leave.

(9) Nothing in this section shall be deemed to create any additional benefits, rights, or entitlements to employees beyond those provided by the provisions of the FMLA or applicable law of the state of Ohio. For the purpose of implementing this FMLA policy, the definitions and provisions of the FMLA in effect at that time shall be followed when necessary to ensure compliance with the law.

(B) Maternity leave. Upon delivery, an employee who is on active pay status shall, in the ordinary course of recovering from either a vaginal birth without complication, be entitled to use up to six weeks of accrued sick leave, or if a vaginal birth with complication as verified by a physician or cesarean birth, be entitled to use up to eight weeks of accrued sick leave, as long as the employee has accrued the requisite amount of leave, and if less, then shall be entitled, to use such lesser amount. In any event, the use of such accrued sick leave shall be at the employee's option to use however much time as the employee deems appropriate. If upon delivery of the child, the employee is not in active pay status, but becomes in active pay status within six weeks, in the case of a vaginal birth without complication, or eight weeks, in the case of a vaginal birth with complication as verified by a physician or cesarean birth, the employee shall be entitled to use accrued sick leave upon being in active pay status for the remainder of the six- or eight-week period, as applicable. In any event, after using (or not using) such accrued sick leave, a full-time employee is granted twenty working days of paid maternity leave not taken from the accrued sick leave. In addition to the paid maternity leave for full time employees, an eligible employee who thereafter is physically unable to perform her duties may elect paid sick leave on the same terms that sick leave is available for any other illness, injury, or disability. In addition, the employee is entitled to FMLA leave if a pre- or post-delivery employee wishes to be absent from work for a period of time longer than the period of actual physical disability (see family and medical leave in paragraph (A) of this rule. Use of maternity leave shall count as part of the twelve-week FMLA leave.

(C) Paternity leave. A full-time employee who is on active pay status upon a pregnant spouse's delivery is granted, within one-hundred and eighty days of the delivery, twenty working days of paid paternity leave which will not be taken from accrued sick leave, but counted as part of FMLA leave.

(D) Adoptive and foster parent leave. Upon the adoption of a child or arrival of a foster child, a full-time employee who is on active pay status is entitled to twenty working days of paid leave which will not be taken from accrued sick leave, but counted as part of FMLA leave.

(E) Leaves of absence for non-bargaining unit faculty, contract professionals, and exempt staff Leaves of absence without compensation for employees other than bargaining unit faculty may be granted by the board upon recommendation of the president.

(F) No member of the faculty shall be absent from proper duties at the university for any cause other than sickness, except upon permission of the president, upon recommendation of the faculty member's dean or administrative superior.

(G) Academic year and vacations.

(1) Full-time faculty members on a nine-months' appointment are expected to be on duty during the fall and spring semester and continuing through spring commencement exercises, and are entitled to all academic vacations during that period.

(2) Faculty members and designated others on a full time twelvemonths' appointment (effective July first) have twenty-two working days of vacation as arranged with the dean or administrative supervisor as described in rule 3359-11-03 of the Administrative code, vacation policy for full time twelve-month faculty, contract professionals, and unclassified exempt staff

Effective: 6/30/2011
Promulgated Under: 111.15
Statutory Authority: 3345.31
Rule Amplifies: 3359.01
Prior Effective Dates: 8/18/96, 6/25/07

3359-11-03 Vacation policy for full-time twelve-/eleven-/ten-month administrative faculty (other, than bargaining unit faculty), contract professionals, and unclassified exempt staff.

This rule shall apply to all twelve-/eleven-/ten-month administrative faculty who are not bargaining unit faculty, and it shall apply to contract professionals, and to unclassified exempt staff. The term administrative shall mean faculty serving in full-time administrative roles such as dean, department chair, school director, or as otherwise determined by the provost, for either twelve, eleven or ten months of the year.

(A) General policy governing the accrual and carry-over of unused vacation leave.

(1) All full-time, twelve-/eleven-/ten-month administrative faculty, contract professionals, and unclassified exempt staff (except for individuals employed in temporary positions conducting postdoctoral research) may accrue a maximum of one hundred seventy-six hours each year. Unclassified exempt staff employed in temporary positions conducting postdoctoral research are not eligible to accrue vacation. Vacation is accrued at the rate of 14.67 hours for each calendar month of active pay status (in the eligible employment classifications identified herein), excluding leaves without compensation. Vacation days shall include Monday through Friday, exclusive of holidays.

(2) Twelve-month employees are expected to use their accrued vacation annually. Any accrued and unused vacation leave credit for prior years, up to a maximum of three hundred fifty-two hours, may be carried forward to the following year. However, any accrued and unused vacation leave in excess of three hundred fifty-two hours shall be forfeited on June thirtieth of each year.

(3) Eleven-month employees are expected to use their accrued vacation annually. Any accrued and unused vacation leave credit for prior years, up to a maximum of three hundred twenty-two hours, may be carried forward to the following year. However, any accrued and unused vacation leave in excess of three hundred twenty-two hours shall be forfeited on June thirtieth of each year.

(4) Ten-month employees are expected to use their accrued vacation annually. Any accrued and unused vacation leave credit for prior years, up to a maximum of two hundred ninety-three hours, may be carried forward to the following year. However, any accrued and unused vacation leave in excess of two hundred ninety-three hours shall be forfeited on June thirtieth of each year.

(B) Procedure governing vacation leave.

(1) To minimize interruption of services, all vacation leave must be approved by the appropriate dean or administrative department director. The use of vacation leave may be authorized in advance of accrual upon approval of the appropriate dean or administrative department director, and with final approval of the president or appropriate vice president. Upon separation from service, the employee's final pay check shall be reduced by the amount of used, but not accrued, vacation leave.

(2) If an individual's employment basis is changed from a twelve-/eleven-/ten-month appointment to nine-month appointment, no accrued unused vacation time shall be carried over beyond the end of the appointment.

(C) Vacation leave upon separation of employment.

(1) Payment for accrued and unused vacation leave shall be made only upon separation of service from the university of Akron. Such payment shall be made in a lump sum based on the rate of compensation at separation for any accrued but unused vacation leave, subject to a maximum of one hundred seventy-six hours for twelve-month employees, one hundred sixty-one hours for eleven-month employees, and one hundred forty-six hours for ten-month employees. If an employee dies during active pay status, the accrued and unused vacation leave for the current year, plus any accrued and unused vacation leave, up to a maximum of one-hundred seventy-six hours for twelve-month employees, one hundred sixty-one hours for eleven-month employees, and one hundred forty-six hours for ten-month employees carried over from the prior fiscal year, shall be paid in accordance with section 2113.04 of the Revised Code.

Effective: 10/23/2017
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 08/24/1996, 08/06/2001, 06/25/2007, 03/29/2012, 05/09/2014, 02/01/2015

3359-11-04 A faculty improvement program for faculty in the school of law.

(A) General statement.

The university of Akron is committed to the development of an academic community recognized for its achievement in contributing, transmitting and using knowledge and ideas. An essential means for the faculty periodically to enhance competence and widen professional activity is a faculty improvement program. The major purpose of this program is to promote the professional growth and new or renewed intellectual achievement of faculty in the school of law. Provision for improvement leave for all other faculty is set forth in the collective bargaining agreement between the university of Akron and the American association of university professors, the university of Akron chapter, which became effective in 2005.

(B) Eligibility.

(1) Any full-time faculty member in the school of law with at least seven academic years of teaching service at the university of Akron may be granted professional leave for a period of not more than one academic year to engage in further education, research, or any other activity approved by the board. A full-time faculty member in the school of law is one whose full-time responsibilities are to the university of Akron and who holds the rank of instructor, assistant professor, associate professor, professor or distinguished professor.

(2) If the faculty member in the school of law shows that the project is better served by dividing the leave over two academic years, the split leave may be permitted at the discretion of the president and the board provided that such an understanding is reached before the leave is approved.

(3) A faculty improvement leave shall not be granted solely for the purpose of acquiring an advanced degree, becoming self-employed, or obtaining employment elsewhere.

(4) A faculty member in the school of law who has completed a professional leave must complete another seven years of service at the university of Akron before becoming eligible for another grant of professional leave.

(5) Professional leave taken as part of the faculty improvement program shall not be deemed to be in lieu of assignments in connection with a specific research, scholarly or creative program.

(C) Compensation and other benefits.

(1) The university of Akron shall pay the faculty member in the school of law for or during a period of professional leave a salary not to exceed the amount that would have been paid to said faculty member for the performance of regular duties during the period of the leave. For purposes of this provision, salary for the performance of regular duties shall include both base salary and such amounts as the faculty member receives, if any, in connection with being named a chair holder and/or for performing other assigned duties at the time the leave is granted, provided that during the period of leave the faculty member retains such chair holder designation and/or continues to perform such other assigned duties. A faculty member shall receive not less than full pay for one semester of professional leave. If the professional leave is for two semesters, the faculty member will receive one-half compensation for each of the two semesters. The salary paid for such leave may not be suitable for inclusion in a final average salary for retirement purposes.

(2) No faculty member in the school of law shall, by virtue of being on professional leave, suffer a reduction or termination of regular employee retirement or insurance benefits or of any other benefit or privilege received as a faculty member at the university of Akron. Whenever such a benefit would be reduced because of a reduction in the faculty member's salary during the professional leave, the faculty member shall be given a chance to have the benefit increased to its normal level, in accordance with rules adopted by the board.

A person granted leave under the faculty improvement program will be considered as providing full-time service to the university during that period of leave, and shall be paid a salary and other benefits as provided for in this rule, but shall not be paid any additional stipend or other compensation by the university for any reason whatsoever during such period of leave. In addition no outside employment, whether for compensation or otherwise, shall be performed without the prior written approval of the dean, the senior vice president and provost and chief operating officer, the president, and the board of trustees. The salary will be subject to retirement deductions and other appropriate tax deductions.

(3) No professional leave shall be granted that requires a compensating addition to the permanent faculty of the university. A fund will be established under the direction of the president of the university to receive monies from any person, foundation, corporation, political subdivision, or the federal government to support the faculty improvement program of the university of Akron. This fund shall be used to support the salaries of part-time, temporary, or visiting faculty hired on a temporary basis to assume the duties of the faculty member on leave; to provide for unusual expenses of the faculty member on leave when such expenses are more than the faculty member's regular salary could be expected to cover; and to provide for other expenses involved in the operation of the faculty improvement program. Recommendations for the expenditures of such funds shall be forwarded from the senior vice president and provost and chief operating officer to the president of the university for final action.

(D) Method of application and selection.

(1) Application for professional leave, including the specific plan referenced below, which shall be submitted before November first of the academic year preceding the professional leave through the dean of the school of law to the provost, and will be accompanied by a statement as to how the faculty member's load is to be covered. The provost will submit to the president for review and transmission to the board those proposals, which are recommended for approval. At each level of the foregoing process, faculty review committees may be appointed when appropriate.

(2) The leave is to be supported by a specific plan that shall evidence that the leave will increase individual effectiveness or produce academically or socially useful results. A leave may entail specialized scholarly activity or be designed to provide broad cultural experience and enlarged perspective. The specific plan submitted by faculty must ensure the productive results sought by the university.

(3) If the faculty member's proposal is not approved, specific reasons for the disapproval shall be given in writing to the applicant by the provost.

(E) Accountability.

Faculty members in the school of law are expected to return to the university of Akron for at least one academic year after completion of their professional leave. At the completion of the professional leave, the faculty member shall submit to the senior vice president and provost and chief operating officer of the university a report detailing the accomplishments of the faculty member under this professional improvement program.

(F) Acceptance conditions.

Each proposal for faculty improvement leave in the school of law shall include the following statement subscribed to by the faculty member, indicating acceptance of the conditions for award of professional leave:

(1) I have read and understand the faculty improvement rule, 3359-11-04 of the Administrative code, and agree to be bound by its terms in the event my leave proposal granted.

(2) In submitting my proposal for professional leave. I am representing that my request is solely for the purpose of obtaining a professional leave, and receiving the benefits of that leave as provided in rule 3359-11-04 of the Administrative code, and that I am not considering self-employment, employment by any company, governmental or other entity, or employment at any other institution of higher education, including any institution or entity at which I may spend some time during my faculty improvement leave.

(3) I understand and agree that the grant of my faculty improvement leave by the university of Akron is based in significant part upon my promise to return to the university of Akron upon completion of that leave and remain there for at least one full academic year. I understand and agree that should I decide to leave the university of Akron and accept another full-time position from a different employer, or become self-employed, before the end of one full academic year after completing my faculty improvement leave, I will repay prorata to the university that portion of my salary paid to me which I was on faculty improvement leave. I agree to make such repayment in full within thirty days of my separation from the university of Akron. I understand that the requirement of repayment shall not apply in the event of my retirement, death, or disability.

Replaces: 3359-11-04

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3345.31
Prior Effective Dates: 08/24/96, 08/06/01, 06/25/07, 07/05/10

3359-11-05 Court and military leave for all employees except bargaining unit faculty.

This rule shall apply to all twelve-month faculty who are not bargaining unit faculty, and it shall apply to contract professionals, and to unclassified exempt staff.

(A) Court leave.

(1) Except as otherwise provided by law or collective bargaining agreement, employees will be granted leave with pay if:

(a) Summoned for jury duty by a court of competent jurisdiction,

(b) Subpoenaed to appear before any court, commission, board or other legally constituted body authorized by the law to compel the attendance of witnesses, where the employee is not a party to the action, or

(c) Participating in any action, as an appellant or subpoenaed witness, before the state personnel board of review and is in active pay status at the time of scheduled hearing before the board.

(d) When utilizing court leave, a copy of the summons or subpoena must be forwarded to human resources for retention in the employee's personnel file. The "notes" area of the time record should indicate "lwp-court leave."

(2) An employee who is appearing before a court or other legally constituted body in a matter in which the employee is a party, such as but not limited to a plaintiff or defendant, may be granted vacation time or leave of absence without pay. Such instances would include, but not be limited to, criminal or civil cases, traffic court, divorce or custody proceedings, or appearing as directed as a parent or guardian of a juvenile.

(3) Proof of appearance will be required.

(4) Any compensation or reimbursement for jury duty or for court attendance compelled by subpoena, when such duty is performed during an employee's normal working hours, shall be remitted by the university employee to the payroll office.

(B) Military leave.

(1) Qualifying employees of the university who are members of the Ohio national guard or a reserve component of the armed forces are eligible for leave with pay for the time they are performing service in the uniformed services. Such qualifying employees may be eligible for leave with pay for periods of up to one month, for each calendar year in which they are performing service in the uniformed services. A copy of the employee's military orders or other authorizing document for such duty must be submitted to human resources in all cases to qualify for leave with pay. For purposes of this provision, a calendar year begins on the first day of January and ends on the last day of December. As used in this provision, a month means twenty-two eight-hour work days or one hundred seventy-six hours within one calendar year.

(2) When utilizing military leave, a "PAF" is required to indicate the date military leave commences.

(3) Qualifying employees entitled to leave provided under paragraph (B)(1) of this rule and who are called or ordered to federal service in the uniformed services for more than a month by an executive order issued by the pesident of the United States or by an act of congress, are eligible for a leave of absence with pay during the period designated in the order or act. Any such employee will be paid each month an amount that equals the difference between the employee's gross monthly wage or salary as a university employee and the sum of the employee's gross uniformed pay and allowances received for that period. A copy of the employee's military orders or other authorizing document for such duty, including but not limited to a military leave and earnings statement, must be submitted to the employee's supervisor and the appointing authority to qualify for leave with pay.

(4) Qualifying employees entitled to leave provided under paragraph (B)(1) of this rule and who are called or ordered to state active duty for more than a month by a proclamation of the governor. are eligible for a leave of absence without pay for the duration of such service in accordance with the requirements stated in this rule.

(5) Federal active duty health insurance coverage. A qualifying employee called to federal active duty in the uniformed services pursuant to paragraph (B)(3) of this rule or his or her spouse or dependents may elect to continue or to reactivate the group health plan coverage for the duration of the time the employee is on active duty as described in paragraph (B)(3) of this rule. An employee, spouse, or dependent who requests the continuation or reactivation of insurance must pay any employee contribution required during the time the employee is on federal active duty.

(6) State active duty health insurance coverage. A qualifying employee called to state active duty in the uniformed services or his or her spouse or dependents may extend university health insurance coverage, as authorized by statute, after coverage would ordinarily terminate due to the call up (currently eighteen months).

(a) An employee, spouse, or dependent who wishes to extend health insurance coverage must pay the employee's portion of the insurance premium (UA choice dollars) during the period of activation, not to exceed eighteen months as entitled by statute.

(b) Depending upon mitigating circumstances as set forth in this paragraph, qualifying employee called to active duty, or his or her spouse or dependent, who elects to extend health insurance coverage may further extend coverage as entitled by statute (currently thirty-six months! Some mitigating circumstances that would allow the employee to further extend health insurance coverage include, but are not limited to:

(i) Death of the employee:

(ii) Separation or divorce of the employee and his or her spouse: or

(iii) Cessation of a dependant child's dependency pursuant to the terms of the insurance contract.

(c) If an employee, his or her spouse, or a dependant elect to extend health insurance coverage, the continuation of coverage ceases if any of the following events occur:

(i) The employee, his or her spouse, or a dependant becomes covered by another group insurance contract, not including the civilian health and medical program of the uniformed services:

(ii) The continuation period (eighteen or thirty-six months) expires:

(iii) The employee, his or her spouse or a dependant fails to make timely payments: or

(iv) The group contract is cancelled, unless the contract is replaced by similar coverage.

(7) Any eligible employee, unless employed briefly with no reasonable expectation of continued employment, called or ordered to uniformed service will be reinstated to his or her former or similar position provided the employee makes timely application for reemployment. An employee is eligible for reemployment if:

(a) The employee gave notice that he or she was leaving to perform military service:

(b) The employee's cumulative military service is less than five years, not including inactive duty training (drills! annual training, involuntary recall or retention on active duty, voluntary or involuntary active duty in support of a war or national emergency, or additional training requirements determined and certified in writing by the service secretary:

(c) The employee was released from military service under honorable conditions as specified in the regulations of the respective military branch in which the employee served; and

(d) The employee reported back to work within the applicable time.

(i) For service less than thirty-one days, the employee must notify the university of his or her return not later than the beginning of the first full regularly scheduled work day on the first full calendar day following the completion of service and the expiration of eight hours after a period allowing for safe transportation from the place of service to the employee's residence. The employee must return to work at a mutually agreed upon date and time, after notifying the university of his or her return to the area.

(ii) For service more than thirty days, but less than one hundred eighty-one days, the employee must submit an application for reemployment not later than fourteen days following the completion of service.

(iii) For service more than one hundred eighty days, the employee must submit an application for reemployment not later than ninety days following the completion of service.

(8) For any employee reemployed under this policy whose health insurance has otherwise terminated, the university will reinstate the employee's health insurance upon application.

(9) For any employee reemployed under this policy, the university will credit the employee, for purposes of the Family and Medical Leave Act eligibility, with the months and hours of service that he or she would have been employed with the university but for his or her military service.

(C) Any questions regarding this policy should be directed to human resources.

Replaces: 3359-11-05

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.03 ; 1751.54 ; 5923.05 ; 5923.051
Rule Amplifies: 3359.01
Prior Effective Dates: 09/11/00, 02/22/03, 06/25/07

3359-11-07 Sixty plus program.

(A) The university of Akron sixty plus program has been designed to allow persons over sixty years of age to attend university courses on a non-credit (audit) basis without having to pay tuition, general service fees, or other fees not charged to all students taking the same class under conditions described below:

(1) To qualify for the sixty plus program, the prospective student must be sixty years of age or older and have resided in the state of Ohio for at least one year.

(2) Sixty plus students are permitted to enroll in a class on a space available basis. Sixty plus students will be allowed in classes only after degree seeking students have registered.

(3) Sixty plus students are listed as audit students. Audit students do not generate state subsidy, therefore, audit students should not be considered in making courses reach minimum size.

(4) Students sixty years or older who choose to take classes for credit must pay full tuition and fees.

(5) A sixty plus student must either satisfy prerequisite class requirements or obtain the instructor's permission.

(6) Sixty plus students' admittance into a course is subject to the instructor's approval.

(7) A sixty plus student may register for no more than three courses (eleven or fewer credits) per semester.

(8) Sixty plus students are responsible for payment of approved fees which are assessed to all students taking the same course. Tuition, general service fees, and any other fee not assessed to all students taking the same class will be waived. Sixty plus students are responsible for any other expenses such as parking permits or books.

(9) The sixty plus program is intended to comply with section 3345.27 of the Revised Code.

(B) Persons over the age of sixty may attend university of Akron courses and classes and receive credit for courses taken under the conditions set forth in paragraph (A) of this rule if that person's family income is less than two hundred per cent of the federal poverty guideline, as revised annually by the United States secretary of health and human services in accordance with section 673 of the "Community Services Block Grant Act," 95 stat. 511 (1981) 42 U.S.C.A. 9902, as amended, for a family size equal to the size of the family of the person whose income is being determined. However, a person receiving credit for attending courses or classes under this division will be charged a tuition or matriculation fee in an amount no greater than the amount of any part-time student instructional grant awarded to that person by the state university or college in its discretion. The following shall also apply:

(1) Eligible sixty plus participants may enroll for no more than three courses, (eleven or fewer credits) unless request to enroll in a greater number of credits is approved by the senior vice president and provost and chief operating officer.

(2) Participants in this program may be prohibited from enrolling in certain courses or classes for which special course or training prerequisites apply, in which physical demands upon students are inappropriate for imposition upon persons sixty years of age or older, or in which the number of participating regular students is insufficient to cover the university's or college's course-related expenses.

(3) Sixty plus participants are subject to the same disciplinary and/or governance rules affecting all students.

(4) This policy is subject to and is provided by Ohio law and the university of Akron board of trustees regulations, either or both of which may be amended from time-to-time.

Replaces: 3359-11-07

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359; 3345
Prior Effective Dates: 08/15/96, 07/07/99, 06/25/07, 05/23/10

3359-11-08 Policies and procedure for student records.

(A) Introduction.

(1) The purpose of the policy outlined in this document is to implement and comply with the provisions of the family educational rights and privacy act ("FERPA"). The university of Akron is committed to this policy.

(2) In case any student believes that the university is violating "FERPA", the student has a right to file a complaint with the U. S. department of education. The address for a student to file a complaint is set forth in the annual notification published by the university via electronic mail.

(B) Definitions.

(1) For purposes of this policy, the university uses the following definitions of terms.

(a) Student. An individual who is receiving or who has received instruction in an on or off campus program, including an activity which is evaluated toward a grade such as a work/study program, an academic internship, a student teaching assignment, or a student exchange program. The term does not apply to an individual prior or subsequent to that individual's period of attendance at the university such as a candidate for admission, an alumnus, or a post-graduate intern in another institution.

(b) Education records. Any record (in handwriting, print, tape, film or maintained on any other medium) maintained by the university, an employee of the university, or an agent of the university which is directly related to a student, except:

(i) A personal record kept by a university staff person or agent which meets the following test:

(a) It was made as personal memory aid.

(b) It is in the sole possession of the person who made it.

(c) The information contained in it has never been revealed or made available to any other person.

(ii) An employment record used only in relation to an individual's employment by the university. However, the records related to a student's employment are education records when:

(a) The position in which the student is employed depends upon his or her status as a student.

(b) The student receives a grade or credit based upon his or her performance as an employee.

(iii) Records connected with an individual's application for admission to the university prior to his or her actual attendance as an enrolled student. This includes records connected with an application for admission to one of the colleges within the university prior to the individual's actual enrollment and attendance in that college.

(iv) Records which relate to an individual as an alumnus after the individual no longer attends or participates in an education activity for which the university awards a grade or credit.

(v) Records maintained by the university police department used only for law enforcement purposes which shall only be disclosed as required by law. No university official or employee, other than persons involved with the university police department, shall have access to those law enforcement records.

(vi) Records maintained by the university health services department used only for the provision of medical or psychiatric treatment. In order to maintain these records separate from education records, the university will enforce the following conditions: No person other than the physicians, psychiatrists, psychologists or other recognized medical professionals providing treatment will have access to information contained in the medical system records. However, such records may be disclosed to other persons to meet a health and safety emergency as described in the Family Educational Rights and Privacy Act.

(2) Personal identifier. Any data or information that relates a record to an individual. This includes the individual's name, the name of the individual's parents or other family members, the individual's address, the individual's social security number, any other number or symbol which identifies the individual, a list of the individual's personal characteristics, or any other information which would make the individual's identity known and can be used to label a record as the individual's.

(C) Annual notification.

(1) The university will publish via electronic mail provided to each student, a notice to students of their rights under the family educational rights and privacy act and under this policy. Since a student's education record will be used repeatedly by university officials and others to make important decisions affecting the student's academic program and future career, the student must assume a personal responsibility to make sure that his or her education record is complete and accurate.

(2) This provision is intended to inform each student at the university about the university's procedures to advise each student of his or her rights to:

(a) Inspect and review his or her education records.

(b) Exercise control (with some limitations) over disclosures of information contained in his or her education records.

(c) Seek to correct his or her education records, in a hearing if necessary, when he or she believes his or her records are inaccurate, misleading or in violation of the privacy or other rights of students.

(d) Report any violations of "FERPA" to the family educational rights and privacy act office at the department of education.

(e) In all instances, be informed about his or her "FERPA" rights.

(3) The university has placed the responsibility for administration of this policy with the university registrar, designated as the "FERPA" coordinator. This person is responsible for the administration of this policy and students who have problems or questions related to this policy should contact the "FERPA" coordinator for help.

(4) The university may disclose information from a student's records only with the written consent of the student, except:

(a) To university officials who have a legitimate educational interest in the records. A university official is:

(i) A person employed by the university in an administrative, supervisory, academic or research or support staff position.

(ii) A person appointed or elected to the board of trustees.

(iii) A person employed by or under contract to the university to perform a special task, such as the attorney or auditor.

(b) A university official has a legitimate educational interest if the official is:

(i) Performing a task that is specified in his or her position description or by a contract agreement.

(ii) Performing a task related to the student's education.

(iii) Performing a task related to the discipline of the student.

(iv) Providing a service or benefit relating to the student or student's family, such as health care, counseling, job placement or financial aid.

(c) To officials of another school, upon written request by the student, in which a student seeks or intends to enroll.

(d) To officials of the U.S. department of education, the comptroller general, and state and local educational authorities, in connection with certain state or federally supported education programs.

(e) In connection with a student's request for or receipt of financial aid as necessary to determine the eligibility, amount or condition of the financial aid, or to enforce the terms and conditions of the aid.

(f) If required by any Ohio law requiring disclosure that was adopted before November 19, 1974.

(g) To organizations conducting certain studies for or on behalf of the university.

(h) To accrediting organizations to carry out their functions.

(i) To parents of an eligible student who claim the student as a dependent for income tax purposes. Parents will be required to provide documentation of this relationship. Such documentation includes, but is not limited to, a sworn affidavit stating the relevant facts and a copy of tax returns from the year(s) in question. This information should be provided to the "FERPA" coordinator.

(j) To comply with a judicial order or a lawfully issued subpoena.

(k) To appropriate parties in a health or safety emergency.

(l) Directory information so designated by the university.

(m) The result of any disciplinary proceeding conducted by the university against an alleged perpetrator of a crime of violence to the alleged victim of the crime upon request.

(n) Location of educational records.

Type

Location

Custodian

        

admission records

"Simmons" hall

director, undergraduate

(undergraduate)

  

admissions

(graduate)

polsky building

dean, graduate studies

academic records

"Simmons" hall

university registrar

health records

health services student recreation & wellness center

director, health services

financial aid records

"Simmons" hall

director, student financial aid

career services records

center for career management student union

director of center for career management

progress records

dean's office at each college or department, faculty office at each college or department

dean of the college or chair of department, faculty at each college or department

disciplinary records

"Simmons" hall

assistant dean, student life

occasional records (student education records not listed in the type of system above)

"FERPA" coordinator "Simmons" hall

university registrar

admission/academic records (law)

C. Blake McDowell law

dean, school of law

admission/academic records (Wayne college)

Wayne college

dean, Wayne college

(D) Procedure to inspect education records.

(1) The university encourages students to inspect and review their education records at least once during each academic year, or, if the student has a special need, more frequently. Students who wish to inspect and review their education records should submit a written request to the "FERPA" coordinator. The request should identify, as accurately as possible, the specific records the student wishes to inspect and review. It may identify records according to the types listed in this policy under locations of education records section or as records under the custodianship of specific university officials identified by title. Records listed in this policy as occasional records should be identified in terms which will make it possible for the "FERPA" coordinator to locate them and make those records available to the student for inspection and review.

(2) If it is mutually convenient, the "FERPA" coordinator will allow the student to inspect the record at once. If the student cannot inspect the records immediately, the "FERPA" coordinator will discuss with the student the possible arrangements for the inspection. This discussion will deal with such items as place, times, records security, whether the inspection must be at a single location or arranged at several locations, and whether the student will need a resource person to explain certain records.

(3) The "FERPA" coordinator will make the needed arrangements and advise the student when and where the records will be available. The procedure will be completed as promptly as possible; but, in all cases the student will be permitted to inspect the record within forty-five calendar days after the "FERPA" coordinator receives the student's request.

(4) When a record contains personally identifiable information about more than one student, a student may inspect only that information that relates to him or her.

(5) The university reserves the right to refuse to permit a student to inspect and review the following education records:

(a) The financial statement of the student's parents.

(b) Statements and records of recommendation prepared by university officials or submitted with the student's application for admission which were placed in the student's records before January 1, 1975, or which the student has waived his or her right of access in writing. Except that, if the above mentioned statement's letters have been used for any purpose other than that for which they were originally prepared, the student may inspect and review them.

(c) Those records which are excluded from the definition of education records under policy.

(E) Fees for copies of records.

(1) The university will charge five cents per page for the reproduction and mailing of education records made available to the student, with mailing charges being additional. Such copies will not be signed or certified by the university in any way.

(2) The university reserves the right to deny transcripts or copies of records not required by "FERPA" in any of the following situations:

(a) The student has an unpaid financial obligation to the university.

(b) There is an unresolved disciplinary action pending against the student.

(c) While there is unresolved litigation between the student and the university.

(3) The university will furnish, at no cost, copies of records involved in a request to change them when the university asks the student to make a written request for the change.

(F) Directory information.

(1) The university proposes to designate the personally identifiable information contained in a student's education record listed below as directory information in order that the university may, at its discretion, disclose the information without a student's further prior written consent.

(a) The student's name.

(b) The student's telephone number and local address.

(c) The student's major field of study.

(d) The student's extracurricular participation.

(e) The student's achievement and academic awards or honors.

(f) The weight and height of members of athletic teams.

(g) The student's photograph.

(h) Years of attendance and terms enrolled.

(2) Early in the fall semester, the university will publish via electronic mail the items which it proposes to designate as directory information.

(3) After the students have been notified by the announcement via electronic mail, the student will be able to change online or submit the appropriate form to the office of the university registrar for any or all of the items they do not wish designated as directory information about themselves. If students request a change in their list of designated directory information, this change shall only be effective from the date they submit their signed request or online changes.

(4) When a student's refusal to permit the university to designate an item of information as directory information about the student is made, a "FERPA" restriction will notify the appropriate custodians of records of the student's action. No further disclosures of those items of information about the student will be disclosed without the student's prior written consent except to parties who have legal access to student records without legal consent.

(G) Records of request for access to and disclosures made from education records.

(1) All requests for disclosures of information contained in a student's education record or for access to the record (made by persons other than university officials or the student) or those requests accompanied by the student's prior written consent will be submitted to the "FERPA" coordinator. The "FERPA" coordinator will approve or disapprove all such requests for access and disclosures and, except for requests for directory information, will maintain in his or her office a record of these actions. This record will be the university's record of request and disclosures from education records as required by the code of federal regulations promulgated under "FERPA."

(2) This record of request for and disclosures made from education records will be available only through the "FERPA" coordinator or the record custodians, the student or through federal, state or local officials for the purposes of auditing or enforcing the conditions for federally supported educational programs.

(3) The record will include at a minimum

(a) The name of the person or agency that made the request

(b) The interest the person or agency had in the information

(c) The date the person or agency made the request

(d) Whether the request was granted and, if it was, the date access was permitted or the disclosure was made.

(4) The university shall maintain this record of disclosure as long as it maintains the education record.

(H) Procedures for correction of education record.

(1) The university encourages students to periodically inspect and review their education records to make certain the records correctly reflect their academic progress and other achievements. The university will permit students to challenge the content of their education records to insure that the records are not inaccurate, misleading or otherwise in violation of the privacy or other rights of students.

(2) For the purpose of outlining the procedures to seek to correct education records, the term incorrect will be used to describe a record that is inaccurate, misleading or in violation of the privacy or other rights of students. Also, in this section, the term requestor will be used to describe a student or former student who is asking the university to correct a record.

(3) If a student or former student discovers an incorrect item in his or her education record, the student should informally discuss the problem with the record custodian. If the custodian finds the record is incorrect because of an obvious error, and it is a simple matter to correct to the satisfaction of the request or, the custodian may make the change.

(4) If the custodian cannot change the record to the requestor's satisfaction or the record does not appear to be obviously incorrect, the custodian will:

(a) Provide the requestor a copy of the questioned record at no cost.

(b) Ask the requestor to initiate and provide the custodian a written request for the change.

(5) The written request should at least identify the item the requestor believes is incorrect and state whether it:

(a) Is inaccurate and why.

(b) Is misleading and why.

(c) Violates the privacy or other rights of the student and why.

(6) The requestor must date and sign the request.

(7) The record custodian will then add material to support his or her refusal to change the record pursuant to the request and send it to the "FERPA" coordinator. The "FERPA" coordinator will examine the request, discuss it with appropriate university officials, the university's general counsel and other persons who might have an interest in the questioned item. At the conclusion of the investigation, the "FERPA" coordinator will summarize his or her findings, make a recommendation for the university's action, and deliver the request, the custodian's statement, the summary of findings, and the recommendation of the "FERPA" coordinator to the university's president or its designee.

(8) The university president or its designee will then instruct the "FERPA" coordinator whether the record should or should not be changed in accord with the request. If the decision is to change the record, the "FERPA" coordinator will advise the custodian to make the change. The custodian will then advise the requestor in writing when the record has been changed and invite the requestor to inspect the corrected record.

(9) If the university's decision is that the record is correct and should not be changed, the "FERPA" coordinator will prepare and send the requestor a letter stating the decision. The letter will also provide the requestor with:

(a) The university's decision not to change the record.

(b) A copy of the summary of the evidence as forwarded to the "FERPA" coordinator and a written statement of the reasons for the university's decision.

(c) Advice that he or she may place in the record his or her explanatory statement giving any reasons he or she may have for disagreeing with the university's decision and the basis for his or her belief that the record is incorrect.

(d) Notice that he or she may request a hearing.

(10) The "FERPA" coordinator will report to the university president or its designee if the requestor asks for a hearing and recommends a hearing officer, time and place. The president or its designee will formally appoint a hearing officer and advise the "FERPA" coordinator of the appointment. The "FERPA" coordinator will then arrange for the place, set a time for the hearing, and notify the requestor of the arrangements.

(11) At the hearing, the requestor will be allowed a full and fair opportunity to present evidence and testimony to support his or her belief that the challenged material in his or her education record is inaccurate, misleading or in violation of the privacy or other rights of students. The university reserves the right to challenge evidence and cross-examine witnesses, and it will allow the requestor to challenge evidence it presents and cross-examine witnesses called in the hearing.

(12) Within two weeks after the hearing, the hearing officer will prepare a summary of the evidence presented at the hearing and make a recommendation, based solely on evidence presented at the hearing, concerning the request to change the record. The hearing officer will present the summary of the evidence and a recommendation to the university president or its designee.

(13) The university president or its designee will advise the "FERPA" coordinator of the university's decision and provide the coordinator with a copy of the summary of the evidence presented at the hearing.

(14) If the university's decision is that it should change the student's record, the "FERPA" coordinator will advise the record custodian to make the change. The coordinator will then advise the requestor in writing outlining the exact changes which the custodian will make.

(15) If the university decides that it will not change the record, the "FERPA" coordinator will provide a written notice to the requestor. That notice will include:

(a) The university's decision not to change the record.

(b) A copy of the summary of the evidence presented at the hearing and a written statement of the reasons for the university's decision.

(c) Advice to the requestor that he or she may place in the record his or her explanatory statement giving any reasons he or she may have for disagreeing with the university's decision and the basis for his or her belief that the record is incorrect.

(16) When the university received an explanatory statement from a requestor after a hearing, it will maintain the statement as part of the student's education record as long as it maintains the questioned part of the record. Whenever the questioned part of the record is disclosed, the explanatory statement will also be disclosed.

(I) Availability of policies.

A copy of this policy will be available for student review in the office of general counsel of the university. Free copies will be made available to students upon request to the "FERPA" coordinator.

Replaces: 3359-11-08

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 08/27/96, 01/06/98, 05/03/99, 01/17/03, 05/28/05, 06/25/07, 03/24/08

3359-11-09 World wide web (WWW) information publishing.

(A) Introduction.

(1) This world wide web (WWW) information publishing policy shall apply to all web servers and personal home pages within the university's internet domain in addition to the official servers and official home pages of the units of the university.

(2) The university of Akron recognizes that full implementation of world wide web technology for information delivery and instruction on and off campus requires flexible conventions. Flexibility is needed to allow creation of a consistent and comprehensive network of distributed media. These conventions must provide a centralized framework that promotes open access and ease of navigation without stifling the individual creativity and vision of the WWW developers on campus. Contents of all pages must be consistent with university policies and in accord with federal, state and local laws.

(3) The university recognizes that the promotion of learned discourse requires the tolerance of a wide range of viewpoints. Individual faculty and students have a right to expect that their academic freedom of thought and expression will be respected on the world wide web just as it is in speech and writing.

(4) In order to promote user access to home pages it is recommended that each main home page and major sub-home page have index entries and meta search terms.

(B) Responsibility.

(1) Unit pages.

The head of the particular unit has responsibility for developing and maintaining that specific unit's pages including ensuring that content is accurate, up-to-date, and in conformance with university standards.

(2) University pages.

Vice president for information technology and CIO.

(3) Policy enforcement.

Vice president for information technology and CIO.

(4) Policy development.

A committee appointed by the provost and chaired by the vice president for information technology and CIO with broad representation by the academic and nonacademic units of the university will develop world wide web policies. The committee continuously reviews the policies for appropriateness since these policies govern a new and dynamic method of communications. This committee will assist the provost with regard to issues that may affect the world wide web at the university of Akron. Committee membership includes one person from the faculty senate's computing and communications technologies committee, and the university libraries committee.

(C) Official university web pages.

(1) Guidelines.

(a) The name "The University of Akron" must appear on each official unit home page and in full or part in the <title> tag along with the unit's name.

(b) Online access is provided to a standard set of styles for the university of Akron or UA seal, logo, graphic devices, emblems and other artwork.

(c) The university of Akron maintains a library of standard styles for the following information, which shall appear in unit home pages:

(i) Links to college and home page of the university of Akron should appear at the bottom of the page.

For non-academic units the links should be to the parent unit and to the university of Akron.

(ii) The university of Akron equal education and employment opportunity statement must appear at the bottom of the unit's home page.

The university of Akron is an equal education and employment institution.

(iii) A copyright statement.

Each home page should contain a copyright statement (1996 by the university of Akron). If original material is included on a web page or other electronic pages (e.g., by a faculty member), include an appropriate copyright notice.

(iv) An e-mail address.

Each web page must contain the e-mail address of the person(s) responsible for maintaining the page.

(v) The date of the last update.

Each web page must have the date of the last update of the page.

(D) Personal home pages.

Home pages are a tool for communicating about ourselves as a campus as well as our personal and professional interests. Faculty, students, and staff are encouraged to explore the use of the web by creating personal home pages. Personal home pages are not official information. They will be housed on campus servers with the following cautions:

Guidelines.

(1) The university of Akron servers.

Servers must not be used:

(a) to promote business enterprises:

(b) to violate copyright laws: or

(c) violate any other state or federal laws that may apply.

(2) The university of Akron or UA seals, logos, graphic devices, or emblems must not be used without proper permission.

For guidelines on the use of these emblems, contact the department of university communications, (faculty manual paragraph (c)(3) of rule 3359-20-057 of the Administrative code ).

(3) University resources.

Personal home pages should not create a volume of network traffic or computer system load that disrupts or interferes with the normal activities of the university community.

(4) Each web page must contain.

(a) The name and e-mail address of the person(s) responsible for the maintenance of the page.

(b) The date of the last update of the page.

(c) The following disclaimer: (The views and opinions expressed in this page are strictly those of the page author. The contents of this page have not been reviewed or approved by the university of Akron.) For further protection of the university and the individual, please see the sample disclaimers that may be used. See the online sample disclaimers.

(E) Web pages of registered student organizations.

(1) Registered student organizations are encouraged to explore the web by creating home pages for their organizations. Student organization home pages are not official information. They will be housed on campus servers, and linked to by the office of student development with the following cautions:

Guidelines.

(a) The university of Akron servers.

Servers must not be used to promote business enterprises: to violate copyright laws: or to violate any other state or federal laws that may apply.

(b) The university of Akron, its seals, logos, graphic devices, or emblems must not be used without proper permission.

For guidelines on the use of these emblems, contact the department of university communications (faculty manual paragraph (C)(3) of rule 3359-20-057 of the administrative code ).

(c) University resources.

Registered student organizations' home pages should not create a volume of network traffic that disrupts or interferes with the normal activities of the university community.

(e) Each web must contain:

(i) The name and e-mail address of the person responsible for the maintenance of the web page.

(ii) The date and last update of the page.

(iii) Links to the home page of the university of Akron and the office of student development, at the bottom of the page.

(iv) A statement that the registered student group does not discriminate on the basis of race, color, religion, disability, sexual orientation, national origin, sex or age.

The following disclaimer must appear at the top of the page: The views and opinions expressed in this page are solely those of the page author. The contents of this page have not been reviewed or approved by the university of Akron.

(2) Links to registered student organization home pages by the office of student development.

Only those registered student organizations with web pages resident on the university of Akron's servers may be linked by the office of student development's home page.

(3) Annual verification of identity for individuals maintaining registered student organization web pages.

(a) The individual responsible for the maintenance of the page must be identified within the annual registration form for recognized student organizations verifying their name and e-mail address and the student organization's website address. Such statement and verification shall occur within the first month of fall semester.

(b) If the registered student organization fails to annually verify the name and e-mail address of the person responsible for the maintenance of the organization's web page and its web site by the registration deadline, the web page will be deactivated until the annual registration form has been completed.

(F) Definitions.

(1) Home page. Refers to the top level page usually associated with index. html or welcome. html.

(2) Web page. Refers to any html file.

(3) Electronic page. Refers to any other type of page (e.g., pdf documents) that can be viewed from the WWW.

(4) Unit. A college, a department, a school, or other academic or administrative part of the university.

Replaces: 3359-11-09

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 01/13/97, 07/07/99, 06/25/07

3359-11-10 Access and acceptable use of university computer and informational resources.

(A) Authority.

The university of Akron is the legal owner or operator of all university "IT" systems, university "IT" resources and university information stored on those systems and resources.

(B) Definitions and functions.

(1) "IT". "IT" means information technology.

(2) "Systems Authority." "Systems Authority" is the head of a specific subdivision, department, or office of the university who is responsible for oversight of particular "IT" systems, as delegated through the applicable organizational structure. This authority may be delegated through the applicable organizational structure.

(3) "Systems Administrator." "Systems Authorities" may designate another person or persons for purposes of system administration as "System Administrator" to manage the particular system assigned to him or her. "Systems Administrators" oversee the day-to-day operation of the system and are authorized to determine who is permitted access to particular IT resources.

(4) "Certifying Authority." College deans, in the case of colleges, and the appropriate vice president, in the case of university administrative units, have "certifying authority" within their area of responsibility, and are thus responsible for certifying the appropriateness and accuracy of an official university document for electronic publication in the course of university business.

(5) "Information Owner." "Information Owners" are those individuals in a specific subdivision, department, or office of the university who have custody of the record information and who are accountable for its use and misuse. These individuals are often referred to as record custodians. "Information Owners" are authorized to determine who is permitted access to particular "IT" resources.

(6) "IT" systems. "IT" systems are the electronic information processing, storage, and transmission systems, which include but are not limited to, the computers, terminals, printers, peripherals, PDAs and other portable devices, networks, modem banks, online and offline storage media and related equipment, software, and data files that are owned, managed, or maintained by the university of Akron. "IT" systems also include, but are not limited to, institutional and departmental information systems, faculty research systems, desktop computers, the university's campus network, and university general access computer clusters.

(7) "IT" resources. "IT" resources are the electronic facilities and electronic access codes and accounts made available to university faculty, staff, contract professionals, students and approved guests, and include but are not limited to computers, networks, telephones, and information.

(8) Specific authorization. Specific authorization is documented permission provided by the applicable "Systems Administrator," "Information Owner," or "Certifying Authority."

(C) Scope. The access and acceptable use policies and related policies from this chapter apply to all "IT" users at the university of Akron and to all "IT" systems and "IT" resources at the university of Akron.

(D) Privileges and responsibilities.

(1) The university of Akron provides "IT" resources and "IT" systems to the university community primarily to serve the interests of the University and its students in the course of normal operations. The provision of such services is in keeping with its academic, instructional, research, administrative and public purpose. Access and usage that do not support the university purpose are subject to restriction and regulation to avoid interference with university work and other applicable directives. All users are obligated to abide by university directives, policies and regulations regarding usage.

(2) Use of and access to "IT" systems and "IT" resources is a privilege, not a right.

Except as indicated below, the university does not seek to monitor the communications amongst its many and varied users. The university serves to transmit communications on its "IT" systems and "IT" resources from the senders to intended recipients. Users should not expect any right of privacy in the use of university "IT" systems or "IT" resources since the university may be compelled under public records law, subpoena, investigation, or other law to release information transmitted through the university "IT" systems and "IT" resources. Additionally, the university reserves the right to monitor, review, and release any such communications as necessary for purposes of security, public safety, or other situations such as suspected disruption to "IT" systems or other shared resources or suspected violations of university rules or procedures or local, state, or federal law. Accordingly, the university reserves the right to make rules and procedures that govern users' access and use.

(3) The university is covered by several federal and state laws and regulations regarding information privacy and security and is committed to protecting the confidentiality, integrity, and availability of all such sensitive and confidential information, including, but not limited to, protected health information and customer information. Therefore, effective "IT" security is the responsibility of every university "IT" user, and every "IT" user is responsible for knowing the rules related to access and acceptable use, privacy, and security.

(E) Acceptable access and use standards.

(1) Users are expected to use "IT" resources and "IT" systems in a responsible and efficient manner consistent with the instructional, research, and administrative goals of the university of Akron. The particular purposes of any "IT" system or "IT" resource, as well as the nature and scope of authorized, incidental personal use may vary according to the duties and responsibilities of the user.

(2) Use of university "IT" resources and "IT" systems must comply with Ohio law and university policies and directives.

(3) Users are entitled to access only those elements of "IT" systems that are consistent with their specific authorization. Consistent with the organizational structure, "System Authorities," "System Administrators," and "Information Owners" will authorize access to specific systems based on the individual's need to know, the individual's unit, the type of data involved, and the intended use of the information.

(F) Misuse.

Privileges of usage may be denied or removed for the following:

(1) Use that is harassing or threatening to others, or use that violates others' privacy.

(2) Potentially destructive or damaging acts to the integrity of the university of Akron's or other "IT" systems, including, but not limited to:

(a) Attempts to defeat system security.

(b) Knowing distribution of malware (software designed to infiltrate or damage a computer system without the owners informed consent) or malicious code.

(c) Causing disruption, congestion, or security breaches of network communications.

(d) Engaging in port scanning or security scanning.

(e) Executing any form of "IT" system or "IT" resource monitoring that will intercept data not intended for the user's authorized use, unless this activity is part of the user's normal job or duty at the university.

(f) Modification or removal of data or equipment.

(g) Use of unauthorized devices.

(h) Making "IT" systems or resources available to unauthorized users.

(i) Unauthorized copying of confidential or sensitive data without the permission of the information technology security officer.

(j) Revealing account password or other authentication methods to others or allowing use of university accounts by others, including family members.

(k) Circumventing user authentication or security of any "IT" system or resource.

(l) Use in violation of law.

(3) Use in violation of university contracts.

(4) Disruption or performing unauthorized monitoring of electronic communications.

(5) Unauthorized access or use, which may include, but is not limited to:

(i) Improper access and use of information beyond the individual's authority;

(ii) Attempts to defeat system security;

(iii) Disguised use; or

(iv) Unauthorized sharing of passwords.

(6) Misuse of e-mail, such as, but not limited to:

(a) Sending unsolicited e-mails to a large number of recipients, i.e. sending spam-mail or unwanted chain letters.

(b) Soliciting for personal financial gain.

(7) Committing crimes or prohibited acts, including but not limited to the following. [Note: Illegal acts involving the university of Akron informational resources facilities may also be subject to prosecution by state and federal authorities].

(a) Use of "IT" systems or "IT" resources for purposes unrelated to the mission of the university.

(b) Violating the rights of any person or company protected by copyrights or other intellectual property, or software license agreements, which shall include, but not be limited to installation, distribution or copying of technology products/services or copyrighted material for which the user does not have a license.

(c) Exporting software or technical information in violation of international or regional export control laws.

(d) Academic dishonesty, including, but not limited to, plagiarism and scientific misconduct, as provided in university rule 3359-11-17.

(8) Use that impedes, interferes with, impairs, or otherwise causes harm to the activities of others.

(9) Use that is inconsistent with or that jeopardizes the university of Akron's non-profit status, use for personal gain, use for personal financial gain, and use for promotion of business enterprises.

(G) Procedures for implementing penalties, appeal of administrative decision.

(1) Individuals given the privilege to use "IT" systems and "IT" resources are expected to abide by this and other applicable university of Akron policies, regulations, directives and guidelines. Disregard of this and other applicable policies, regulations, directives and guidelines subjects the user to applicable disciplinary procedures.

(2) Procedures for review of improper access and use.

(a) Procedure for revocation of privileges:

(i) The vice president and chief information officer shall designate a representative who shall collaborate with others as appropriate to review and receive complaints about violations of this policy, and other applicable policies governing computer and informational resources. This designated representative shall have authority to take actions concerning violations of access and use standards, which include, but are not limited to:

(a) Warn users of violations (transmitted electronically or in writing to the user).

(b) Temporarily deny access or suspend usage, based on seriousness of the violation or recurrent violations of other prohibited access and use standards.

(c) Deny access or suspend privileges for a definite time.

(d) Terminate access and privileges for an indefinite time.

(e) Deny access to non-members of the university community whose actions affect or pose a threat to the university.

(ii) To the extent reasonably practicable, warnings will be used to instruct users who may be prone to mistakes, especially while learning new software. Privilege suspension shall only be used for serious or repeated violations of pertinent university rules, regulations, and directives.

(iii) The university at all times reserves the right to take any immediate action necessary to protect the integrity of university "IT" systems and "IT" resources, with or without notice.

(b) Appeal of an administrative decision:

Appeal of a decision made by the designated representative shall be made to the vice president and chief information officer. Thereafter, further appeal may be made to the senior vice president and provost and chief operating officer.

(3) Violations beyond misuse of "IT" systems and "IT" resources will be referred to and addressed by the appropriate office.

Replaces: 3359-11-10

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 01/13/97, 11/06/06

3359-11-10.3 Information technology security and system integrity policy.

(A) Need for security and integrity.

The university abides by and honors its long history of supporting the diverse academic values and perspectives engendered in its academic culture, and the university deeply respects the freedom of expression and thought of its users. Although the university does not censor its users' work, exceptional situations may arise where it becomes necessary to protect the integrity and security of university information systems and to provide for effective operation of these systems. The university must, therefore, reserve the right to limit use and access to certain of its computing systems where the university becomes aware of serious violations with respect to its rules and policies, or with respect to applicable federal, state, or local laws and regulations.

This rule provides for information technology system security and integrity. For purposes of this rule, information technology includes computing networks at the university of Akron, which enable communication amongst computing devices as provided by or supported by the university. The security and integrity of information technology shall be protected through a set of priorities with which the university seeks to:

(1) Protect human life and people's safety.

(2) Protect information systems and prevent the unauthorized exploitation of classified or sensitive data, systems, networks or sites.

(3) Protect information systems and prevent the unauthorized exploitation of other data, including proprietary, scientific, managerial and research data.

(4) Prevent any damage to or alteration of information technology hardware or software.

(5) Minimize any disruption of computing resources and processes.

(B) Information technology security officer.

The chief information officer (CIO) shall appoint an information technology security officer ("ITSO") to implement the information technology security program at the university of Akron. The "ITSO" shall seek to assure that information technology is secure at the university and shall be responsible for the following duties:

(1) Providing for network security by seeking to preclude misuse of the university's network to gain or attempt to gain unauthorized access to any system;

(2) Providing for and implementing, in cooperation with the information technology security policy committee, a written system to investigate any violations or potential violations of this policy or any policy regarding system security and integrity, individually or in cooperation with any appropriate university, law enforcement, or investigative official;

(3) Enforcing the provisions of this rule;

(4) Keeping a record of system integrity problems and incidences;

(5) Taking such emergency action as is reasonably necessary to provide system control where security is deemed to have been lost or jeopardized;

(6) Performing periodic security surveys;

(7) Performing checks of network systems to assess system security and integrity, as well as to determine the use or placement of illegal or improper software or equipment;

(8) Disposing of software or equipment, through appropriate methods, that university officials deem to be legal or proper where such equipment is not attached to or accessing university network systems;

(9) Ensuring processes are in place to remove all data before equipment is disposed or redeployed;

(10) Training personnel who work with university network systems;

(11) Keeping copies of all records and reports necessary to implement this rule;

(12) Coordinating and consulting with the office of general counsel, the office of the VPCIO and the information technology security policy committee;

(13) Implementing decisions of the university concerning security; and

(14) Providing reports directly to the CIO and the respective vice president in any area where any security violation or potential challenge to security occurs.

(C) Information technology security policy committee.

(1) The CIO shall appoint an information technology security policy committee ("ITSPC") consisting of at least one member from each of the divisions represented by a vice president at the university.

(2) The "ITSPC" shall, in coordination with the "ITSO," recommend written policies and procedures necessary for assuring the security and integrity of information technology at the university of Akron. Additionally, the "ITSPC" shall coordinate with the "ITSO" in creating and implementing a written system to investigate any violations or potential violations of this policy or any policy regarding system security and integrity.

(3) Review actions taken by the "ITSO."

(4) The "ITSO" shall be a permanent member of the "ITSPC."

(D) Compliance with system security and integrity; noncompliance and enforcement; reservation of authority and rights.

(1) All university personnel shall cooperate fully with the university "ITSO" and the "ITSPC."

(2) The university reserves the right to take all necessary actions to prevent its network and computing infrastructure from being used to attack, damage, harm or improperly exploit any internal or external systems or networks.

(3) The university reserves the right to take all necessary actions to protect the integrity of its network, the systems attached to it, and the data contained therein.

(4) Violations of federal, state, or university regulations, or any laws respecting information technology will be considered serious matters that may warrant loss of applicable privileges, fines, or more serious action as necessary, including but not limited to appropriate disciplinary action.

(E) Network security and implementation guidelines.

(1) Use of the university's network to gain or attempt to gain unauthorized access to any system or information is prohibited.

(2) Unauthorized network devices may not be attached to the university's network.

(a) An unauthorized network device is any device which, when attached to a packet switched network, enables or facilitates the flow of data for which the device is neither the authorized originator or authorized destination.

(b) Interference with network devices or their functionality is prohibited.

(3) Devices that provide routing service or functionality, or that generate any type of routing protocol traffic, may not be attached to the university's network without justification and the director of network and communications services' prior approval.

(4) Users may not modify the topology of the university's network without prior approval.

(a) The installation of network cables, access points, switches, routers or other communications equipment by department staff and students is prohibited, without the prior approval of the director of network and communication services.

(b) Telecommunications is the only authorized manager of cable installation.

(5) Network servers.

(a) All network servers and server services must be registered with the server systems group.

(b) The server systems group in the ITS Division will have administrative access to all servers connected to the network to maintain operating system patches and anti-virus software required to protect the university.

(c) Unless arrangements have been made with the server systems group, all network connections are considered to be client connections. Client connections are connections that offer no services, computing resources or data resources to the public internet.

(6) Network applications and protocols that are not essential to carrying out the mission of the university or to the conduct of university business are neither specifically permitted nor specifically prohibited. Should such an ancillary application or protocol become a risk to the security of the university's computing infrastructure, its use may be restricted or blocked as deemed appropriate or necessary, without prior notice.

(7) The use of anonymous or generic "IDs" to provide general login access to university network services is prohibited. This prohibition may not apply when access is otherwise strictly controlled and limited to specific services.

(8) Attempts to bypass or circumvent the university's policies on network security or their implementation are prohibited.

(9) By connecting to the university's network, users consent to the university's use of both active and passive systems to assess the security of the university's network and all devices connected to it.

(a) Systems that appear to be compromised or that present an immediate risk to the security of the university's computing infrastructure may be disconnected as deemed necessary without prior notice.

(b) Those systems not deemed to be high risk will be given ample time to correct the problems.

(10) The university of Akron will make a good faith effort to protect the integrity of all data which traverses its network but does not guarantee its privacy.

Effective: 6/27/2016
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 06/09/03, 06/25/07, 01/31/15

3359-11-10.4 Customer information security policy.

(A) Introduction.

(1) The university of Akron is committed to respecting and protecting the privacy of non-public customer information. The purpose of the policy outlined in this document is to enable appropriate university officials to implement a comprehensive written information security program and comply with the provisions of the federal trade commission's safeguard rules implementing applicable provisions of the Gramm-Leach-Bliley Act.

(2) This policy incorporates by reference the institution's policies and procedures found in rule 3359-11-08 of the Administrative Code related to policies and procedure for student records and rule 3359-11-10.3 of the Administrative Code related to information technology security and system integrity, and is in addition to any institutional policies and procedures that may be required pursuant to other federal and state laws and regulations, including but not limited to the Family Educational Rights and Privacy Act.

(B) Scope. This policy and its corresponding comprehensive written information security program apply to any record containing non-public financial information about a customer who has a relationship with the university, whether in paper, electronic or other form, that is handled or maintained by or on behalf of the university or its affiliates.

(C) Definitions

(1) Customer. A customer is any individual who receives a financial service from the university and who, in the course of receiving that financial service, provides the university with non-public financial information about themselves. Customers may include, but are not limited to, students, parents, faculty, staff and other third parties with whom the university interacts.

(2) Customer information. Customer information means any non-public financial information about a customer that is handled or maintained by or on behalf of the university or its affiliates.

(3) Non-public financial information. Non-public financial information means any information:

(a) A customer provides in order to obtain a financial service from the university;

(b) About a customer resulting from any transaction with the university involving a financial service;

(c) Otherwise obtained about a customer in connection with providing a financial service to that customer; or

(d) Any list, description or other grouping of customers (and publicly available information pertaining to them) that is derived using any information listed in this rule that is not publicly available.

(D) Information security program coordinator.

(1) The president shall appoint an information security program coordinator to implement, coordinate and oversee the information security program at the university of Akron. The "ISPC" shall seek to assure that customer information is secure at the university and shall be responsible for the following duties:

(a) Designing and implementing, with the assistance of the university's information technology security officer ("ITSO") appropriate individuals in the affected offices of the university and any other individuals the "ISPC" deems appropriate, safeguards, systems, procedures and protocols, which, together with this rule, shall comprise the university's comprehensive written information security program:

(b) Assisting the "ITSO." human resources and the relevant offices of the university in identifying reasonably foreseeable internal and external risks to the security, confidentiality and integrity of customer information that could result in the unauthorized disclosure, misuse, alteration, destruction or other compromise of such information, by considering the following factors:

(i) Employee training and management:

(ii) Information systems, including network and software design, as well as information processing, storage, transmission and disposal: and

(iii) The university's ability to detect, prevent and respond to attacks, intrusions or other system failures.

(c) Assessing the effectiveness of the current safeguards, systems and procedures for controlling identified risks to the security, confidentiality and integrity of customer information:

(d) Designing and implementing additional information safeguards, systems or procedures necessary to control identified risks to the security, confidentiality and integrity of customer information:

(e) Monitoring and testing the effectiveness of customer information safeguards, systems and procedures at regular intervals:

(f) Coordinating with those responsible for third party service procurement activities for affected departments to raise awareness of, and to institute methods for, selecting and retaining only those service providers that are capable of maintaining appropriate safeguards for customer information to which they will have access;

(g) Evaluating and revising the university's comprehensive written information security program in light of the results of the testing and monitoring of the university's comprehensive written information security program, any material changes to the university's operations or business arrangements or any other circumstances that the "ISPC" knows or has reason to know may have a material impact on the university's information security program;

(h) Coordinating with the "ITSO" and appropriate individuals in the relevant offices of the university to respond to perceived breaches of the security of customer information, if such breach should occur; and

(i) Coordinating with the office of general counsel, human resources and the "ITSO" to provide training regarding customer information security practices and procedures to faculty, staff and students as the "ISPC" deems necessary.

(E) Service providers.

(1) The university shall only select and retain service providers that are capable of maintaining appropriate safeguards for the customer information to which they will have access.

(2) The university shall require, by contract, service providers who have access to customer information to implement and maintain appropriate safeguards for that customer information.

(3) Any deviation from the service provider requirement shall require the office of general counsel's prior approval.

(4) The service provider requirements shall apply to all existing and future contracts entered into with third party service providers who have access to customer information, provided that amendments to contracts entered into prior to June 24, 2002 are not required to be effective until May 2004.

(F) Compliance.

All university personnel shall cooperate fully with the university "ISPC."

Replaces: 3359-11-10.4

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 06/09/03, 06/25/07

3359-11-10.5 Cellular telephone and other wireless communication policy.

(A) University-provided wireless communication.

(1) Purpose and scope.

(a) The university of Akron will provide the most consistent, convenient, and cost effective cellular telephone, pager, cellular data device and any other wireless communication equipment and services (hereinafter referred to as wireless communication) possible to its employees that is necessary for the effective and efficient completion of their jobs.

(b) This policy applies to all faculty and staff of the university. The objectives of this policy are to:

(i) Provide guidelines to employees who are required to have wireless communication to be accessible to conduct university business.

(ii) Apply standards to university wireless communication service agreements.

(iii) Simplify and make more manageable the university's relationship with wireless communication vendors.

(iv) Provide a system for monitoring wireless communication usage patterns, so that plans can be routinely modified to better meet the needs of the user.

(v) Ensure that the university's acquisition of wireless communication is cost-effective.

(vi) Provide an internal system to:

(a) Purchase wireless communication,

(b) Gain access to repair services,

(c) Acquire necessary training and support,

(d) Communicate available programs to the university community.

(vii) Establish a system for monitoring future developments in wireless communication and selecting those that best meet the needs of the university.

(2) Wireless communication vendors.

To facilitate accomplishment of the above objectives, the university may at its discretion enter into contracts with wireless communication providers. During the period when one or more of these contracts is in force, the university will only purchase wireless communication on the basis of these contracts. Specific exceptions to compliance with this section shall be granted by the vice president of finance and administration.

(3) Eligibility and approval.

(a) Wireless communication may be provided to a university employee if his/her duties and responsibilities are such that they require such equipment and service to conduct university business in the most effective and efficient manner.

(b) Eligibility must be approved by the employee's supervisor and the departmental vice-president; a signed requisition form must be submitted to the department of telecommunications. Supervisors will approve an employee's continued eligibility on an annual basis. If business use is infrequent (or if the service is used primarily for personal reasons), the employee should provide his/her own wireless communication.

(c) An employee may not operate a personal business from university wireless equipment.

(4) Wireless user categories.

(a) Employees with university subsidized wireless service will be placed in one of two usage categories. The selection of the appropriate category will be a joint decision between the employee and supervisor with the approval of the department vice-president. Categories are based on the anticipated amount of university and personal usage and reflect the employee level of fiscal responsibility.

(i) Category 1: university business only: Usage is limited to university business only and none of the usage is personal in nature. No employee contribution is warranted.

(ii) Category 2: periodic personal use: In addition to university business, these users periodically use their wireless service for personal business. Employee contribution is the percentage of the wireless plan used for personal business via monthly payroll deduction. The percentage of the wireless plan used for personal use shall not exceed three per cent.

(b) The employee will identify personal cellular usage each month and submit to his/her supervisor. It is the joint responsibility of the employee and supervisor to ensure that proper usage levels are maintained based on the employee's category designation. If an employee's personal usage repeatedly exceeds the category allocation, the university may find it necessary to change that employee's category.

(c) In accordance with "IRS" documentation requirements, departments must retain wireless communication bills and be able to distinguish between business and personal use.

(5) Plans, equipment, features and accessories.

The university will contract for usage plans, equipment, features and accessories that will serve the needs of most employees. An employee wishing to have features other than those offered in the available programs must have approval of his or her supervisor.

(6) Damage, loss or theft.

Wireless equipment damaged in the course of business should be brought to the department of telecommunications for replacement or repair. Lost or stolen equipment should be immediately reported to the employee's supervisor, campus police, and the department of telecommunications so that the service can be suspended. All costs incurred for replacement or repair are the responsibility of the employee's department.

(7) Wireless communication service provider relationship management.

(a) The relationship with wireless communication providers shall be managed through the department of telecommunications.

(b) Telecommunications staff will place all service requests, take delivery of equipment, and provide necessary user orientation and training. Telecommunication staff will monitor plans and may suggest changes in service levels to provide the most convenient and economical plan to the university.

(c) The department of telecommunications will also monitor changes in wireless technologies and make recommendations for improvements to the university on an as-needed basis.

(8) Termination.

University-provided wireless equipment is university property and must be returned upon termination of employment with the university. If the wireless equipment is not returned, the cost will be reported as taxable income on the employee's "W-2" form.

(B) Individually-owned wireless communication.

If an employee's need for wireless communication is infrequent, or if it is determined that the use of university-provided wireless communication is used primarily for personal reasons, the employee should provide his/her own wireless communication. The employee will submit reimbursement requests for documented university use. If an employee exceeds the total monthly plan minutes or incurs roaming fees which result in an additional expense, reimbursement will include overage charges associated with business use. Requests for reimbursements for university business use will be made on a quarterly basis and must be a minimum of five dollars.

(C) Use of wireless communication while driving.

All employees are strongly discouraged from using wireless communication for business purposes while driving, particularly if the individual does not have a way of operating the phone "hands-free." Wireless communication usage while driving should only occur in an emergency situation. Departments may issue more restrictive policies if they choose.

Replaces: 3359-11-10.5

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 07/03/05, 06/25/07

3359-11-10.6 Social security number use policy.

(A) Introduction.

The university of Akron is dedicated to ensuring the proper handling of confidential information relating to its students, employees, and individuals associated with the university. The university understands that social security numbers are highly confidential and legally protected data. This policy establishes an official policy to migrate from using the social security number as a common identifier, by establishing regulations regarding the university's collection, maintenance, and distribution of social security numbers.

(B) Policy purpose.

To reduce, where necessary, the use of and reliance on social security numbers for identification purposes and for the following other purposes:

(1) To protect the privacy and legal rights of the members of the university community.

(2) To generate broad awareness of the confidential nature of the social security number.

(3) To foster compliance with the Family Educational Rights and Privacy Act and the Privacy Act of 1974.

(4) To promote confidence by students and employees that social security numbers are handled in a confidential manner.

(C) Policy.

(1) It is the university of Akron's policy that the use of the social security number as a common identifier and the primary key to databases be discontinued, except where required for employment, financial aid, and a limited number of other business transactions. If required, social security numbers can be added as an additional field and/or secondary key in a database, if approved by the appropriate social security number administrator.

(2) Disclosure statements will be provided whenever a social security number is requested, in compliance with the Federal Privacy Act of 1974.

(D) Procedures/regulations.

(1) A unique identification number shall be assigned to all students, employees, and other individuals associated with the university. This university ID shall be assigned at the earliest possible point of contact between the individual and the university. The ID shall be used as the campus ID Card identifier and shall be used in all future electronic systems and on paper documents to identify, track, and provide service to individuals associated with the university. It shall be permanently associated with the individual to whom it is originally assigned. The ID shall be jointly maintained and administered by the registrar, department of residence and the division of information technology services (ITS).

(2) Personal information shall not be publicly posted or displayed in a manner where either the university ID or the social security number identifies the individual associated with the information.

(3) Encryption of social security numbers is required between server and client workstations and whenever data is transmitted over unsecured networks.

(4) All documents (paper and electronic) and any storage media containing social security numbers shall be disposed of in a timely and secure fashion consistent with the university's record retention policy.

(5) Except in those cases where the university is required to collect a social security number, individuals shall not be required to provide their social security number, verbally or in writing, at any point of service, nor shall they be denied access to those services should they refuse to provide a social security number. Individuals may volunteer their social security number if they wish, however, as an alternate means of locating a record.

(6) The university shall release social security numbers to entities outside the university (contractors, vendors, service providers) as allowed by law or when the individual grants such permission. University contracts with outside entities shall include, if relevant, language identifying the responsibility and restrictions on the use of social security numbers by the third party.

(7) Social security numbers may continue to be stored as a confidential attribute associated with an individual. The social security number shall be used as allowed by law; and as an optional key to identify individuals for whom an ID is not known.

(8) The university division of finance and administration shall assign an existing administrator to oversee social security number use relating to employees and other individuals (anyone other than students, prospective students, parents, and alumni) associated with the university. The division of student affairs shall assign an existing administrator to oversee social security number use relating to students, prospective students, parents and alumni.

(9) All university forms and documents that request social security numbers shall include an approved disclosure statement, and shall indicate whether the request is voluntary or mandatory. Existing forms and documents shall be modified as they are reprinted. Approved statements shall be available through the social security number administrators.

(10) Information technology services (ITS), in conjunction with the social security number administrators and the information technology security policy committee (ITSPC), shall develop a set of standards and guidelines addressing the handling of social security numbers in electronic systems. Adherence to these guidelines in all future development shall be considered a requirement of this policy statement.

(E) Implementation.

(1) The university, through its ITSPC, shall develop objectives to improve campus-wide awareness of the confidential nature of social security numbers, the need for consistent use of social security numbers, and increased confidence by students, faculty and staff that social security numbers are handled in a confidential manner.

(2) Each social security number administrator shall have the responsibility to:

(a) Coordinate communications to faculty, staff, and students concerning their rights and responsibilities regarding the university's social security number (SSN) policy.

(b) Oversee implementation and adherence to university's SSN policy.

(c) Provide support and guidance for offices working with social security numbers.

(d) Consult with the university auditor when an opinion on the release or exchange of social security numbers is required.

(e) Authorize the use of social security numbers in new systems, as appropriate.

(f) Maintain a list of entities (contractors, vendors, service providers) approved by the university operations auditor, to which social security numbers may be released.

(g) Maintain a set of approved disclosure statements for use on university forms and documents that collect social security numbers.

(F) Compliance.

(1) Compliance with this policy shall be attained through a phased approach. The goal is to attain complete compliance with this policy within three years of its adoption.

(2) The information technology security officer (ITSO) shall be responsible for monitoring compliance with this policy.

(3) The university ITSO shall, on annual basis, or sooner if deemed necessary, review the use of social security numbers by all university units. Social security number use will be restricted to functions where such use is deemed necessary by the ITSPC. University units will be responsible to inform the ITSO, in writing, of the need to use or release social security numbers. University units that are denied use of social security numbers may appeal to the vice president for finance and administration, in writing, for permission to use social security numbers.

(G) Enforcement.

An employee or student who knowingly violates this policy and/or in any way breaches the confidentiality of social security numbers may be subject to appropriate disciplinary action or sanctions.

Replaces: 3359-11- 10.6

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 11/06/06

3359-11-10.7 Privacy policy.

(A) Introduction and statement of purpose.

The university of Akron is committed to protecting the privacy of personal information regarding its students, employees, and individuals associated with the university and obtaining technology that will provide powerful and safe online experiences. This statement of privacy applies to university of Akron web sites and governs data collection and usage. By using university of Akron websites, individuals are deemed to consent to the data practices described in this statement.

(B) Collection of personal information.

The university of Akron, for its use as a state of Ohio educational institution and in association with others as legally permissible, collects personally identifiable information, such as e-mail address, name, home or work address, telephone number, and credit card data. The university of Akron may also, from time to time, collect anonymous demographic information, which is not unique to individuals, such as zip code, age, gender, preferences, interests and favorites.

In many situations, the university automatically collects information about computer hardware and software. This information can include: an IP address, browser type, domain names, access times and referring web site addresses. This information is used by the university of Akron for the operation of the service, to maintain quality of the service, and to provide general statistics regarding use of the university of Akron web site.

Direct disclosure of unencrypted personally identifiable information or personally sensitive data through university of Akron public message boards or non-secured servers should be avoided since this information could potentially be collected and used by unauthorized persons.

While the university of Akron does not read private online communications, users should understand that their messages and postings may be a public record under Ohio law and subject to discovery in an investigation or an administrative or trial proceeding.

The university of Akron encourages users to review the privacy statements of web sites they choose to link to from the university of Akron in order that they may better seek to understand how those web sites collect, use and share personal and other information. The university of Akron is not responsible for the privacy statements or other content on web sites outside of the university of Akron.

(C) Use of personal information.

The university of Akron collects and uses select personal information to operate the university's web sites and deliver many desired and requested services. The university of Akron also uses personally identifiable information to inform users of other products or services available from the university of Akron and others with whom it is affiliated or contracts. The university of Akron may also contact user via surveys to conduct research about your opinion of current services or of potential new services that may be offered.

The university of Akron may, from time to time, contact users on behalf of external business partners about a particular offering that may be of interest to users. In those situations, unique personally identifiable information (e-mail, name, address, telephone number) is not transferred to the third party. In addition, the university of Akron may share data with trusted partners to help us perform statistical analysis, send email or postal mail, provide customer support, or arrange for deliveries. All such third parties are prohibited from using personal information except to provide these services to the university of Akron, and they are required to maintain the confidentiality of your information.

Except as otherwise required by law (for example whenever a valid subpoena is issued to the university! the university of Akron does not use or disclose sensitive protected data, without consent of the individual.

As a state of Ohio educational institution, the university of Akron is governed by the Ohio Public Records law ( section 149.43 of the Revised code). When requested, the university must release public records to requesting parties.

The university of Akron tracks certain web sites and pages that users visit within the university in order to determine what services are useful and popular. This data is used to deliver customized content and promotion within the university of Akron.

The university of Akron web sites will disclose your personal information, without notice, only if required to do so by law or in the good faith belief that such action is necessary to:

(1) conform to the edicts of the law or comply with legal process served on the university of Akron or the site:

(2) protect and defend the rights or property of the university of Akron: and.

(3) act under exigent circumstances to protect the personal safety of users of the university of Akron, or the public.

(D) Use of cookies.

The university of Akron web site uses "cookies" to help users personalize their online experience. A cookie is a text file that is placed on your hard disk by a web page server. Cookies cannot be used to run programs or deliver viruses to user's computers. Cookies are uniquely assigned to you, and can only be read by a web server in the domain that issued the cookie.

One of the primary purposes of cookies is to provide a convenience feature to save you time. The purpose of a cookie is to tell the web server that a certain user returned to a specific page. For example, if someone personalizes the university of Akron pages, or registers with the university of Akron site or services, a cookie helps the university of Akron to recall specific user information on subsequent visits. This simplifies the process of recording user information, such as billing addresses. When the user returns to the same university web site, the information that user previously provided can be retrieved, so the user can easily use the university of Akron features that the user customized.

Users have the ability to accept or decline cookies. Most web browsers automatically accept cookies, but users can usually modify their browser setting to decline cookies if preferred. If a user chooses to decline cookies, they may not be able to fully experience the interactive features of the university of Akron services or web sites visited.

(E) Security of personal information.

The university of Akron provides for securing your personal information from unauthorized access, use or disclosure. The university of Akron provides for the securing of personally identifiable information that you provide to the University on computer servers in a controlled, secure environment, protected from unauthorized access, use or disclosure. When personal information (such as a credit card number) is transmitted to other Web sites, it is protected through the use of encryption, such as the secure socket layer (SSL) protocol.

(F) Changes to this statement.

The university of Akron will occasionally update this statement of privacy to reflect organizational and appropriate feedback. The university of Akron encourages its students, employees, and individuals associated with the university to periodically review this statement to be informed of how the university of Akron is striving to protect your information.

Replaces: 3359-11-10.7

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 11/06/06

3359-11-10.8 Identity theft detection, prevention and mitigation policy.

(A) Introduction.

(1) The university of Akron is committed to the detection, prevention and mitigation of identity theft associated with financial credit accounts. The purpose of this policy is to enable appropriate university officials to develop and implement policies and procedures to address the risks of identity theft to its students, faculty, staff, vendors and other customers.

(2) This policy incorporates by reference university policies and procedures to the extent necessary to accomplish the purpose of this policy and to comply with 16 C.F.R. 681.2, including but not limited to the following rules of the Administrative code :

(a) 3359-11-08: policies and procedure for student records:

(b) 3359-11-10.3: information technology security and system integrity policy:

(c) 3359-11-10.4: customer information security policy:

(d) 3359-11-10.6: social security number use policy: and

(e) 3359-11-10.7: privacy policy.

(B) Scope of policy.

The requirements of this policy apply to all university departments and organizations, which: regularly arrange for the extension, renewal or continuation of credit: defer payment for services rendered and/or regularly extend, renew, or continue credit: or. use consumer reports to conduct credit or background checks on prospective employees.

(C) Definitions.

All terms used in this policy that are defined in 16 C.F.R. 681.2 shall have the same meaning provided in that section.

(D) Establishment of an identity theft program.

The university hereby establishes an identity theft program ("program") to detect, prevent, and mitigate identity theft in connection with the opening of covered accounts and existing covered accounts, as defined in the Code of Federal Regulations. The program shall enable the university to:

(1) Identify relevant red flags from the categories described in paragraph (F) of this rule that signal possible identity theft and incorporate those red flags into the program:

(2) Detect red flags that have been incorporated into the program:

(3) Respond appropriately to detected red flags to prevent and mitigate identity theft: and

(4) Ensure the program (including the relevant red flags) is updated periodically to reflect changes in the risks of identity theft.

(E) Administration of the program.

(1) In general.

(a) The associate vice president and controller shall administer and oversee the program and ensure that it is implemented in all appropriate departments, including: coordinating the training of staff as necessary: determining the proper response to detected red flags: and updating the program to address changing areas of risk.

(b) The associate vice president and controller shall have primary responsibility for preparing reports in accordance with paragraph (E)(3) of this rule and overseeing service provider arrangements.

(2) Program oversight. In administering the program, the vice president for finance and administration/CFO shall:

(a) Assign specific responsibility for the program's implementation:

(b) Review reports prepared pursuant to paragraph (E)(3) of this rule; and

Approve all material changes to the program as necessary to address changing identity theft risks.

(3) Program reports. The associate vice president and controller shall prepare annual reports regarding compliance with 16 C.F.R. 681.2. and provide each report to the vice president for finance and administration/CFO for review. Each annual report shall address material matters related to the program and shall evaluate:

(a) The effectiveness of the program in accomplishing its purpose:

(b) Any service provider arrangements:

(c) Any significant incidents involving identity theft that may have occurred and the university's response to those incidents: and

(d) All recommendations for material changes to the program.

(4) Oversight of service providers. The university is ultimately responsible for compliance with 16 C.F.R. 681.2, even when it engages a service provider to perform an activity in connection with one or more covered accounts. Therefore, the University shall require each service provider by contract to:

(a) Abide by this identity theft policy and the program: and

(b) Cooperate with the university to prevent or mitigate the risks of identity theft arising from red flags detected under the program.

(F) Identification, sources, and categories of red flags.

(1) The university shall look to any covered accounts it offers and maintains, the methods it provides to open and access those covered accounts, and any previous experiences with identity theft to identify relevant red flags under the program. It shall incorporate relevant red flags from sources including its past incidents of identity theft, changes in methods of identity theft, and applicable laws, rules, or regulations. Categories of relevant red flags include:

(a) Alerts, notifications, or other warnings received from consumer reporting agencies or service providers, such as fraud detection services:

(b) Presentation of suspicious documents or suspicious personal identifying information, such as a suspicious address change:

(c) Unusual use of. or other suspicious activity related to. a covered account: and

(d) Notice from customers, victims of identity theft, law enforcement authorities, or other persons regarding possible identity theft in connection with the university's covered accounts.

(2) Examples of red flags from each category are attached as appendix A of this rule. The university may choose which of these red flags to incorporate into its program, whether singly or in combination, which affect the risk of identity theft to the university and its covered accounts. None are mandatory or prescriptive.

(G) Detecting red flags.

The program shall detect red flags in connection with covered accounts by:

(1) Obtaining identifying information about, and verifying the identity of. a person opening a covered account, including but not limited to requiring positive proof of identification (i.e. physically presenting photo ID. official government ID. or valid system credentials (user ID and password)); and

(2) Authenticating customers, monitoring transactions, and verifying the validity of change of address requests, in the case of existing covered accounts, including but not limited to through use of the following methods: presentation of positive proof of identification.

(H) Responding to red flags (prevention and mitigation).

The university must act promptly and effectively to respond to red flags. To this end, the university shall utilize the following protocol:

(1) Any person detecting a red flag immediately shall gather all related documentation, write a description of the incident, and report this information to the associate vice president and controller.

(2) The associate vice president and controller shall evaluate the incident and report his or her findings to the vice president for finance and administration/CFO.

(3) Not all detected red flags will require a response. If a response is warranted under the circumstances, then the associate vice president and controller and the vice president for finance and administration/CFO shall take action appropriate to the level of risk presented, including but not limited to:

(a) Monitoring a covered account for evidence of identity theft;

(b) Contacting the customer;

(c) Changing any passwords, security codes or other security devices that permit access to a covered account;

(d) Reopening a covered account with a new account number;

(e) Not opening a new covered account;

(f) Closing an existing covered account;

(g) Not attempting to collect on a covered account or not selling a covered account to a debt collector; and/or

(h) Notifying law enforcement.

(I) Updating the program.

The university shall periodically re-evaluate whether the program continues to be appropriate and effective in accomplishing its purpose. These periodic reviews will include an assessment of the university's covered accounts, the relevant red flags, and responses to identity theft. The university shall consider the following factors when updating the program:

(1) Information contained in the annual reports prepared under the program;

(2) The university's experiences with identity theft;

(3) Changes in methods of identity theft and in methods to detect, prevent, and mitigate incidences of the same;

(4) Changes to the types of accounts offered by the university; and

(5) Changes in the university's business arrangements, including mergers, acquisitions, alliances, joint ventures, and service provider arrangements.

(J) Other legal requirements.

The university shall comply with any other applicable legal requirements when implementing, operating, and updating the program.

Replaces: 3359-11-10.8

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 04/27/09, 08/30/09

3359-11-11 University records officer.

(A) The director of archival services shall serve as the university records officer. Pursuant to division (B) of section 149.33 of the Revised Code, this individual shall be responsible for developing an efficient and economical program for records retention, disposition, and destruction of university records.

(B) The records retention guidelines set forth in the inter-university council of Ohio's "Records Retention Manual" shall be implemented and used as the university's records retention manual, consistent with the university's records retention needs. This process may be used to enlarge any retention period provided in the inter-university council ("IUC") "Records Retention Manual," but shall not be used to provide a shorter retention period for any category of records included in the manual. The university records officer, in consultation with the office of general counsel, shall revise, edit, and update the university's records retention manual as necessary and create policies for records retention.

(C) The university records officer shall, pursuant to Chapter 111. of the Revised Code, provide for administrative rule filing through the office of the general counsel.

(D) The president with the recommendation of the university records officer, shall appoint individuals to a committee for the purpose of assisting in the development and management of a sound program for university records management.

(E) The university records officer shall provide the president and the office of general counsel with an annual report, consisting of a review of records being retained, the period therefor, and records that are destroyed or are being destroyed. The university records officer shall also inform as to any current statutory, administrative or other changes required or deemed necessary.

Replaces: 3359-11-11

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 09/28/97, 08/30/09

3359-11-11.1 Electronic records retention.

(A) Purpose.

In today's university environment, employees create and maintain an increasing portion of their records using computers. Electronic records must be managed alongside traditional records to ensure compliance with state and federal regulations and to preserve institutional history.

The purpose of this rule is to inform university employees and departmental management of the requirements and responsibilities for management and disposition of electronic records.

(B) Scope.

This electronic records retention rule applies to all employees of the university and applies to all electronic records that are made or received in the transaction of university or public business. All electronic records created at the university of Akron are governed by and subject to this rule.

(C) Definitions.

(1) The term "electronic record" means any record that is created, received, maintained or stored on university local workstations or central servers. Examples include, but are not limited to: electronic mail (e-mail), word processing documents and spreadsheets, and databases.

(2) The term "legal custodian" shall mean the originator of an e-mail message or the creator of an electronic document if that person is a university employee; otherwise it is the university employee to whom the message is addressed or to whom the electronic document is sent. If the record is transferred, by agreement or rule, to another person for archival purposes, then that person becomes the legal custodian.

(3) "Official" records retention and disposition schedules are the general and departmental program schedules that have been approved by the state and the university through its records officer.

(D) Policy statement.

(1) General requirements.

Maintenance and disposal of electronic records, as determined by the content, is the responsibility of the legal custodian and must be in accordance with guidelines established by the university and also in compliance with state and university approved records retention and disposition schedules.

The department head of an office having public records is responsible for ensuring compliance with this policy and with the Ohio public records law. When an employee leaves a department or the university, the department head is responsible for designating a new custodian and ensuring that any public records in the separating employee's possession are properly transferred to the new custodian. The department head is responsible for contacting information technology services to arrange for the transfer of the electronic records to the new custodian before the accounts are scheduled to be deleted.

(2) Electronic mail.

Work-related e-mail is a university record, and must be treated as such. Each e-mail user must take responsibility for sorting out personal messages from work-related messages and retaining university records as directed in official records retention and disposition schedules. E-mail that does not meet the definition of a public record, e.g., personal e-mail, or junk e-mail, should be deleted from the system.

(3) Retention of records.

University e-mail servers are not intended for long-term record retention. E-mail messages and any associated attachment(s) with retention periods greater than three years are to be printed and filed in similar fashion to paper records. It is important to note that the e-mail message should be kept with the attachment(s). The printed copy of the e-mail must contain the following header information:

(a) Who sent the message.

(b) Who received the message.

(c) Date and time of message.

(d) Subject of the message.

When e-mail is used as a transport mechanism for other record types, it is possible, based on the content, for the retention and disposition periods of the e-mail and the transported record(s) to differ. In this case, the longest retention period shall apply.

(4) Instant messaging.

The university does not support the use of instant messaging (IM) for university business.

(5) ITS backup files.

Information technology services performs backups on a regular schedule of the e-mail and electronic files stored on central servers for disaster recovery. These backups are to be used for system restoration purposes only. The IT system administrator is not the legal custodian of messages or records which may be included in such backups.

(E) Litigation hold.

When litigation against the university or its employees is filed or threatened, the law imposes a duty upon the university to preserve all documents and records that pertain to the issues. As soon as the office of general counsel becomes aware of pending or threatened litigation, a litigation hold directive will be issued to the legal custodians. The litigation hold directive overrides any records retention schedule that may have otherwise called for the transfer, disposal or destruction of the relevant documents, until the hold has been cleared by the office of general counsel. E-mail and computer accounts of separated employees that have been placed on a litigation hold by the office of general counsel will be maintained by information technology services until the hold is released.

No employee, who has been notified by the office of general counsel of a litigation hold, may alter or delete an electronic record that falls within the scope of that hold. Violation of the hold may subject the individual to disciplinary action, up to and including dismissal, as well as personal liability for civil and/or criminal sanctions by the courts or law enforcement agencies.

(F) Enforcement.

(1) Failure to comply with the "Electronic Records Retention Policy" and associated guidelines and procedures can result in disciplinary action and penalties applicable by law.

(2) Questions about this rule should be addressed to the office of general counsel.

(3) Approval of records retention and destruction schedules should be sent to the university records compliance officer per rule 3359- 7-01.1 of the administrative code.

All other (non-electronic) records shall continue to be managed pursuant to rule 3359-11-11 of the administrative code.

Replaces: 3359-11-11.1

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 11/06/06

3359-11-12 Interim policy on stipends and overload.

Stipends are to be granted for primarily administrative functions requiring substantial increases in responsibility and for activities not included in the ordinary load of teaching, research, and professional service for full-time faculty. Overloads are to be used to relieve temporary shortages in the availability of teaching faculty. Responsibility for approving and administering stipends and overload requests vests with the senior vice president and provost. Budget responsibility vests with the unit making the request.

(A) Requests for stipends or overload must include a rationale for the stipend or overload. A stipend request must indicate the specific responsibilities or activities for which the stipend is compensation an overload request must indicate how the request is responsive to the teaching mission needs of the unit. All requests for stipends or overload must identify the funding source.

(B) Overload will not be awarded unless the faculty member receiving the overload is already teaching twelve load hours of classroom or laboratory instruction in the semester for which overload is requested.

(C) Overload of more than three load hours per semester will not be approved.

(D) Stipends will conform with compensation ranges established and published by the senior vice president and provost.

(E) Differences between each college's approved work load and the requested load must receive prior approval from the senior vice president and provost.

(F) No stipends or overload will be granted for service activities.

(G) The above are intended to provide guidance for the regulation of stipends and overload in most circumstances; in critical or exceptional cases, units may appeal to the senior vice president and provost for approval of stipends and overload not conforming to these guidelines. Such appeals must be made in writing and approved by the senior vice president and provost prior to offering the stipend or overload compensation.

Replaces: 3359-11-12

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 09/28/1997

3359-11-12.1 Policy on stipends for contract professionals and non-bargaining unit staff.

(A) The standard workweek for contract professional staff and non-bargaining unit staff for most purposes is considered to be forty hours per week. However, it is not unusual for such individuals to regularly work within their assigned classification in excess of that amount, voluntarily or upon request, without receiving or having the expectation of receiving additional remuneration. This policy does not affect such situations and creates no right or expectancy to receive additional remuneration.

Temporary stipends may be granted for substantial increases in responsibility for activities outside of the normal scope of the employee's assigned classification. The expectations of such assignment must be temporary in nature and last a minimum of thirty calendar days.

(1) Stipends may be granted for:

(a) A temporary reassignment of duties assigned to or associated with a vacant position.

(b) A special project required to meet established university or unit initiatives.

(2) When additional responsibilities constitute more than fifty percent of the employee's job duties, and are expected to last in excess of three months, a temporary reclassification to a higher job classification must be considered.

(3) No stipend will be granted for service activities or committee assignments, or in lieu of merit increases or classification status.

(B) The responsibility for recommending and administering a stipend vests with the vice president for finance and administration in consultation with the unit's vice president and the executive director of human resources.

(1) A stipend request must include a written rationale indicating the specific responsibilities or activities for which the stipend will be given. The rationale must indicate why the stipend is responsive to the effective operation of the university, and be included with the personnel action form.

(2) The amount of the stipend will normally be a minimum of four percent of the employee's current salary. Stipend amounts above four percent must conform to established pay ranges and compensation policies as administered by human resources. The amount of a stipend will normally depend upon the additional time required to accomplish the additional responsibilities or activities for which the stipend will be given. Using a standard forty-hour workweek, and two thousand eighty hours per contract period, an individual's hourly rate of pay will be determined. No stipend will be paid in excess of eight additional hours of pay per week, based on the individual's hourly rate of pay. For example, an individual with an annual salary of sixty-two thousand four hundred dollars would have an hourly rate of pay at thirty dollars, and would therefore not be paid a stipend in excess of two hundred forty dollars per week [thirty dollars x eight equals two hundred forty dollars].

(C) Budget responsibility vests with the unit making the request.

(1) All requests for stipends must identify the funding source, and expressly identify a starting and ending date, and shall not be added to base salary following the ending date.

(2) The effective dates of a stipend must be within a fiscal year.

(D) Renewal of a stipend is subject to reaffirmation of rationale and budget availability.

Replaces: 3359-11-12.1

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 12/27/02, 06/25/07

3359-11-13 Sexual harassment policy.

(A) Statement of policy.

(1) The university of Akron reaffirms its commitment to an academic, work, and study environment free of inappropriate and disrespectful conduct and communication in any form. All students, faculty, and staff shall be protected under the guidelines of this policy.

(2) A copy of this policy shall be incorporated into all employee handbooks. It shall also be included in student orientation materials, including those distributed to students in professional schools. It shall also be published in scheduling materials each semester. Copies of this policy shall be available at appropriate university offices, including the office of the deans of each college, the university library, associate vice president for student affairs, the affirmative action office, the department of human resources, all other administrative offices, and other places specified by the executive director of human resources.

(3) It shall be the policy of the university of Akron to prohibit any and all forms of sexual harassment. All students, faculty, and staff have a responsibility to assist in the enforcement of this policy, be aware of its contents, and to abide by its terms. All supervisory personnel shall insure that those who are under their supervision are aware of the policy, receive a copy of it, and shall from time to time reinforce the university's commitment to the policy. From time to time, the affirmative action office shall disseminate materials throughout the university concerning the effective prevention of sexual harassment.

(4) By this policy, the university is providing notice that sexual harassment in any form will not be tolerated and that the procedures specified below shall be utilized to inform the university of incidents of harassment and to allow all students, faculty, and staff to prevent, report, and to eliminate sexual harassment from this campus.

(B) Definitions. Sexual harassment is a form of sex discrimination which violates state and federal laws respecting both employees and students. The definitions used in this policy shall be interpreted consistent with such laws.

(1) It consists of unwelcome sexual advances, requests for sexual favors, sexually motivated physical conduct, or other verbal or physical conduct or communication of a sexual nature when:

(a) Submission to that conduct or communication is made a term or condition, either explicitly or implicitly, of obtaining or retaining employment, of obtaining an education, or of obtaining educational benefits or opportunities; or

(b) Submission to or rejection of that conduct or communication by an individual is used as a factor in decisions affecting that individual's employment, education, educational benefits or opportunities; or

(c) Such conduct or communication has the purpose or effect of substantially or unreasonably interfering with an individual's employment, education, educational benefits or opportunities, or creating an intimidating, hostile or offensive employment or education environment. Any sexual harassment as defined herein is limited to conduct or communication by someone in authority, but also includes any sexual harassment as defined herein when perpetrated on any student or employee by any other student or employee.

(2) Sexual harassment is sexual conduct that is "unwelcome." It may include, but is not limited to:

(a) Uninvited verbal harassment or abuse such as sexual name calling, jokes, spreading sexual rumors, leers, or overly personal conversations of a sexual nature;

(b) Subtle pressure for sexual activity;

(c) Inappropriate patting, pinching or fondling, pulling at clothes, or intentional brushing against a student's or an employee's body;

(d) Demanding sexual favors accompanied by implied or overt threats concerning an individual's employment or educational status;

(e) Demanding sexual favors accompanied by implied or overt promises of preferential treatment with regard to an individual's employment or educational status;

(f) Any sexually motivated unwelcome touching, cornering, or blocking an individual's movement;

(g) Conditioning a student's grade or academic progress on submission to sexual activity;

(h) Hanging or displaying inappropriate and sexually explicit pictures, posters, or drawings in the workplace;

(i) A pattern of conduct intended to discomfort or humiliate, or both, a reasonable person at whom the conduct was directed that includes one or more of the following: unnecessary touching or hugging, remarks of a sexual nature about a person's clothing or body, or remarks about sexual activity or speculations about previous sexual experience.

(3) The university recognizes that not every advance or consent of a sexual nature constitutes harassment. Whether a particular action or incident is a personal social relationship without a discriminatory effect requires a determination based on all the facts and surrounding circumstances. False accusations of sexual harassment can have a serious detrimental effect on innocent parties and all others who are concerned. This policy shall not be used to bring frivolous or malicious charges against fellow students, faculty members, or employees. Such charges may result in discipline against the offending individual pursuant to applicable university disciplinary procedures.

(C) Retaliation. Under this policy, retaliation is defined as the undertaking of adverse action against students or employees for the exercise of rights under this policy; or for having brought forward a charge of discrimination or sexual harassment, testified, assisted, or participated in any manner in an investigation or hearing or other proceeding under this policy or pursuant to procedures provided by law. The exercise of such legally protected rights shall not reflect upon an individual's status or affect future employment, grades, or assignments when such exercise is pursuant to the terms set forth in this policy.

(D) Responsibility.

(1) All persons affiliated with the university have a responsibility to actively oversee and implement this policy. The affirmative action officer shall facilitate and administer this policy consistent with the terms set forth herein and consistent with the state and federal rules, regulations, and laws governing this institution.

(2) Any person who believes he or she has been the victim of sexual harassment by an employee, student, or visitor of the university, or any third person with knowledge or belief of such conduct, should report the alleged acts immediately to a university official listed in paragraph (e) of this rule.

(3) Employees and students should make clear through affirmative conduct and/or verbal statements to an alleged harasser that such conduct is unwelcome and uninvited and should cease immediately. However, the employee's or student's inability to do so does not, in itself, negate the validity of the offensiveness of the conduct alleged.

(E) Investigating reporting and procedures.

(1) Persons who believe they are the victim of sexual harassment have the right to file a complaint. Such complaints should be filed as quickly as possible, but not later than one hundred twenty days after the incident in question, utilizing either the informal or formal procedures outlined below.

(2) However, any sexual conduct defined as criminal conduct in accordance with Title XXIX of the Revised Code shall be handled by the formal procedures outlined herein. The university reserves the right to refer such complaints to the appropriate external agency, including the prosecutor, police, or other appropriate investigative agency.

(3) Informal procedures. Those desiring to file complaints are strongly encouraged to utilize the procedures outlined below:

(a) Any complainant who is an employee should contact his or her immediate supervisor, or if the supervisor is the alleged perpetrator or unavailable, the vice president or head of the administrative unit;

(b) Any complainant who is a student should contact immediately the dean of the student's college or the assistant vice president for student affairs;

(c) The complainant may also contact the affirmative action officer directly;

(d) Third persons referenced in paragraph (d)(2) of this rule should contact any of the above-listed officials;

(e) University personnel contacted about an incident or informal complaint of sexual harassment must report the incident/complaint to the affirmative action officer as soon as possible. The affirmative action officer shall be appraised of patterns of incidents or complaints as they may develop;

(f) The affirmative action officer and the university official listed above shall promptly investigate and then attempt to resolve the complaint in cooperation with the university representative originally contacted when appropriate.

(4) Formal procedures.

(a) Should informal procedures not produce a resolution satisfactory to the complainant, the complainant has the right to file a formal written complaint with the affirmative action officer.

(b) Upon receiving a formal complaint, the affirmative action officer shall inform the alleged offender of the allegation and of the identity of the complainant. A written statement of the complaint shall be given to both parties. The affirmative action officer shall then conduct an investigation and fully inform the complainant and the accused of the results thereof.

(F) Resolution of a complaint.

(1) There shall be an aggressive effort on the part of all parties involved to resolve informal or formal complaints promptly.

(2) Resolution of an informal complaint by the appropriate administrative person and/or the affirmative action officer shall occur within thirty calendar days of submission of complaint. For a formal complaint, the affirmative action officer shall report the results of his/her investigation and any recommendation within sixty calendar days.

(3) Any faculty or staff person accused of sexual harassment is entitled to due process as specified in the faculty or staff manual or applicable collective bargaining agreement. Any student accused of sexual harassment is entitled to due process in accordance with established university disciplinary procedures applicable to students.

(4) If the affirmative action officer, based on his or her findings, concludes that there is a substantial likelihood that sexual harassment has taken place, these findings shall be forwarded immediately to the accused's supervisor along with a recommendation for disciplinary action.

(5) Violators of this policy may incur a variety of sanctions which may include, but are not limited to, referral for counseling, written or oral reprimands, suspension with or without pay, termination, or referral to the criminal justice system.

(6) Nothing contained herein shall be deemed to restrict or otherwise prohibit the complainant from filing a complaint with an appropriate external governmental agency, nor shall this policy be deemed as discouraging individuals from seeking legal counsel. It shall, however, be the responsibility of such individuals to meet any agency filing deadlines.

(7) In the event allegations are not substantiated, reasonable steps shall be taken to ensure that the accused suffers no damage to his/her reputation which may have been caused by the proceedings. Any complainant found to be dishonest in making allegations or who has been found to have made them maliciously, shall be subject to university disciplinary action.

(G) Confidentiality. All complaints of sexual harassment shall be considered confidential and only those persons necessary for the investigation and resolution of the complaints will be given information about them. The university will respect the confidentiality of the complainant and the individual against whom the complaint is filed as much as possible consistent with the university's legal obligations to protect the rights and security of its employees and students.

Replaces: 3359-11-13

Effective: 2/1/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 05/13/98, 08/20/11, 11/15/12

3359-11-15 Reemployment procedures for retirees other than retirees who elected to retire under a university of Akron early retirement incentive program for all employees other than bargaining unit faculty.

This rule shall apply to all employees other than members of a bargaining unit in which an agreement governs the reemployment of retirees.

(A) Am. Sub. Senate Bill 144, effective September 14, 2000, and other relevant sections of the Revised Code facilitate the reemployment of qualified STRS Ohio benefit recipients by removing past restrictions on this process. These changes to Ohio law permit qualified retirees from the university of Akron the opportunity to retire and begin receiving their personal annuity benefits and be reemployed full-time with the university of Akron at no additional cost to the university of Akron.

(B) Full-time university of Akron employees other than members of a bargaining unit who are eligible to retire from an Ohio pension system affected by the enactment of Am. Sub. Senate Bill 144 may seek an agreement with the university of Akron, in advance of retirement, to be reemployed full- or part-time with the university of Akron as permitted by law in the same or similar position following retirement, without the necessity of a formal search process under the university's affirmative action plan. All such agreements shall be reduced to writing and shall be subject to prior approval by the board of trustees. This rule shall not be deemed to obligate the board to approve any such agreement or to create any right to such reemployment or expectancy of reemployment or expectancy of any right to reemployment for any employee or retiree of the university of Akron.

(C) Such reemployment agreements, in the case of tenured or tenure-track faculty, shall expressly provide that tenure and any right or expectancy to obtain tenure shall terminate upon the employee's retirement; and any such reemployment with the university of Akron thereafter shall not include any grant of tenure or any expectancy or other entitlement whatsoever to obtain tenure as a result of reemployment or otherwise. Any period of reemployment shall not count or in any way be used to count toward the obtainment of tenure at the university of Akron. The reemployed retiree shall be entitled to retain the appropriate academic rank achieved upon retirement.

(D) Unless otherwise approved by the board of trustees, such reemployment agreements shall include the following in addition to any other specific provisions that may be included in any agreement:

(1) A non-renewable term of one year, except that the board of trustees, on the recommendation of the president and provost, may renew for successive one year terms reemployment agreements for faculty whose peer-reviewed research and scholarship is recognized nationally and internationally to be preeminent, has a history of service to the university, and from whose presence on the faculty the university derives an immeasurable benefit.

(2) The employee shall be eligible to enroll in the university's group health insurance and other benefits programs in the same manner as all other similarly situated university of Akron employees.

(3) Reemployment agreements shall provide that eighty per cent of the greater of:

(a) the retiree's annual base salary at retirement or

(b) the retiree's annual base salary at June 30, 2015 shall be the maximum amount of retiree's base salary upon reemployment, prorated for any reemployment period. If the retiree is reemployed on a part-time basis, the retiree's maximum salary will be eighty per cent of the greater of:

(a) the retiree's prorated annual base salary at retirement or

(b) the retiree's prorated annual base salary at June 30, 2015.

(4) Nothing in this rule shall preclude the president of the university from recommending a reemployed retiree receive:

(a) A stipend for additional duties or responsibilities;

(b) A bonus, or other such award for merit; or

(c) Any other amount based on employee performance.

However, such additional amounts, if approved by the board of trustees, shall not be considered or made a part of the reemployed retiree's base salary.

(E) These procedures shall not be available to employees or former employees of the university of Akron who elected to retire from the university of Akron through participation in an early retirement incentive program (ERIP).

(1) Definitions.

(a) "Superannuate" means a former teacher receiving a service retirement allowance under section 3307.58 or 3307.59 of the Revised Code from the state teachers retirement system (STRS) or a combined service retirement benefit paid in accordance with section 3307.57 of the Revised Code, regardless of which retirement system is paying the benefit.

(b) "Other system retirant" means a member or former member of the public employees retirement system (PERS), police and firemen's disability and pension fund, school employees retirement system (SERS), state highway patrol system, or Cincinnati retirement system who is receiving age and service or commuted age and service retirement, or a disability benefit from a system of which he is a member or former member.

(2) State teachers retirement system (STRS).

(a) The university of Akron may employ a superannuate or other system retirant as a teacher. (division (B) of section 3307.35 of the Revised Code).

(b) Any superannuate or other system retirant employed as a teacher at the university of Akron shall contribute to the state teachers retirement system. (division (C) of section 3307.35 of the Revised Code).

Any superannuate or other system retirant who has received retirant benefits for less than two months shall forfeit the allowance or benefit for any month the superannuate or retirant is employed prior to the expiration of such period. (division (F) of section 3307.35 of the Revised Code).

(3) School employees retirement system (SERS).

(a) A public employer may employ a SERS retirant or other system retirant and, if so employed, the retirant must contribute to SERS. (division (B)(1) of section 3309.341 of the Revised Code).

(b) A SERS retirant or other system retirant who has received his or her retirement allowance or disability benefit for less than two months when reemployment begins will forfeit his or her retirement allowance or disability benefit for the period that begins on the date the employment commences and ends on the date that is two months after the date on which the retirement allowance or disability commenced. (division (C) of section 3309.341 of the Revised Code).

(4) Public employees retirement system (PERS).

(a) A PERS retirant who has received a retirement allowance for less than two months when employment begins will forfeit the allowance for the period that begins on the date the employment begins and ends on the date that is two months after that date on which the retirement allowance began. (division (B)(4) of section 145.38 of the Revised Code).

(b) A PERS retirant who enters into a contract to provide services as an independent contractor to the employer by which the retirant was employed at the time of retirement or, less than two months after the retirement allowance commences, begins providing services as an independent contractor pursuant to a contract with another public employer, will forfeit the pension portion of the retirement benefit for the period beginning the first day of the month following the month in which the service begin and ending on the first day of the month following the month in which the services end division (B)(6) of section 145.38 of the Revised Code.

Effective: 6/20/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359
Prior Effective Dates: 05/25/02, 11/17/02, 06/25/07, 05/23/10, 03/29/12, 05/18/12, 12/27/12, 02/01/15

3359-11-17 Conflict of interest, conflict of commitment, scholarly misconduct, and ethical conduct - policies and procedures.

(A) Introduction.

These policies and procedures represent an evolving set of documents. The complexity of the subject matter is such that the current policies and procedures will need a yearly formal review by the senior research officer of the university with the advice of the faculty senate and other bodies which have interest. This policy is intended to conform to all laws and regulations, state or federal, regarding funded research.

(B) Policies and procedures regarding conflicts of interest and/or commitment.

(1) Each university employee will review and comply with these policies by promptly taking whatever steps are required to avoid, eliminate, remediate or manage an actual conflict of interest and/or commitment. This also includes graduate students, identified as investigators on externally funded grants.

(2) On the thirtieth of April, each university employee will submit a questionnaire (yearly conflict of interest and commitment report) to her or his immediate supervisor that discloses any outside activities that could represent a conflict of interest and/or commitment.

(3) Written disclosure to the immediate supervisor is required during the individual's employment contract when additional outside consulting activities arise that could represent a conflict of interest and/or commitment.

(4) Outside consulting activities of full-time employees will be governed by the following:

(a) All forms of outside activities that involve a time commitment at the expense of an employee's primary responsibilities to the university during an individual's employment contract must be disclosed.

(b) The maximum allowable time permitted for outside consulting activities is one day per week on average during the period of the university academic-year or calendar year contract. Particular circumstances, including but not limited to teaching assignments or other scheduled university duties and/or the terms and conditions of support of university grants or contracts, will be taken into account in approving such arrangements.

(c) The responsibilities and professional activities that constitute an appropriate and primary commitment will differ across colleges, schools, departments, and disciplines, but should be based on an understanding among the employee, his/her department chair, dean or administrative supervisor(s), and the senior vice president and provost and chief operating officer, and in accord with university policies.

(d) University resources both human (e.g. students, support staff) and material, may not be used for any purpose that is unrelated to the mission of the university and neither for outside consulting nor for private gain. This shall not apply to use of material resources used in a purely trivial and incidental way.

(5) Failure to disclose and manage conflicts of interest and/or commitment may subject the employee open to sanctions and possible legal actions. (As defined in paragraphs (D)(3) and (D)(4) of this rule.)

(6) Outside activities in violation of state or federal laws or regulations (including but not limited to: "PHS Promoting Objectivity in Research , 42 U.S.C. 216, 289b-1, 299c-4; Sec. 219, Tit. II, Div. D, Pub. L. 111-117, 123 Stat. 3034 (2012)"; "national science foundation investigator financial disclosure policy," 59 fed. reg. 33,308 (1994) and 60 fed. reg. 35,820 (1995); Ohio ethics law Chapter 102. of the Revised Code; and section 2921.42 and section 2921.43 of the Revised Code), subject an employee to discipline up to and including termination of employment by the university.

(7) Managing potential conflicts of interest and/or commitment requires timely and accurate disclosure. Therefore, all university employees who engage in outside activities are to disclose those activities as they are encountered in accordance with the following guidelines:

(a) Some outside activities, which might be considered conflicts in a technical sense, are routinely allowable without permission but with timely notice to the immediate supervisor because they are (i) accepted practices and (ii) generally minimal in their personal financial impact and impact on the university. Examples of such activities: public service in community service agencies, royalties for published scholarly works or institutional royalty sharing, honoraria, prizes and awards for professional recognition, or routine activities for professional organizations and associations.

(b) All forms of outside activities which do not fit the above category and do involve (i) a time commitment of one day or less per week (on average) during the employment contract during the period of the university academic year or calendar year contract, and (ii) university employee remuneration of less than ten thousand dollars from a single source during the employees university contract period are to be reported to the employees immediate supervisor. Disclosure reports are to be made in written form with simple statements of what is being done, for whom, and at what level of compensation (e.g., less than ten thousand dollars). If there is no significant conflict of interest or commitment and the activities are common, the supervisor shall so certify and file the report with signed certification in the department or equivalent level personnel file. Certification is required prior to an employee engaging in any such activity. Examples of such activities: extensive activities for professional organizations and associations.

(c) All other forms of outside activity which involve a time commitment in excess of one day per week on average during the period of the university academic year or calendar year contract or outside activities for which an employee receives remuneration valued at ten thousand dollars or above from a single source during the employees university contract period are to be reported to the immediate supervisor (e.g., department chair or supervisor). Disclosure reports are to be in written form with simple statements of what is being done, for whom, and at what level of compensation (e.g., more than ten thousand dollars). Certification is required prior to an employee engaging in any such activity. If the immediate supervisor certifies, he/she will, with signed certification forward the request to his/her immediate supervisor (e.g., college dean or division director). If the intermediate supervisor certifies, he/she will report the request to the appropriate central administration officer (e.g., senior research officer or executive director for human resources). The request will be kept on file at that location.

(8) All university employees are to complete the yearly conflict of interest and commitment report questionnaire on or before the thirtieth of April. Completed reports are to be sent for certification to the employees' immediate supervisor. If an item on the questionnaire is checked yes, then the employees' immediate supervisor will forward the report to his/her immediate supervisor (i.e., college dean, division chair) for certification who will, in turn, forward the report to the appropriate central administrative officer (i.e., senior research officer or executive director for human resources). Forwarded annual disclosure reports will be kept in the appropriate central administrative office. Annual reports with all no responses will be kept at the department level. Nothing in this paragraph shall be construed to prohibit disclosures required as defined in paragraph (B)(17) of this rule.

University student assistants employed solely on an hourly pay basis, part-time teaching faculty, and employees working less than half-time are exempt from submitting the annual disclosure form but nonetheless are to comply with the university's conflict of interest and related policies. Questions or concerns of these persons on these matters are to be referred to their department chair.

(9) University employees with knowledge of an impending arrangement between the university and an outside entity with which they or their family members have financial interests, employment, or other involvements are to disclose those facts to their administrative superior before the university approves the proposed arrangement. Examples of such arrangements: gifts in kind, contributions; sponsored research or other sponsored programs; patenting, licensing, or technology transfer or other intellectual property agreements; procurement, contracts, and/or subcontracts, and similar agreements as defined in paragraph (H)(5) of this rule.

(10) The president, vice presidents, deans, and other officers, as may be designated by the board of trustees from time to time, are to submit for review and approval an annual disclosure statement which includes memberships on any corporate boards, partnerships, or associations held by such officers. In addition to any proposed outside activities, including consulting, such disclosures also are to identify any office or fiduciary relationship with a not-for-profit corporation or public board or agency.

(11) No university employee is to use or attempt to use his/her public position or state property, including property leased by the state, to secure or attempt to secure anything or the promise or offer of a thing of value that is of such a degree to manifest an improper substantial influence upon him/her with respect to his/her duties.

(12) No university employee is to solicit or accept from any person or organization anything of value pursuant to an expressed or implied understanding that his/her conduct of university business would be influenced thereby.

(13) No university employee is to intentionally use or disclose confidential or proprietary university information and/or intellectual property in any way that could harm the university or result in the receipt of anything of value for him/herself, for his/her family member, or for any other person or organization with which the university of Akron employee is associated as defined in paragraph (H)(5) of this rule.

(14) No university employee is to receive private financial gain arising from the sale of textbooks or other materials used in a course in which the employee is an instructor. When the employee as instructor believes that such textbook or material is appropriate for the benefit of the students, the employee must arrange either to (i) waive royalties or other type of personal financial gain or (ii) designate the university or a recognized professional organization or honorary to receive such royalties or gain. The latter option must ensure that there will be no potential for future personal financial gain by the employee from this classroom use. All proposed plans are to be submitted to the university for prior approval through the department chair.

(15) Inventions and patent rights of university employees developed or obtained during the course of the individual's employment contract with the university belong to the university unless otherwise stipulated in a specific written university patent rights agreement signed by an authorized university official delegated such authority by the university board of trustees. Computer software developed by university employees during the course of the individual's employment contract with the university or using university resources is the property of the university.

Inventions or discoveries made using any university facilities or other university resources belong to the university even if the inventors are not university employees, unless otherwise stipulated in a specific written university patent rights agreement signed by an authorized university official delegated such authority by the university board of trustees.

University intellectual property, including inventions and computer software, is to be managed under rule 3359-02-05 of the Administrative Code. The university will share with inventors and software authors any net royalties or royalty-type income that may be gained as a direct result of licensing or attempting to license the intellectual property.

University employees are to disclose in a timely manner to the university:

(a) their own creation or discovery of inventions and computer software which are developed using university resources, regardless of sponsorship:

(b) any discoveries and inventions utilizing university resources, including those resulting from their participation in sponsored research or other sponsored programs, other remunerative outside activities in their field of academic interest or specialization, or any other activities of an outside commercial enterprise, including any university employee-owned or employee-managed company: and/or

(c) the creation or discovery of inventions of any others associated with them when that development involved any university resources.

No university employee is to provide confidential or proprietary information including disclosures or other information regarding inventions or other intellectual property, to a company or other entity or its agents without prior disclosure to and specific permission from the university board of trustees upon recommendation of the vice president for research.

(16) University employees who wish to propose or are involved in university sponsored research or other sponsored programs are expected to review and adhere to all university policies, procedures, and obligations related to proposing, managing, reporting of results, and other aspects of such projects.

(17) The university requires that investigators disclose to the university's director of the office of research administration any potential conflicts of interest prior to the submission of a proposal for funding. If a new conflict of interest arises at any time during the period after submission of the proposal through the period of award, the filing of a disclosure and immediate action toward remediation is required. Each investigator must disclose all significant financial interests including those of family members if legally required, as well as any other potential conflicts of interest as defined in paragraphs (H)(6) and (H)(21) of this rule.

(a) That would reasonably appear to be directly and significantly affected by the research or educational activities funded, or proposed for funding, by an external sponsor or

(b) In entities whose financial interests would reasonably appear to be directly and significantly affected by such activities.

(18) Conflict policies regarding research projects:

(a) University employees are prohibited from independently submitting or negotiating proposals or contracts for any externally sponsored research or other sponsored programs on behalf of the university. Proposals, and any subsequent negotiations, awards, other agreements, or changes are to be processed through and require the prior written authorization of the university through the office of research administration.

(b) All university employee involvement in proposals for sponsored research or other programs at other institutions must be approved in advance through the office of research administration. University employee involvement in a program or project at another institution that might be conducted appropriately at the university of Akron as part of normal employee duties could result in situations that place students and staff in conflicts of interest, and deprive students and colleagues of the faculty members or other employees primary intellectual energies. A bona fide subgrant or subcontract agreement of equitable terms, normally involving one institution as fiscal agent and the other(s) as subgrantee(s), negotiated in advance between the university and the other institution(s), and naming the university employee among the key personnel for the project, is an appropriate means for a university employee or team to participate in inter-institutional research projects or other sponsored programs.

(c) University employees must receive specific prior written approval from the senior research officer to divert funded research opportunities or other sponsored program support from the university to other institutions or external entities.

(d) A university employee will inform students and all workers engaged in research or other sponsored programs to be conducted under his or her supervision of all details, policies, and procedures concerning the project needed for the students and workers to perform their role. These include full disclosure of the terms of the agreement in support of the activity, including concerning copyrights or patent rights arising from the research; policies and procedures governing scholarly misconduct; and other as applicable (e.g. health and safety regulations, protection of human rights, ethical care and use of animals, radiation safety, biohazard safety).

(e) It is the responsibility of each university employee to disclose promptly to the senior research officer any situation or proposal in which the objectivity of a university employee or participant in a research project could be reasonably questioned.

(19) Conflicts involving university contracts:

(a) University employees are prohibited from negotiating or entering into contracts or other agreements which claim, imply, or appear to involve the university, unless such actions are part of their official university duties and within the scope of their employment. The board of trustees and president will specifically delegate in writing those employees with such signatory authority to contractually commit the university.

(b) University employees are prohibited from entering into a contract (other than their employment contract) or lease (other than by student employees for student housing) with the university, whether or not the contract or lease derived in whole or part by university funds, except as otherwise provided by law.

(c) No university employee, in their official capacity, in a position to approve or influence a contract or lease may enter into such a contract or lease which involves the university employees' family members, business associates, or any organization with which the university employee is associated whether or not the contract or lease derived in whole or in part from university funds. It is the duty of each university employee to disclose promptly any such proposed contract, lease, or similar relationship or agreement to the university through the department chair or equivalent immediate supervisor as defined in paragraph (H)(5) of this rule.

(20) Maintaining the university as a community of scholars requires the free and open exchange of ideas and the results of scholarly activities. To this end:

(a) University students and scholars involved in research have the right to pursue topics of interest, have access to available information and facilities, and to communicate the results of their work in accordance with the law and university policies.

(b) University employees with outside business interests or outside consulting activities must ensure that the activities of university students, staff, post doctoral fellows, visiting scholars, and other employees are not exploited by those outside interests and activities.

(c) All university employees have a right to know the source(s) of funding that support their work.

(21) Employee pursuit of a degree, when presenting a situation in which a possible conflict of interest or conflict of commitment could reasonably be thought to exist requires prior approval by the employee's immediate supervisor.

(22) No university employee may give or accept anything of value that may substantially or improperly influence him or her with respect to his or her university duties.

(23) The university seal, logo, trademarks, and all other university intellectual property may not be used by any person, including any university employee outside his or her scope of employment; not by any firm, corporation, or other entity without the express written permission of the president or the president's designee.

(24) The university's name will not be used by any employee for the purpose of advertising outside the scope of one's employment by the university or in relation to commercial ventures for private financial gain. In situations when it is not clear whether or not the use of the university's name is appropriate, the employee must obtain the written permission of the president.

(25) All equipment, apparatus, museum materials, scientific collections, books, and other university property are in the immediate care of the university employees of the respective departments to which such materials belong. University employees are expected to practice good stewardship in the use and care of university property.

(26) Nepotism is an impermissible conflict of interest as defined in paragraph (H)(5) of this rule.

(a) No university employee may participate, formally or informally, in the decision to hire, retain, grant tenure to, promote, determine salary of, discipline, renew, modify or terminate a family member's individual employment with the university, or to renew, modify, or terminate any other condition of employment.

(b) No university employee may give preferential or favored treatment in the supervision or management of another university employee who is a family member.

(c) No university employee may authorize or use his or her authority, formally or informally, to secure authorization of any public contract in which he or she or a family member has an interest.

(27) Service as an expert witness in any civil or criminal case can be undertaken only when there is no conflict of interest or conflict of commitment. If the university is involved in the case as a named party, there must be prior disclosure and/or approval.

(28) While executing their university duties, university employees may not use their authority in an exploitative manner in relationships with others.

(29) A whistle blower, who raises or wishes to raise an allegation against a university employee/employees, of a conflict of interest and/or conflict of commitment, related wrongdoing, or of institutional conflict(s) of interest, must respect the confidentiality of sensitive information and give legitimate institutional structures an opportunity to resolve the matter. Whistle blowers and other witnesses have the responsibility to raise their concerns honorably and with foundation. The university has a duty to undertake review and actions as appropriate and not to tolerate or engage in retaliation against whistle blowers. This duty includes providing appropriate and timely relief to ameliorate the consequences of actual or threatened reprisals, and holding accountable those who retaliate.

(30) Responsibilities of the department chair or equivalent are:

(a) To maintain a record of any outside activity disclosed by a university employee under his/her direction.

(b) To act in good faith to assist the university in implementation of this policy.

(c) To convey to the dean or administrative supervisor the concerns they, or others, have with this policy.

(d) To review and forward to the dean and senior research officer with his or her comments any case which appears to have a potential conflict of interest or conflict of commitment. Such comments should include actions recommended by the chair to manage or remedy the conflict(s).

(31) Responsibilities of the dean or other administrative supervisor are:

(a) To maintain a record of any outside activity disclosed by a university employee under his/her direction.

(b) To act in good faith to assist the university in implementation of this policy.

(c) To convey to the senior vice president and provost and chief operating officer the concerns they, or others, have with this policy.

(d) To review and forward to the senior vice president and provost and chief operating officer and senior research officer with his or her comments any case which appears to have a potential conflict of interest or conflict of commitment. Such comments should include actions recommended by the dean to manage or remediate the conflict(s).

(32) The office of research administration under this policy is responsible for providing employees with the annual reporting form for each eligible employee under their supervision.

(C) Procedures for reports, certifications, disclosures, and approvals.

(1) Disclosures and requests for approvals are to be directed first to the immediate administrative supervisor, as well as to the next higher level.

(2) For a matter of disallowed approval a department chair or equivalent will communicate a report and recommendation to the intermediate supervisor. If the intermediate supervisor confirms the disallowance, he or she will communicate the report and recommendation to the senior research officer. In the event the senior research officer determines that the matter may be managed effectively and the management plan suggested is agreed to by the university employee, the senior research officer may authorize the activity.

(D) Procedures for appeal.

(1) An inquiry committee will be convened with five appropriate members as defined in paragraph (G)(4) of this rule.

(2) Procedure for determination in potential conflict situations by employees:

(a) Requests by employees for university review and determination will be signed and submitted in writing to the senior research officer in order to initiate a review.

(b) The senior research officer is responsible for the timely review (ten business days), maintenance of records, and preservation of confidentiality to the extent permitted by law of: requests for review, annual certifications and disclosures, any ad hoc disclosure reports of employees, and all other related documents received or created.

(c) The inquiry committee will collect relevant documentary materials, and thereafter, in a timely manner (ten working days), analyze and render a report to the senior research officer.

(d) The inquiry committee may suggest appropriate oversight or management procedures to ensure no conflict of interest or commitment or may recommend other forms of amelioration.

(e) The senior vice president and provost and chief operating officer can extend these timelines up to ten additional working days.

(f) Procedure for resolution of conflict situations by employees.

(i) The senior research officer will submit to the senior vice president and provost and chief operating officer the inquiry committee report and its recommendation for resolution of the conflict. Additional or subsequent action may be recommended by the senior vice president and provost and chief operating officer or office of general counsel.

(3) Procedure for determination in potential conflict situations when initiated by the senior research officer, senior vice president and provost and chief operating officer, president.

(a) The senior research officer, senior vice president and provost and chief operating officer, president, or board of trustees may initiate a review without a written report when, in their judgment, there is sufficient concern to warrant it. The senior research officer will inform all appropriate administrators, as well as the faculty or staff who are subject to this investigation. The senior research officer will submit to the provost a recommendation for resolution of the conflict. Additional or subsequent action may be recommended by the provost or office of general counsel.

(b) The senior research officer will convey promptly to the provost any concerns or those raised by others related to matters covered by this policy. The senior research officer will forward to the general counsel a copy of any request for review or disclosure for legal review and comment. The senior research officer may forward a copy also to other administrators, on a need-to-know basis, for review and comment.

All reviews and comments either by the office of the general counsel or by other solicited administrators will be returned to the senior research officer within seven working days.

(c) The senior research officer or designee will meet with all relevant individuals within seven working days from the reception of the report and forward the materials immediately to the office of the provost with the pertinent recommendations.

(d) If necessary, after consultation with the office of general counsel and any others, the senior research officer may ask the provost to refer the matter to the Ohio ethics commission for further determination.

(e) The senior research officer will give the results of any review comments from the Ohio ethics commission or other appropriate body in writing to those who simply requested a determination, or to those who were alleged by another to have a conflict of interest. The senior research officer will also send a copy of the results to the general counsel; dean or administrative supervisor; department chair; to the person who requested the review, as the case may be, if not the principal party; and to other responsible university administrators as the senior research officer deems appropriate.

(f) Procedure for resolution of conflict situations.

The senior research officer will submit to the provost a recommendation for resolution of the conflict. Additional or subsequent action may be recommended by the provost or office of general counsel.

(E) Procedure for investigation of alleged conflict of interest or conflict of commitment.

(1) In cases in which an allegation of misconduct by a university employee is made, the senior research officer, general counsel or his designee(s) will take the following steps:

(a) Notify the appropriate dean or vice president of the person in question.

(b) Take appropriate interim actions to protect government and university funds and assure that the purposes of any governmental financial assistance are being carried out in the interim during the review process, as defined in paragraph (E)(6) of this rule.

(c) Meet with both the complainant(s) and the subject(s) thereof. Subject(s) of the allegations will be told, with specificity, the nature of such allegations and be given full opportunity to respond. They will be encouraged to supply any documentary information supportive of their position and given a reasonable time (ten working days) within which to do so. They will be encouraged to supply the names of any individuals or entities that could supply information helpful to their position or to the full and complete investigation of the matter. The individual who is charged may be accompanied by legal counsel or other advisor during interviews with the committee and/or individual members of the committee. The role of counsel or other advisor is limited to observation and advising his/her client on responding to questions.

(d) At this time the subject of investigation will be responsible for all fees or expenses in his/her defense of allegations.

(2) Although a whistleblower enjoys a privilege to report allegations of misconduct, the office of research integrity states (position paper #1, the whistleblower's conditional privilege to report allegations of scientific misconduct, 1993), that abuse of the privilege may leave the whistleblower liable for defamation. In addition, this may subject a whistleblower who abuses the privilege to administrative action by the university as defined in paragraph (G)(11) of this rule. If the allegation of misconduct by the whistleblower proves unfounded, the university should take specific steps for redress of the rights of the unjustly subject of investigation. Among compensatory actions:

(a) The university will become responsible for the defense expenses of the subject of investigation, if so ordered by a court of competent jurisdiction.

(b) The subject of investigation will be given the option to take legal action when appropriate, interview any identified witness(es) and review any and all documentation that might have a bearing on the outcome of the investigation.

(c) The university will report to appropriate federal or state agencies and university officials in accordance with federal and state requirements.

(3) If a university employee is indeed found to have violated university policy or to have violated the terms of a memorandum of understanding or other terms which were required by the university in order to manage or eliminate a potential conflict of interest or conflict of commitment, the provost, in consultation with the senior research officer, the dean or administrative supervisor, the general counsel, and the inquiry committee, may recommend to the president one or more of the following disciplinary sanctions, for action by the university board of trustees:

(a) Formal reprimand.

(b) Suspension from the university for a definite period.

(c) Dismissal from the university.

(d) Other remedial, corrective, or other action which is deemed appropriate.

(4) Illegal acts under this policy may also be subject to prosecution by state and/or federal authorities separate from any university disciplinary sanctions. A university employee may appeal a negative decision and/or disciplinary sanctions in writing to the president, with a copy to the provost, within fifteen days of receipt of the notice of the decision. The president will consider the appeal in consultation with the inquiry committee; chair, dean or administrative supervisor, senior research officer, and/or provost as he or she deems appropriate; and with the general counsel and any other upper management that he or she deems appropriate. The president will provide a decision on the appeal to the employee with a copy to the provost and general counsel, within thirty days of receiving the appeal. The decision of the president will be final, subject to the approval of the board of trustees.

(5) In cases of allegation/accusation of wrongdoing, if as a result of this investigation the allegations are found without merit, the matter will be expunged from all personnel records of the subject of investigation, and the allegation/accusation files will be sealed and delivered to the custody of the office of general counsel. The university recognizes its responsibility to report promptly to those involved, in public and/or in private as may be appropriate, those allegations which prove to be unsubstantiated or substantiated.

(6) All proceedings and actions should be conducted in conformity with Revised Code and code of federal regulations. If it becomes apparent during the course of any review, inquiry, or investigation that there is illegal conduct or activity and/or that the conduct indicated or complained of may be criminal in nature, the university's general counsel will be immediately notified and provided all information and documentation gathered during the investigatory process to date. The decision of how the investigation should proceed, whether the investigation is taken over by the general counsel or whether outside authorities, including police or other law enforcement agencies, should be notified and involved will be determined by the general counsel. Criminal investigations, when necessary, take precedence over normal university academic or advisory reviews. Sequencing of all other reviews which may be needed will be coordinated among the senior research officer, provost, general counsel, and president.

(7) If a violation of this policy involves a collateral proceeding under university policies regarding scholarly misconduct, then the provost will defer a final decision on sanctions until the scholarly misconduct inquiry and/or investigation process is also completed.

(8) The detailed documentation of any allegation/accusation, investigation, and determination will be maintained by the office of general counsel of the university for at least three years from the date of the determination, from the date of acceptance of a final report by the federal office of research integrity or any inspector(s) general involved, or at least three years from the termination date of any related grant or contract, whichever date is later. Documentation must be provided when required by law or upon request to authorized government authorities.

(9) Departmental, college, committee, and other university records are to be retained under suitable confidentiality and may not be destroyed without the permission of the university's general counsel and the university archivist.

(F) University principles for research and sponsored programs.

(1) The university will deal legally and ethically with external sponsors of research and sponsored programs in ways that avoid institutional conflicts of interest. The same is expected of project personnel and sponsors.

(2) The university will not enter into agreements contrary to its mission.

(3) The university will not accept an award for a project that is unacceptable to the principal investigator. Once an award is accepted by the university, all parties are expected to fulfill their respective obligations under that agreement.

(4) The university, its faculty, and its students will retain the right to use all data for research and educational purposes and to publish results in scholarly publications in accord with university policies. A delay of no more than one year may be mutually agreed upon to permit patent filings or other legal filings. To restrict student theses or dissertations from public access for up to one year to permit patent or other legal filings, a written request must be submitted to the dean of the graduate school along with the final draft. The dean of the graduate school will then forward all copies of the thesis or dissertation to the university archivist with a request to withhold it from public access and the open library shelves for up to one year.

(5) Meaningful participation of university students in sponsored research is expected.

(6) In all cases, and at a minimum, the university will retain a perpetual, irrevocable, royalty-free right to practice and use patents, copyrights, all other intellectual property, information and/or materials resulting from or related to any sponsored project for research, testing, and educational purposes only.

(7) The university will not enter into activities or agreements which could jeopardize its nonprofit tax-exempt status or conflict with its required state of Ohio or federal cost principles and/or accounting methods, including but not limited to United States code of federal regulations title 2 part 220 regarding federal cost principles for educational institutions and related administrative or subsequent applicable governing regulations.

(8) The university will not enter into activities or agreements which could jeopardize its eligibility to receive federal or state funds.

(9) The university will not enter into contracts which are not to be governed or construed under Ohio law.

(10) The university will not accept contractual terms that require the university to indemnify or hold harmless other parties.

(11) Title to intellectual property rights resulting from sponsored projects is to vest with the university. Any transfer of these rights to non-governmental entities is subject to specific approval by the board of trustees of the university. An option or a license may be negotiated in good faith and under reasonable terms and rates to share rights through a license with the sponsor, on a non-exclusive, exclusive-by-field-of-use, or similarly limited basis.

(12) The university will not enter into agreements in which the names of the parties or the facts and terms of the agreement cannot be revealed, but the specific topic of the research may be kept confidential.

(13) The university will not make any warranties, express or implied, including but not limited to, implied warranties of merchantability and fitness for a particular purpose.

(14) The university prohibits use of its name or marks or intellectual property by another without its specific prior written permission.

(15) The university will take title to all equipment and supplies acquired under any sponsored agreement, unless covered under a specific and separate written agreement executed by an authorized representative of the university and that sponsor.

(16) The university routinely utilizes the personal services of university employees, visiting professionals, students and others who may not be United States citizens or permanent resident aliens of the United States. Sponsoring or collaborating agencies must assume responsibility for inquiry and/or waivers, in advance of entering into any agreement with the university, under the federal export administration regulations, international traffic in arms regulations, and/or similar or subsequent regulations concerning participation in research by or dissemination of data to foreign nationals.

(G) Policies and procedures governing scholarly misconduct.

(1) While encouraging freedom of inquiry, the university of Akron is committed to the scientific method and the ethical conduct of research. Scholarly misconduct by employees, visiting scholars, or students in research and scholarship broadly construed as applying to scientific experimentation, artistic expression, and all other areas of scholarship in any disciplines not in the spirit of the mission of the university and therefore is not acceptable. The scholarly misconduct policy governs any type of research or scholarship that is publicly disseminated, either by presentation (formal or informal) or publication.

(2) Investigations of alleged scholarly misconduct are conducted within the scope of the law and limited to the discovery of information that would support or refute the allegation. Adverse findings may provide grounds for disciplinary action, up to and including dismissal from the university.

(3) Inquiry and investigation procedures for scholarly misconduct relating to university-related research or scholarship that is publicly disseminated.

(a) Reports of alleged scholarly misconduct may be submitted in writing to, and will be investigated under the direction of, the senior research officer. In addition, the senior research officer, the provost, the president, or board of trustees may themselves initiate such an investigation without a written allegation.

(b) Investigations of alleged scholarly misconduct are conducted by an impartial inquiry committee formed by the senior research officer. The inquiry committee is advised by the office of the general counsel. Members of the inquiry committee are individuals with no real or potential conflict of interest with regard to the alleged misconduct, and with the necessary background to investigate it.

(c) If the subject of investigation is an employee or assignee of an academic unit, the inquiry committee consists of two full-time faculty members from the college of primary appointment of the subject of investigation and one full-time faculty member from each of three different colleges or universities.

(d) If the subject of investigation is not an employee or assignee of an academic unit, the inquiry committee consists of two members appointed by the vice president to whom the subject of investigation reports and three members appointed by the senior research officer.

(e) The composition of the inquiry committee is not necessarily limited to university of Akron employees.

(f) The subject of the investigation may object to the selection of specific members, with foundation, in writing to the senior research officer.

(g) Inquiry committee chairs are elected by the committee. If the subject of investigation is a faculty member, the chair's primary appointment must be in a different college.

(h) If the inquiry raises questions about the protection of human subjects, ethical animal care and use, radiation safety, biohazards, and/or campus safety, the inquiry committee will contact the appropriate university standing committee for assistance. At the request of the inquiry committee or the senior research officer, a member of each appropriate standing committee may be added as an ex-officio but non-voting member of the inquiry committee.

(4) The guidelines for the operation of the inquiry committee are as follows:

(a) The work of the inquiry committee is divided into two processes. The process that occurs first is the preliminary review of charges of scholarly misconduct to determine if a charge of misconduct will stand. The second process that may occur is a formal investigation of charges of scholarly misconduct.

(b) When charges of scholarly misconduct are filed against an individual the senior research officer notifies the individual of the substance of the charges in writing.

(c) The inquiry committee conducts interviews with appropriate individuals and collects relevant information. The senior research officer provides the committee with all information provided to him/her in the filing of the charge. The provost or senior research officer shall provide assistance and support to the inquiry committee when requested.

(d) The individual who is charged may be accompanied by legal counsel or other advisor during interviews with the committee and/or individual members of the committee. The role of counsel or other advisor is limited to observation and advising his/her client on responding to questions.

(e) After collection, review, and discussion of factual information, the committee submits a written report of their findings to the senior research officer and the individual charged with one of two recommendations:

(i) The charges are without merit and the matter should be expunged from all personnel records of the individual charged and the files of the committee sealed and delivered to general counsel or

(ii) The charges have merit and warrant a formal investigation.

(f) The written report of the committee following the preliminary review must be completed within thirty days of the notification of charges to the individual by the senior research officer. The formal investigation must begin within fifteen days from the completion of the preliminary review. A written report of the formal investigation must be completed and submitted to the senior research officer within sixty days of the notification of the charges to the individual.

(g) Written reports of the committee must contain evidence reviewed, summaries of all interviews conducted, and the conclusion/recommendation of the committee.

(h) The senior research officer provides a copy of the committee's report(s) to the individual charged.

(i) The individual charged can provide written comments on the proceedings of the committee and these comments become part of the permanent records of the committee's proceedings.

(j) If the recommendation of the committee, at the conclusion of the preliminary inquiry, is that the charges are without merit and the matter should be expunged from the personnel records of the individual charged and the senior research officer does not agree with this recommendation, the senior research officer informs the provost of such and directs the committee to begin a formal investigation of the charges.

(k) The individual charged must be notified in writing that a formal investigation is to be conducted. This notification includes details of the charges of misconduct, summary of the general nature of the evidence supporting the charges, and statements as to the rights of the individual charged to i) have a hearing, ii) confront and cross-examine adverse witnesses, iii) be heard in person and iv) present witnesses and documentary evidence, and to have legal counsel at his or her expense with the same limitations as in the preliminary review.

(l) If a formal investigation is to be held, the senior research officer or designee takes appropriate administrative actions to protect federal funds and to ensure that the purposes of any federal financial assistance is being carried out. The federal office of research integrity, located within the national institutes of health of the public health service, is notified that an investigation is being conducted.

(i) The subject of investigation may have private legal counsel, but the role of the subject of investigation employee's legal counsel will be limited in the same manner as in the initial inquiry.

(ii) The inquiry committee will inform the senior research officer, who will promptly notify the federal office of research integrity of:

(a) Any reasonable indication of possible criminal violation.

(b) Any developments during the investigation that disclose facts that may affect current or potential federal funding for the individual(s) under investigation or facts that the federal agency needs to know to ensure appropriate use of federal funds and otherwise protect the public interest.

(iii) In executive session the inquiry committee will seek, examine, and evaluate all relevant facts, including but not limited to the charges, consider any written responses to the charges by the subject of investigation, report by experts, advice of consultants, etc. However, the subject of investigation has the right to request a public hearing or a private hearing before the committee at which time the subject of investigation will have the right to present any explanation or rebuttal, to question any complainant, and to question the committee.

(iv) For allegations substantiated by the formal proceedings, the senior research officer will inform appropriate funding agencies of the allegations and findings regarding the scholarly misconduct.

(v) The senior research officer will report findings and recommend further action to the provost.

(vi) The provost may recommend to the president one or more of the following disciplinary sanctions, for action by the university board of trustees:

(a) Formal reprimand.

(b) Suspension from the university for a definite period.

(c) Dismissal from the university.

(d) Other remedial, corrective, or other action that is deemed appropriate.

(vii) Illegal acts may also be subject to prosecution by state and/or federal authorities.

(viii) A university employee may appeal a negative decision and/or disciplinary sanctions in writing to the president, with a copy to the provost, within fifteen days of receipt of the notice of the decision. The president may consider the case in consultation with the committee, senior research officer, provost, chair, dean or administrative supervisor, as he/she deems appropriate; and with the general counsel. The president will provide a decision on the appeal to the subject of investigation, with copy to the provost, senior research officer, and the general counsel, within thirty days of receiving the appeal.

(ix) The decision of the president will be final, subject to the approval of the board of trustees.

(5) If, as a result of this investigation the allegations are found without merit, the matter will be expunged from all current personnel records of the subject of investigation, and the accusation file will be sealed and delivered to the custody of the office of general counsel.

(6) The university will report promptly to those involved, in public and/or in private as may be appropriate, those allegations that prove to be unsubstantiated and those allegations that are substantiated.

(7) If it becomes apparent during the course of any review, inquiry, or investigation that there are illegal issues and/or that the conduct indicated or complained of may be criminal in nature, the university's general counsel should be immediately notified and provided all information and documentation gathered during the investigatory process to date. The decision of how the investigation should proceed will be determined by the general counsel. Criminal investigations take precedence over normal university academic or advisory reviews. Sequencing of any other reviews will be coordinated among the senior research officer, provost, general counsel, and president.

(8) If a violation of this policy involves a collateral proceeding under university policies regarding a conflict of interest or conflict of commitment, then the senior research officer will institute the conflict of interest and/or conflict of commitment review(s), but the provost will defer a final decision or sanctions on that matter until the scholarly misconduct inquiry and/or investigation procedure is completed.

(9) The detailed documentation of any allegation, accusation, inquiry, investigation, and determination will be maintained by the office of general counsel of the university for at least three years from the date of determination, date of acceptance of a final report if any from the federal office of research integrity and/or any inspector(s) general involved, or at least three years from the termination of any related grant or contract, whichever date is later. Documentation must be provided when required by law or upon request of authorized government authorities.

(a) Departmental, college, committee, and other university records are to be retained confidentially to the extent permitted by law and may not be destroyed without the permission of the university's general counsel and the university archivist.

(10) A whistleblower who raises or wishes to raise an allegation against a university employee of scholarly or scientific misconduct or related wrongdoing must respect the confidentiality of sensitive information and give legitimate institutional structures an opportunity to function in resolution of the matter. Whistleblowers and other witnesses have responsibility to raise their concerns honorably and only with foundation. The university has a duty to undertake review and actions as appropriate and not to tolerate or engage in retaliation against good-faith whistleblowers. This duty includes providing appropriate and timely relief to ameliorate the consequences of actual or threatened reprisals, and holding accountable those who retaliate. Although a whistleblower enjoys a privilege to report allegations of misconduct, the office of research integrity states (position paper #1, the whistleblower's conditional privilege to report allegations of scientific misconduct, 1993), that abuse of the privilege may leave the whistleblower liable for defamation. In addition, this may subject a whistleblower who abuses the privilege to administrative action by the university.

(H) Definitions.

(1) Business associate- Any person legally linked with the employee in business contracts, partnerships, firms, enterprises, franchises, trusts, joint ventures, finances, real estate, or in other for-profit legal entities or agreements.

(2) Compensation- money, financial benefit or things of value. Compensation does not include reimbursement for actual and necessary expenses incurred in the performance of official duties or for actual and necessary expenses reimbursed for services to non-profit organizations and outside professional associations and related organizations.

(3) Conflict of commitment- a real or apparent competition of outside activities such that an independent observer might reasonably question whether the employee's professional actions or decisions are or will be adversely affected by competing outside activities and interests to the detriment of the employee's specific and primary duties to the university and its mission.

(4) Conflict of interest- a real or apparent divergence between a university employee's private interests and his or her professional obligations to the university, such that an independent observer might reasonably question whether the individual's professional actions or decisions are or could be determined by considerations of private gain rather than by potential benefit to the university mission.

(5) Family member- conflict of interest/commitment/nepotism- the "family" shall have the same meaning as defined by section 2921.42 of Revised Code (grandparents, parents, spouse, children, whether dependent or not, grandchildren, brothers and sisters, or a person related by blood or marriage residing in the same household). This will not apply in financial disclosures.

(6) Family member- financial disclosure in connection with external funding - for purposes of considering issues of disclosure of financial interest and financial relationships, "family" shall be deemed to mean employee, spouse and dependent children.

(7) Financial interest- anything of monetary value, including but not limited to salary or other payments for services (e.g., consulting fees); equity interests (e.g., stock options or other ownership interests); intellectual property rights (e.g., patents, copyrights, trademarks, trade secrets and royalties from such rights); and any other interest which an employee has in a business enterprise outside the university.

(8) Intellectual property- an all-encompassing term now widely used to designate as a group at least all of the following: patents or patentable inventions, trademarks, copyrights, trade secrets, and the rights of publicity.

(9) Invention- a discovery or development which may be patentable (novel, useful, and non-obvious), and certain types of computer software.

(10) Investigator- a principal investigator, project director, co-investigator, or any other person at the university who is responsible for the design, conduct, or reporting of research or educational activities funded by an external sponsor.

(11) License- a permission to use a right to intellectual property under defined conditions.

(12) Mission- the university's mission, including teaching; research; scholarly and creative activities; and community and public service.

(13) Outside activities- outside professional association activities and outside consulting activities.

(14) Outside consulting activities- activities of university employees, other than their employment obligations to the university, performed for compensation above actual and necessary expenses or honoraria. These do not include outside professional association activities. These may or may not involve conflict of interest or conflict of commitment, which may need management.

(15) Outside professional association activities- uncompensated activities (except for actual and necessary expenses and honoraria) such as, but not limited to, those involving recognized professional associations and societies or scholarly or advisory bodies related to academic work or disciplines; serving on public commissions or boards of philanthropic organizations; presenting guest lectures or scholarly papers at academic or professional conferences; leading or participating in seminars, workshops, or short courses sponsored by academic, government, or nonprofit organizations; serving on review panels or accreditation teams; visiting colleagues or model programs at other universities or public or nonprofit institutions. Such uncompensated activities are not considered outside consulting activities.

(16) Private gain- acquiring something of value, profiting, receiving payment, or otherwise receiving some form of personal financial or material increase or compensation for self or family member(s), from the university of Akron.

(17) Provost- the senior vice president and provost and chief operating officer.

(18) Quarter- any three consecutive calendar months.

(19) Scholarly misconduct- academic and/or scientific misconduct construed so as to encompass misconduct in the physical sciences, natural sciences, health sciences, social sciences, humanities, professions, fine arts, applied arts, in artistic expression and in all other academic fields within the university. Terms and categories of misconduct will be deemed to have those meanings and interpretations as reflected by their common usage and understanding in an academic and research community. At the university of Akron, each department is the judge of these meanings and interpretations. Scholarly misconduct is intended to include within it but is not limited to the definitions of the American association of universities' broad categories of classification of scientific misconduct and the federal definitions as published by the national institutes of health of the U.S. public health service, U.S. department of health and human services, and of the national science foundation, as amended. Scholarly misconduct includes:

(a) Plagiarism.

(b) Falsification of discovery.

(c) Theft of another's discoveries, scholarly work, or creations.

(d) Violation of accepted scientific procedures in making discoveries.

(e) Falsification of data.

(f) Abuse of confidentiality.

(g) Practices that seriously deviate from those that are commonly accepted within the scientific or academic community or discipline for proposing, conducting, or reporting research (not including honest error or honest differences in interpretations or judgments of data) or in publication, except that this is not intended to cover research or proposals or publications that may be protected as an exercise in academic freedom.

(h) Material failure to comply with federal requirements, including protection of researchers, human subjects, and the public; and/or to ensure the welfare and ethical care and use of laboratory animals.

(i) Failure to meet other material legal requirements governing research or sponsored programs.

(20) Senior research officer- the university administrator named by the university to represent the university at the Ohio board of regents as chief research officer.

(21) Significant financial interest- a financial interest beyond the following:

(a) An equity interest in an entity that does business with the university of Akron that, when aggregated for the employee and the employee's family members, meets one of the following tests: exceeds ten thousand dollars in value as determined through reference to public prices or other reasonable measures of fair market value, and represents more than a five per cent ownership interest in any single entity as defined in paragraph (H)(6) of this rule.

(b) Salary, royalties, or other payments that, when aggregated for the employee and the employee's family members, exceeds ten thousand dollars in an entity doing business with the university of Akron.

(c) A significant financial interest does not include:

(i) Royalties or royalty-type income/remuneration from the university itself.

(ii) Income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities.

(iii) Income from service on advisory committees or review panels for public or nonprofit entities,

(22) State- state of Ohio.

(23) Technology transfer- conveyance from one party to another of knowledge, methods and/or materials used to apply science, especially to industrial or commercial objectives; and/or conveyance of intellectual property, whether through license or otherwise.

(24) University- the university of Akron.

(25) Whistleblower- a university employee or student who reports what may be illegal or wrongful activities of the university and/or its employees.

(26) Central administration officer - either the senior research officer or the executive director for human resources.

Replaces: 3359-11-17

Effective: 2/1/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359.03
Prior Effective Dates: 07/05/00, 06/25/07, 06/28/12

3359-11-17.1 Conflict management requiring president's review.

(A) In any instance in which, as university employee, a vice president is required by a " university rule, including, but not limited to rule 3359-11-17 or rule 3359-11-18 of the Administrative Code, to make a disclosure or obtain approval, which shall include, but is not limited to. any instance in which such employee may benefit from or have a financial interest in matters pertaining to any property including the development, prosecution, defense, receipt or maintenance of intellectual property, or its commercialization, and the rule requires that the disclosure be made to or the request for approval be considered by the employee's immediate supervisor, the employee shall make the disclosure or submit the request for approval to the president of the university. With respect to any approved conflicts management plan concerning such employee, the president shall have responsibility for compliance under paragraph (D)(3) of rule 3359-11-18 of the Administrative Code and annual review under paragraph (D)(4) of rule 3359-11-18 of the Administrative Code.

(B) In any instance in which a university vice president also serves as director or officer of the university of Akron foundation or the university of Akron research foundation, and may benefit from or have a financial interest in matters pertaining to property including the development, prosecution, defense, receipt or maintenance of intellectual property, or its commercialization, by either the university of Akron, the university of Akron foundation, or the university of Akron research foundation, or any lessees, licensees, purchasers or assignees thereof neither said individual nor any other employee subject to said individual's authority shall be authorized to make any decision on behalf of the university or said foundations with respect to such matters. In such instances, said individual shall submit the matter for decision to the president of the university. With respect to any approved conflicts management plan or other approval concerning said individual, the president shall have responsibility for compliance with applicable university rules governing conflicts of interest and commitment and with the advisory opinion of the Ohio ethics commission issued on October 15. 2002. concerning the management of such conflicts.

Replaces: 3359-11-17.1

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 07/03/05, 06/25/07

3359-11-17.2 Spousal hire policy for all employees other than bargaining unit faculty.

This rule shall apply to all twelve month faculty who are not bargaining unit faculty, and it shall apply to contract professionals, and to unclassified exempt staff.

(A) Statement of purpose. In the academy it is becoming increasingly common that some individuals recruited to positions within the university through a national search have a "trailing spouse" who may also have a professional career. In an effort to assist the university in attracting and hiring the best candidates for employment, it is necessary to enact a spousal hire policy to enable the university to offer employment assistance or opportunities to candidates' trailing spouses in those circumstances deemed warranted. However, nothing in this policy shall be deemed to create any entitlement to employment assistance or employment or any other obligation with respect to any candidate's spouse, unless expressly made a part of the employment offer made in writing to a candidate recruited through a national search, and thereafter approved by the board of trustees.

(B) Definitions.

(1) Candidate shall mean an individual the university has identified through a national search and to whom the university wishes to extend an offer to fill an available position within the university.

(2) Spouse shall mean someone married, as defined by Ohio law, to a candidate for employment at the university of Akron.

(3) Spousal hire, for purposes of this policy, shall mean an offer made by the university of Akron to an individual who the university has identified as a candidate to employ one of the mechanisms outlined in this policy to assist the candidate's spouse in locating employment in the geographic area surrounding the university, or within the university.

(C) Eligibility for application of the spousal hire policy.

(1) This policy shall only apply to positions, other than those for bargaining unit faculty, for which the university has conducted a national search.

(2) Spousal hires shall not be made that would require the management of potential conflicts pursuant to the university's conflict of interest and conflict of commitment policy, located in rule 3359-11-17 of the Administrative Code.

(3) A spousal hire offer of assistance or opportunity for a candidate's trailing spouse shall only be made prospectively at the time of the candidate's original hire and shall not be made retroactively.

(4) Spousal hire offers of assistance or opportunity are limited based upon university need and resource limitations, and no spousal hire shall be made without full consideration of the financial effect of such a hire. No spousal hire shall be made without the appropriate approvals consistent with the university of Akron's affirmative action plan, and appropriate consideration of the specific departmental needs and its concurrence with the spousal hire.

(D) The president of the university may implement the provisions of this policy through any mechanism deemed reasonable, subject to approval of the board of trustees, which may include, but is not limited to, any of the following:

(1) Providing assistance in networking and identifying employment opportunities within a fifty mile radius of the university.

(2) Filling a full- or part-time vacant position.

(3) Creation of a shared position, if the spouse is in the same field as the candidate.

(4) Creation of a contract professional or staff position.

The terms of offer to any candidate and candidate's spouse pursuant to this policy, with their signed acceptance thereon, shall be documented in a letter of offer or proposed agreement which shall include the terms of the spousal hire assistance to be provided by the university, subject to approval by the board of trustees.

(E) An offer of spousal hire pursuant to this policy shall not normally be made within the same department as the candidate except in rare and compelling circumstances.

(F) The terms and conditions of a spousal hire shall be consistent with the terms and conditions of employment for similarly situated employees. For example, if a spouse is hired into a vacant or newly created contract professional position, he or she is subject to the same employment rules that generally apply to contract professionals, including but not limited to standard terms of reappointment, non-reappointment and termination, with no additional employment right or expectancy whatsoever arising from their initial status as a spousal hire.

Replaces: 3359-11-17.2

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 07/03/05, 06/25/07

3359-11-18 Conduct and ethics policy: employee financial interests in companies licensed under university intellectual property.

(A) Policy statement.

The board of trustees has determined that the best interests of the university of Akron will be served if employees who create new technology are afforded the opportunity to hold personal financial interests in companies that are engaged in commercializing their inventions. Employee participation with outside companies in technology development activities will facilitate the university's goal of making its research available for use in the private marketplace by giving researchers an incentive to develop inventions with commercial applications. The opportunity to participate in commercialization activities is also essential to the university's efforts to attract and retain highly qualified researchers. The procedures and guidelines set forth in this policy are intended to enable the university to realize the benefits of such entrepreneurial activities while protecting the integrity of its research and educational mission and to comply with university policies and with applicable federal and state laws.

(B) Applicability.

(1) Scope and definitions.

(a) This policy applies to any faculty, staff or student employee who is the creator of a discovery, invention, work or trade secret information that is owned by the university of Akron through the operation of rule 3359-2-05 of the Administrative code (university research, copyright and patent policy,"Inventor") and who desires to acquire an equity or other financial interest ("Financial Interest") in a firm, corporation, or other association ("Company") to which the university of Akron or the "University of Akron Research Foundation" (collectively. "University") has assigned, licensed, transferred or sold its interests in the discovery, invention, work or trade secret information made or created by that employee or in a patent or copyright issued to that employee ("Intellectual Property").

(b) This policy deals only with the acquisition by an inventor of a financial interest in an entity that is developing and/or using technology based on intellectual property that was created by that inventor: accordingly, the term "Company" refers only to such an entity. For purposes of this policy. "Inventor" includes the inventor's spouse and members of his or her immediate family and any firm, corporation or other association controlled by the inventor: and "Financial Interest" includes any stock, bond, warrant, option, loan or other equity or debt interest in a company, or promise of the same, as well as paid consulting or employment with a company.

(2) Relation to the Ohio ethics laws.

(a) This policy creates an exception to chapter 102 and sections 2921.42 and 2921.43 of the Revised Code (collectively, the "Ohio Ethics Laws"). Among other things, these laws prohibit public officials from having an interest in the profits or benefits of a public contract entered into by or for the use of the governmental unit with which he/she is connected, or from soliciting or accepting anything of value that is of such character as to manifest a substantial and improper influence upon him/her with respect to the performance of his/her duties. Compliance with this policy will provide an inventor who acquires a financial interest in a Company with an exemption from these and other possibly applicable provisions of the Ohio ethics laws. A failure to comply with this policy could result in a violation of the Ohio ethics laws.

(b) This policy applies only to inventors, as defined. Consequently, employees other than Inventors who acquire a financial interest in a company that is developing university-owned intellectual property should consult their own legal advisers to determine whether the transaction violates the Ohio ethics laws.

(3) Relation to other university rules.

Inventors seeking to comply with this policy should also consult other rules of the Administrative Code on related subjects. It is the intent of this policy that it be administered consistently with all other university rules and policies that may apply to the same circumstances.

(4) Other matters not covered.

This policy does not deal with the terms and conditions under which the university will assign, license, transfer or sell intellectual property to an entity that will become a company upon acquisition of rights in the intellectual property, or with the terms and conditions upon which the university will require or accept an equity interest in a licensee company. These and all other terms and conditions of licensing agreement will be determined pursuant to other university policies. Generally, such transfers and/or equity participations will not be made or entered into unless it is determined both that the proposed company has the resources (or a reasonable plan to obtain the resources) necessary for development of the technology, and that it has a satisfactory business plan for such development.

(5) Effective date.

This policy shall apply only to acquisitions of financial interests or licenses, assignments, transfers or sales of intellectual property that occur on or after the date of this initial adoption.

(C) Policy requirements.

(1) An inventor may solicit or accept a financial interest in a company if, but only if, he or she has first complied with the requirements of this policy.

(2) It should be noted that an entity organized for the purpose of commercializing intellectual property will not become a company until the university has assigned, licensed, transferred or sold its interest in the intellectual property to the company. Consequently, an inventor who is participating in the organization of a company that expects to license intellectual property from the university should comply with this policy before the intellectual property has been licensed to the company, or before soliciting or accepting a financial interest in the company if it already has acquired the license.

(3) The university will not knowingly license intellectual property to an entity in which an inventor has financial interests until there has been compliance with this policy. It may, however, grant an option to acquire the license conditioned on compliance with the policy. This will protect the entity's interest in obtaining the necessary license while the inventor seeks approval for the proposed financial interest.

(4) Employees who wish to participate in a start-up company may discuss initial company formation with the office of the vice president for research. However, negotiations between the university and a company seeking to license its intellectual property should, to the extent possible, be conducted by company representatives other than the inventor.

(D) Approval process.

(1) Compliance with collateral employment requirements.

An inventor seeking approval to hold a financial interest in an existing or proposed company shall first comply with Rule 3359-11-17 of the Administrative Code, as applicable, relating to consulting and collateral employment. This requirement applies regardless of the nature of the financial interest involved, and thus must be met even in cases where no consulting will occur and the only financial interest is a passive equity interest in the company. In addition to the conflict of interest and commitment reports that are required by the applicable rule, the inventor shall submit a supplemental report containing:

(a) A complete disclosure of the inventor's proposed financial interest in the company; and

(b) A conflicts management plan that addresses the following issues:

(i) Management of university obligations. The conflicts management plan shall describe the inventor's university duties (e.g., teaching loads, committee assignments, etc.) and explain how potential conflicts of commitment will be managed so that these university duties can continue to be fully performed. Inventors who are unable to perform the full range of their university duties must request a reduction of appointment or other approved leave. Professional improvement leave authorized under section 3345.26 of the Revised Code may not be used for private business purposes.

(ii) Proposed participation in management of the company. Inventors may hold temporary management positions in a company that is in the start-up phase. However, it is expected that the company will obtain professional management as soon as this is practical, and that the inventor's participation in the company's management will decrease as the company develops. The conflicts management plan must describe the contemplated participation in management and provide enforceable milestones for the reduction of the participation. As a general rule, Inventors should not hold management positions in established companies.

(iii) Limitation of equity ownership. Although an inventor may hold a significant equity interest or debt position in a company in its initial stages of development, it is expected that the inventor's percentage of ownership will decrease as the company develops and attracts additional investment. The conflicts management plan must describe the inventor's contemplated initial equity and/or debt participation in the company and provide enforceable milestones for reduction of that interest to not more than twenty-five percent of the company's total equity or debt, as the case may be, or such other level of financial interest as the inventor and university may mutually agree.

(iv) Use of university facilities. The conflicts management plan shall describe any proposed use of university facilities, equipment or other resources to further the business interest of the company. No such use will be permitted except pursuant to a sponsored research agreement or a facilities use agreement with the company that is approved by the office of research and processed in accordance with the university's contracting procedures.

(v) Student employment. The conflicts management plan shall describe any proposed use of university students to further the business interest of the company. The inventor may not use university students for this purpose as part of a student's assigned academic work, but the company may employ students pursuant to an employment plan that has been approved by the chair of the student's department and, if applicable, the chair of the graduate studies committee. Students may perform research that benefits the company when the work is being performed pursuant to a sponsored research agreement or a formal internship agreement between the company and the university.

(2) Approval by research office.

Upon compliance with the applicable collateral employment procedures, the approved collateral employment form and conflicts management plan that has been approved by the appropriate chair(s) and dean(s) shall be forwarded to the office of research for final approval by the vice president for research. In granting such approval, the vice president may consult with the provost and the office of general counsel and may make such additional conflict management requirements as are deemed necessary to approval of the inventor's proposed financial interest in the company.

(3) Compliance.

Compliance with an approved conflicts management plan shall be the responsibility of the inventor's academic unit head/chair and dean or staff supervisors, as the case may be, in consultation with the office of research. Violations of the conflicts management plan may subject the inventor to university discipline, or deprive the inventor of the exception to the Ohio ethics laws that would otherwise be applicable. In addition, the university's license agreement, facilities use agreement, sponsored research agreement or other agreement with the company may provide for termination or other remedy if the inventor fails to comply with the conflicts management plan.

(4) Annual review.

To assure continued compliance with the plan, the office of research shall annually conduct an assessment of the inventor's performance under the conflicts management plan. Such assessment shall include a report from the inventor's academic unit head and dean or staff supervisors respecting the adequacy of the inventor's performance of his or her assigned university duties and a review by the office of research of the extent to which the milestones that are contained in the conflicts management plan have been met. Any deficiencies that are noted shall be discussed with the Inventor with a view to achieving compliance or modifying the plan or the related agreement with the company. A failure to reach agreement on compliance can result in one or more of the consequences described in paragraph (D)(3) of this policy.

(5) Freedom from conflicts in the administration of this policy.

University officers and employees shall not participate in the approval process or in the administration or enforcement of this policy with respect to a company in which they have a financial interest.

Replaces: 3359-11-18

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 05/23/02, 06/25/07

3359-11-19 Policies and procedures for release, privacy and security of selected health information.

(A) Definitions.

(1) "HIPAA." "HIPAA" is the "Health Insurance Portability and Accountability Act of 1996" and the "Administrative Simplification" regulations found in title 45 of the Code of Federal Regulations.

(2) Protected health information. Protected health information is individually identifiable health information as defined and protected under "HIPAA."

(B) Privacy official.

(1) The director of health services shall act as the university's privacy official and in that capacity shall coordinate the university's compliance with "HIPAA," including, but not limited to, gathering information sought by a requester, providing for the inspection of such information by the requestor, furnishing copies to the requestor, receiving complaints, establishing an internal privacy and security audit system, coordinating privacy and security training for affected areas of campus, coordinating with the university's information technology security officer, and attending and briefing the information technology security policy as necessary regarding "HIPAA" privacy and security issues. In order for the university to comply fully with "HIPAA," the university privacy official shall have full authority to gather such information as is necessary to comply with the request.

The university privacy official shall have the authority to designate an individual or individuals to assist with "HIPAA" compliance obligations.

(2) The university privacy official shall keep the office of general counsel informed with respect to all "HIPAA" requests and complaints and shall obtain advice and counsel with respect to compliance requirements.

(3) All university employees, students, and members of the workforce, as that term is defined by "HIPAA," shall cooperate fully with the university privacy official in "HIPAA" compliance efforts, including, but not limited to, providing the records requested, allowing for proper inspection and copying of the records, attending trainings, and conducting inspections and audits as necessary to conform with the requirements of the law.

(4) The university privacy official shall designate those academic and administrative health care units covered by "HIPAA" as part of the covered health care component of the university. The university privacy official shall maintain a list of all units covered by "HIPAA" and of all other units included within the covered health care component of the university, which serve as business associates within the university covered health care component for "HIPAA" purposes.

(5) The university privacy official shall have the authority to review all privacy, confidentiality and security standards and procedures created by academic and administrative departments that are part of the covered health care component of the university and to direct changes to such standards and procedures as necessary.

(C) Unit requirements.

Academic and administrative departments determined by the university privacy official to be part of the covered health care component of the university shall:

(1) Develop unit specific standards and procedures to protect the privacy, confidentiality and security of protected health information that comply with "HIPAA" and with this rule.

(2) Train all unit employees, students, and members of the workforce, as that term is defined by "HIPAA," who have access to records protected by "HIPAA" on the "HIPAA" requirements, the university policies and procedures for release, privacy and security of selected health information, and the unit standard and procedures for privacy, confidentiality and security of records protected by "HIPAA." Such training must be conducted as the university privacy official deems necessary and within a reasonable period of time after a new individual joins one of the covered health care components.

(3) Coordinate distribution of a notice of privacy practices as necessary under "HIPAA." The notice of privacy practices must contain all "HIPAA" required elements and be approved by the university privacy official prior to being distributed.

(4) Document compliance efforts as required by "HIPAA."

(5) Comply with all federal, state, and local laws and regulations related to the privacy, confidentiality, and security of medical information.

(D) Business associates.

Units within the covered health care component of the university may share protected health information with third parties, referred to as business associates, who provide the units within the covered component with services that use or involve health information. These units shall only share such information with business associates pursuant to a business associate agreement approved by the office of general counsel.

(E) University employees, students, and members of the workforce. University employees, students, and members of the workforce, as that term is defined by "HIPAA," in "HIPAA" covered components shall:

(1) Limit uses and disclosures of all health information to the minimum necessary to complete the assigned task.

(2) Upon discovery, report all incidents of misuse or improper disclosure of protected health information to the university privacy official.

(F) Retaliation.

The university shall not tolerate nor engage in retaliation against any employee, student, or member of the workforce, as that term is defined by "HIPAA," who reports an incident of misuse or improper disclosure of protected health information to the university privacy official or to the secretary of the department of health and human services.

(G) Discipline for violations of "HIPAA," rule 3359-11-19 of the Administrative Code, or unit standards and procedures.

(1) All employees, students, or members of the workforce, as that term is defined by "HIPAA," who use or disclose protected health information contrary to unit standards and procedures, rule 3359-11-19 of the Administrative Code, or "HIPAA" shall be subject to discipline, which may include, but is not limited to, verbal and written warnings, suspension without pay, and termination.

(2) Covered components shall document any sanctions imposed for violations of "HIPAA," rule 3359-11-19 of the Administrative Code, or unit standards and procedures, as required by "HIPAA." and provide all documentation relevant to such sanctions to human resources for inclusion in the employee's personnel record.

Replaces: 3359-11-19

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 04/17/03, 11/06/06

3359-11-21 Criminal background checks for residence life and housing employees.

(A) Purpose.

The department of residence life and housing is charged with supporting the academic needs of students by providing programs that support personal growth, development and student success. Likewise, residence life and housing provides facilities that are responsibly maintained and conducive to sleep and study. Of paramount concern in all residence life and housing initiatives are the health, welfare and safety of our resident students who reside in university housing, and the protection and preservation of their property. As such, pre-employment background checks are required of all applicants for residence hall staff positions or positions necessitating access to student living quarters or common areas, and all employees hired into such positions will be subject to criminal background checks annually thereafter. This policy shall apply to. without limitation, contract professionals, resident assistants, graduate assistants, residence assistants, desk assistants, staff, and such others as designated by the director of residence life and housing. In addition to such staff and employees, criminal background checks may also be required of spouses and adult dependents, as a condition of being granted permission to reside in the residence halls.

(B) Residence life and housing staff members and others subject to criminal background checks.

Staff members or potential staff members and others as designated by the director of residence life and housing shall be required to provide information regarding criminal history and background information as part of the employment process on forms provided for that purpose. In addition, it shall be a condition of employment that all such individuals submit to the criminal background check procedures established by the university police. Failure to disclose criminal history as required, or providing false or misleading information, shall constitute sufficient grounds for disqualifying a candidate for employment and/or for termination of a current employee's employment.

"A plea of guilty to. a finding of guilty by a referee, jury or court of. or a conviction" of any of the following shall disqualify an applicant from employment, and shall disqualify a current employee from employment, in any position described in paragraph (A) of this rule:

(1) A felony.

(2) A sexual offense, as defined in Chapter 2907. of the Revised Code.

(3) An offense of violence, as defined in division (A)(9)(a) section 2901.01 of the Revised Code.

(4) A theft offense, as defined in division (K)(1) of section 2913.01 of the Revised Code.

(5) A drug abuse offense, as defined in division (6) of section 2925.01 of the revised code.

(6) Substantially comparable conduct to paragraphs (B) (1) to (B) (5) of this rule, occurring in a jurisdiction outside the state of Ohio.

All employees employed in positions described in paragraph (A) of this rule, including but not limited to students, staff, and contract professionals, are annually subject to criminal background checks pursuant to this policy. Effective immediately, reemployment as a member of the residence life and housing staff shall be conditioned, in part, upon a satisfactory criminal background check that does not include any disqualifying conditions as outlined in paragraph (B)(6) of this rule.

Current employees who are charged with an offenses described in paragraphs (B)(1)(6) to (B) of this rule during employment are subject to administrative leave with or without pay until such time as the matter is finally adjudicated or dismissed. Upon a "plea of guilty, a finding of guilty by a referee, jury or court of or conviction of any such offenses." the individual's employment shall be subject to termination.

(C) Conducting criminal background checks.

Residence life and housing administrative staff and others as designated by the director of residence life and housing are responsible for ensuring that criminal background checks are completed and that the individual has no disqualifying criminal background prior to an offer of employment being made to the applicant. In the event it is determined that a criminal background check was not completed prior to the start of employment, the individual shall be placed on administrative leave pending the completion of a criminal background check. Depending upon the outcome of the criminal background check, the individual shall either be returned to active employment, or if found to have a disqualifying condition for employment as provided in this rule, shall be subject to termination from his or her employment.

The director of residence life and housing, in conjunction with the associate vice president and dean of student life as well as the executive director of human resources and the vice president and general counsel, or their designees, shall provide for and prepare guidelines that shall provide for periodic review of this rule, its application, and the need for sharing the information obtained with other university offices as necessary.

Where a criminal background check reveals that a student committed an offense described in paragraphs (B)(1) to (B)(6) of this rule, such information shall be made a part of that student's education record and employment record at the university of Akron. Nothing in this rule shall limit the duty or authority of the board of trustees or administrative officers from taking appropriate disciplinary action through such procedures as may be provided by rule or authority, nor shall this rule be construed to modify, limit, or rescind any rule of the university.

(D) Procedure for effecting criminal background checks.

The procedure for effecting criminal background checks shall be under the authority of university police.

Replaces: 3359-11-21

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 11/06/06

3359-11-22 Criminal background checks for university employees.

(A) Purpose. The university of Akron is committed to providing a safe environment for all students and employees. The university endeavors to protect the health, welfare and safety of all students, employees and visitors on our campus. As such, the university will conduct a pre-employment background check for all applicants selected for employment. This policy shall apply, without limitation, to all individuals selected during the hiring process for full-time and part-time administrators, faculty, contract professional and staff positions.

(B) Conducting criminal background checks.

(1) Background checks will be performed once a preferred candidate has been selected for employment, but prior to the commencement of employment. The applicant for the position will be required to provide a written release to authorize the criminal background investigation using an authorized university form. In addition, it shall be a condition of employment that all such individuals submit to the criminal background check procedures.

(2) If the preferred candidate has lived in the state of Ohio for the past five consecutive years, a state of Ohio criminal background check will be conducted through the Ohio bureau of criminal identification and investigation ("BCI&I"). If the candidate has not lived in the state of Ohio for the past five consecutive years, a federal criminal background check will be conducted through the "BCI&I" website in addition to the Ohio criminal background check. Residence length will be verified during the employment reference checking procedure.

(3) Certain positions at the university of Akron, if required by law or contract, will be subject to both state of Ohio and federal criminal background checks regardless of how long the preferred candidate has resided in Ohio. The candidate may be required by the law enforcement agency conducting the criminal background check to provide additional information which is needed by the law enforcement agency for purposes of conducting the criminal background check. The university of Akron will pay for all fees associated with the criminal background check.

(C) Use of information obtained from criminal background checks.

(1) A plea of guilty to, a finding of guilty by a referee, jury or court, or a conviction of a crime will be considered in determining the eligibility of an individual for employment. The university of Akron will not consider arrests without conviction for employment purposes unless required by law; provided, however, that in the event the applicant has an arrest that is pending during the hiring process and the university determines that the hiring decision cannot be delayed pending the outcome of the criminal proceedings, the university will proceed with the hiring process without further consideration of the applicant.

(2) Although a disqualification is possible, in accordance with federal and state laws, a previous conviction will not automatically disqualify an applicant from consideration for employment. Background reports that indicate a plea of guilty to, a finding of guilty by a referee, jury or court, or a conviction of a crime will be reviewed by a designated individual(s) in the department of human resources. The associate vice president of human resources and employee relations and/or the assistant vice president of human resources and appointing authority shall confer with the office of general counsel prior to approving any action taken under this policy.

(3) In the absence of compelling and extraordinary circumstances, a plea of guilty to, a finding of guilty by a referee, jury or court, or a conviction of any of the following shall normally disqualify an applicant from employment:

(a) A felony.

(b) A sexual offense, as defined in Chapter 2907. of the Revised Code.

(c) An offense of violence, as defined in division (A)(9)(a) of section 2901.01 of the Revised Code.

(d) A theft offense, as defined in division (K)(1) of section 2913.01 of the Revised Code.

(e) A drug abuse offense, as defined in division (G) of section 2925.01 of the Revised Code.

(f) Substantially comparable conduct to paragraphs (C)(1) to (C)(5) of this rule, occurring in a jurisdiction outside the state of Ohio.

(4) In addition, the following factors will be considered for those applicants with other potentially disqualifying criminal record in determining whether to extend an offer of employment:

(a) The nature or gravity of the offense(s); and

(b) The time since the conviction and/or completion of the sentence; and

(c) The nature of the job held or sought.

(5) If a guilty plea, finding of guilty, or conviction is discovered, the applicant will be given an opportunity to discuss the findings of the criminal background report with the designated individual(s) in the department of human resources. If, at any time, an applicant attempts to withhold information or falsifies information pertaining to previous convictions, the applicant will immediately be removed from consideration for employment. If an applicant does not disclose or otherwise withholds or falsifies information pertaining to a criminal record during the hiring process, and is later found to have such a record, it will be considered sufficient grounds to terminate the individual's employment.

(D) Offer of employment procedure. Conditional offers of employment will be made subject to the successful completion of a criminal background check. Information obtained from the criminal background check will be used as part of the employment process and will be kept strictly confidential to the extent permitted under Ohio law.

(E) Procedure for effecting criminal background checks. The procedure for effecting criminal background checks shall be under the authority of the university of Akron's department of human resources.

Replaces: 3359-11-22

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 08/30/99, 12/31/09

3359-11-23 Petitions for employment-based non-immigrant or immigrant (permanent residency) status.

(A) The teaching, research and service mission of the university of Akron is enhanced by the knowledge and expertise shared by foreign nationals joining our community as teachers, scholars and specialists. In order to employ international faculty and staff, whether on a temporary or permanent basis, federal law requires that an employer file a petition seeking approval of the employment. In order for the university to complete the petitions, certain technical requirements must be met, including attestations as to labor conditions. The university will consider preparation of the petition only after the following threshold facts have been documented:

(1) Petitions for employment-based non-immigrant or immigrant status are based on documented institutional needs. Assisting individuals with successful attainment of non-immigrant or immigrant status is not a valid basis for university sponsorship or offers of university employment.

(2) Job descriptions provided for the preparation of petitions for non-immigrant or immigrant workers accurately describe the actual job duties to be performed by the worker.

(3) Proposed rates of pay are equal to actual wage levels paid to all other individuals employed in similar positions or the applicable prevailing wage for the position being filled, whichever is higher.

(4) Petitions for immigrant workers are based on reasonable expectations of continued employment.

(B) Petitions for H-1B non-immigrant or immigrant workers normally will be evaluated only for positions requiring a high level of expertise and terminal degrees in the field, or a high level management or technical position justifying the university's sponsorship.

(C) Consistent with the parameters set forth herein, the university will agree to sponsor non-immigrant and immigrant petitions. The foreign national must, however, be made aware of the length and complexities of the application process and the extensive requirements and conditions that must be met by both the employee and employer and the fact that immigrant status is subject to approval by the U.S. citizenship and immigration services. International employees are limited to employment for only the length of time determined by his/her initial non-immigrant status and any valid extensions or adjustment to immigrant status, assuming the international employee's job performance is otherwise satisfactory and that adequate funding exists.

(D) For those foreign nationals seeking appointment to a tenure-track position, university policy requires a faculty member to be a lawful U.S. citizen or have obtained lawful permanent residency status prior to submitting an application for tenure. Since the normal probationary period for tenure at the university is seven years, a tenure-accruing faculty member must be a U.S. citizen or have obtained permanent residency status by the end of his/her sixth year of employment in order to be considered for tenure.

Replaces: 3359-11-23

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359
Rule Amplifies: 3359
Prior Effective Dates: 08/30/09

3359-11-24 Effort commitment and certification.

(A) The university of Akron (the university) recognizes the importance of providing good stewardship in managing extramural funds. The university's stewardship responsibilities include complying with federal requirements to certify faculty and staff effort on sponsored projects.

(B) Support for the faculty's research goals is critical to the success of the university. The purpose of this document is to foster excellence in research by promoting the successful management of effort and commitments throughout the sponsored project life cycle. Activities during which effort issues are important include:

(1) Establishing faculty and staff appointments and professional duties, including research, teaching, administration and clinical responsibilities.

(2) Proposing effort in an application for a sponsored project.

(3) Establishing effort commitments at the time an award is made.

(4) Charging salary support, establishing and documenting cost sharing, and expending effort during the life of a project.

(5) Monitoring progress toward the fulfillment of effort commitments to specific projects.

(6) Managing an individual's total commitments across all projects.

(7) Certifying that salary support charges are reasonable in relation to the work performed, and that commitments to sponsors have been met.

(C) All researchers who engage in sponsored projects will comply with university rules, policies and procedures, sponsoring agency regulations and applicable law regarding the proposing, charging, and reporting of effort on those projects. The university assigns responsibility to the office of the associate vice president/controller for maintaining sponsored project accounting records; generating, distributing and recording effort reports; and administering procedures in furtherance of this policy.

(D) Effort must be certified for all individuals who receive salary support from a sponsored project or who expend committed effort on a sponsored project without receiving salary support from the sponsor. Faculty and academic staff are required to certify their effort each semester. The time of the research staff reported and charged on sponsored projects will be certified by the principal investigators each semester. Effort must be certified in a timely manner. Effort is defined as:

The proportion of time devoted to sponsored projects, teaching, clinical practice, and other activities, expressed as a percentage of total university activity, or one-hundred per cent effort. The denominator of the effort percentage must always be total university effort, irrespective of the total number of hours worked during the effort reporting period.

(E) The effort devoted to a sponsored project should be consistent with the plan that was proposed to the sponsoring agency and agreed to at the time of the award. All principal investigators, faculty and academic staff who are involved in proposing, executing, directing, or managing sponsored projects are responsible for:

(1) Understanding the fundamentals of effort and commitment management and effort certification.

(2) Proposing, expending, and managing effort in accordance with all sponsoring agency regulations, university rules, policies and procedures and applicable law.

(3) Completing the required training and educational programs associated with effort reporting.

(F) This policy is created in order to:

(1) Comply with provisions of the federal office of management and budget's circular A-21 (cost principles for educational institutions) regarding effort certification and other relevant sponsor requirements.

(2) Provide clear direction to faculty and staff for determining effort when preparing proposals and subsequently verifying effort.

(3) Promote the best possible alignment between faculty and staff activity and funding sources and, in so doing, enhance work at the university of Akron.

(4) Establish expectations for tracking and confirming the certification of effort by university personnel.

Replaces: 3359-11-24

Effective: 1/31/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 12/31/09

3359-11-25 Use of video surveillance on campus.

(A) Purpose.

The purpose of this rule is to standardize the use of video surveillance cameras at the university of Akron. This rule places the responsibility for approval, placement, and monitoring of all video surveillance cameras under the control of the university of Akron police department (UAPD), which will assist the UAPD in its response to safety and security issues on university property.

This policy does not apply to the use of video or visual surveillance, monitoring or recording, covert or otherwise, by the university of Akron police department (UAPD) during criminal investigations or as authorized by a court of law, or legitimate academic uses of video cameras for academic or research purposes.

(B) Definitions.

(1) Camera means any item, system, technology device, or process, used alone or in conjunction with a network, for the purpose of gathering, monitoring, recording or storing an image or images. Images may be viewed in real-time and/or captured and preserved for possible review at a later date.

(2) Monitoring is the process of observing or reviewing images that are captured by video surveillance either in real-time or that have been pre-recorded and are reviewed at a later date and time.

(3) Recording is the process of capturing images resulting from video surveillance and saving those images to a storage medium.

(4) University property means all land, structures, or other real property owned, operated, leased or controlled by the university of Akron. This includes both internal and external areas, including but not limited to common spaces, grounds, parking lots.

(5) Internet protocol (IP) is the communication protocol used in the collection and transmission of images on the network. All surveillance devices shall utilize open internet protocols and standards.

(6) Public areas are defined as any portion of university property that is operated and controlled by the university of Akron, including buildings and facilities, in which a person does not have a reasonable expectation of privacy.

(7) Private areas are defined as any portion of university property where a person would have a reasonable expectation of privacy e.g. restrooms, dorm rooms, offices, locker rooms, or any other clothing changing area.

(8) Restricted access areas are defined as university property that is not accessible to the general public. Restricted access areas may be accessible to university employees, but does not include private areas.

(C) Procedures.

(1) Any and all requests for use of video surveillance cameras will be made in writing to the university of Akron chief of police. The request will include the name of the college or department making the request, the purpose or reason for the camera, and the desired installation area. UAPD will review each proposal and recommend specific camera installations as dictated by institutional needs and current technological standards. The review will consider security issues, institutional needs, technological standards, installation, wiring, networking, licensing, and cost. The chief of police will make the final decision on new camera installations.

(2) Any cameras currently in place as of the date of this rule will come under the control and authority of UAPD. UAPD will determine if the cameras currently in place meet with the institutional needs of the university and meet with current technological standards for a centralized monitoring and recording system. UAPD will determine if any new cameras are permitted or if any current cameras are to be removed. No cameras are permitted unless they are recorded by UAPD or a specific exception is permitted by UAPD. If an exception is permitted, the college or department will be required to comply with this rule for the exempted cameras and provide a contact person to UAPD.

(3) All recording devices, where able, will utilize IP technology to transmit images and recordings, unless an exception is granted by UAPD. All legacy recording technology currently in use at the university of Akron will be converted to IP-based technology within twelve months from the date of this rule, unless an extension is granted by UAPD. Legacy systems will not need to replace analog cameras, but will be able to replace digital video recorders with IP converters which will forward images to the centralized storage operated by the department of information technology. Digital video recorders will be removed by UAPD for internal use or sent to surplus property for disposal upon conversion to the IP system.

(4) UAPD will permit authorized persons to monitor and/or review images captured by the cameras, which may include the department or college, safety personnel, or other authorized university of Akron employees. Monitors for video surveillance cameras will be installed in restricted access areas and shall not be viewable by unauthorized persons, unless an exception is granted by the UAPD.

(5) Each department or college with video surveillance equipment will maintain a departmental contact who will be the contact person with the university regarding the camera. Department or college contacts are required to provide a list of authorized monitors in the department or college at the beginning of spring and fall semester.

(6) Each department or college will be responsible for the cost of the cameras, equipment, and installation.

(7) Cameras will only be permitted to be placed in public or restricted access areas and on university property. Cameras will not be placed in private areas or in a public area to view into private areas.

(D) Retention and release of information.

(1) Retention of all recorded information is the responsibility of UAPD except in the case of exceptions as granted.

(2) Image files will be retained in a secure location and kept for a minimum of ten days and up to a maximum of ninety days as determined by UAPD. Specific image files may be required to be kept for a longer period at the direction of the office of general counsel or UAPD.

(3) Recordings with information about a specific student are considered law enforcement records unless the university uses the recording for discipline purposes or makes the recording part of a student's education record.

(4) A log shall be maintained by UAPD of all instances of access to or use of image files. The log shall include the date and identification of the authorized person or persons to whom access was granted.

(5) Requests for image files from persons not authorized to access to the system will be reviewed by the office of general counsel or the university of Akron chief of police and if approved, the files will be distributed in an appropriately secured method. A log shall be maintained by UAPD indicating the date and time range of the files, camera views, and the identification of the person receiving the files.

(6) The video images are considered security records under section 149.433 of the Revised Code, because they are used to protect and maintain the security of the university. A record kept by a public office that is a security record is not a public record under section 149.43 of the Revised Code and is not subject to mandatory release or disclosure under that section. Any record requests, including subpoenas, will be directed to the office of general counsel for a response.

Replaces: 3359-11-25

Effective: 2/1/2015
Promulgated Under: 111.15
Statutory Authority: 3359.01
Rule Amplifies: 3359.01
Prior Effective Dates: 04/11/11