Chapter 3361:10-17 Conduct and Ethics

3361:10-17-01 Conduct and ethics: statement on political policy.

(A) The university of Cincinnati, a public institution dedicated to providing an environment conductive to teaching, learning, research, and a continuing search for truth, will not take a position on any matter of political or public controversy.

(B) Any individual member or group of members of the university community, like any other citizen or group of citizens, is free to debate and take a position on any matter of public controversy. But, since the collective reputation of the university cannot be abrogated by an individual or group as a means of supporting his/her or its position, any such activity must be taken in a way to make clear that it is not being carried on by or in the name of the university.

(C) Letters or other statements by members of the staff, faculty, or student body on matters of public controversy may not use the university's name to gain support or wider circulation for the written or spoken views of such members.

Replaces:

3361: 10-17-01

Effective: 10/28/1998
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978

3361:10-17-02 Conduct and ethics: specific violations.

(A) Students: Students are expected to conform to those standards of conduct applicable to them as students. The standards of conduct and accompanying procedures are detailed in division 3361:40 of the Administrative Code. Violations of the university motor vehicle regulations by students are heard by student court. Violations of the state motor vehicle code will be heard by the Hamilton county municipal court.

(B) Employees: University employees are subject to university rules, regulations, policies and standards of conduct applicable to their respective positions and which provisions do not conflict with pertinent collective bargaining agreements. Other employee standards of conduct are detailed in the "Personnel Policies and Procedures Manual" and the "Staff Handbook." Violations of university motor vehicle regulation by faculty, staff and administrators are heard by the university parking appeals committee. Violations of the state motor vehicle code will be heard by the Hamilton county municipal court.

Replaces: 3361: 10-17-02

Effective: 10/28/1998
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 4/26/1982, 11/1/1984, 2/25/1985

3361:10-17-03 Conduct and ethics: code of conduct.

(A) Introduction, purpose and scope:

(1) Introduction

As members of the university of Cincinnati ("university" or "UC") community, all faculty, staff, students, members of the board of trustees, university officers and affiliates are responsible for maintaining the highest ethical standards of this institution, and of the broader community in which we function. The university values integrity, honesty and fairness and strives to integrate these values into its teaching, research, service and business practices.

(2) Purpose

This code of conduct (the "code") is a statement of UC's commitment to upholding the ethical, professional and legal standards we use as the basis for our daily and long-term decisions and actions. We all must be cognizant of and comply with the relevant policies, standards, laws and regulations that govern or relate to our role in the university community. We are each individually accountable for our own actions and, as members of the university community, are collectively accountable for upholding these standards of behavior and for compliance with all applicable laws and policies.

(3) Scope

The code applies to the following members of the university community:

(a) Members of the board of trustees;

(b) Faculty and staff;

(c) Any individual employed by the university, using university resources or facilities, or receiving funds administered by the university; and

(d) Volunteers and other representatives when speaking or acting on behalf of the University.

Students are governed by rule 3361:40-5-05 of the Administrative Code.

(4) Violations

All members of the university community are responsible for bringing suspected violations of applicable standards, policies, laws or regulations to the attention of the appropriate office (see section J, below). University policy prohibits retaliation against individuals reporting suspected violations. Confirmed violations will result in appropriate disciplinary action up to and including termination from employment or other relationships with the university. In some circumstances, civil and criminal charges and penalties may apply.

(5) Questions

Any questions regarding the intent or applicability of this code should be directed to the office of the general counsel.

(B) Guiding principles

It is vital to the University's missions of education, research and service that it maintain a reputation for integrity that includes, but is not limited to, compliance with laws and regulations and its contractual obligations. As a public institution supported by public resources, even the appearance of misconduct or impropriety can be very damaging to the university. UC must strive at all times to maintain the highest standards of quality and integrity. This involves more than merely complying with the law. Frequently, UC's business activities and the other conduct of its community members are not governed by specific laws or regulations. In these instances, principles of fairness, honesty, and respect for the rights of others will govern our conduct at all times. In addition, each individual is required to conduct university business transactions with the utmost honesty, accuracy and fairness. Each situation needs to be examined in accordance with this standard. No unethical or unfair practice can be tolerated on the grounds that it is "customary" or a "standard business practice" for entities or individuals outside of UC or because it serves other worthy goals. Expediency should never compromise integrity.

In complying with these guiding principles, you should ask yourself the following questions to aid in making the right decision about a possible course of action:

(1) Are my actions illegal or unethical?

(2) Am I being fair and honest?

(3) Would I be embarrassed or unwilling to tell my family, friends or co-workers?

(4) Would the reputation of UC be harmed if the action were revealed in the newspaper?

(5) Am I personally uncomfortable with the course of action?

(6) Could someone's life, health, safety or reputation be endangered by my action?

(7) Could the intended action appear inappropriate to a third party?

These same questions can be used to evaluate the conduct of others.

(C) Confidentiality and privacy

Though UC is a public institution subject to state open records laws, members of the university community generate certain types of confidential, proprietary and private information that are exempt from disclosure. State ethics laws specifically prohibit the unauthorized disclosure of such information even after an individual is no longer employed by UC. It is imperative that each community member complies with all university rules, federal laws, state laws, agreements with third parties, and university policies and principles pertaining to the use, protection and disclosure of such information.

Information on specific privacy laws, such as the Family Educational Rights and Privacy Act (FERPA - student records), and the Health Insurance Portability and Accountability Act (HIPAA - personal health information) may be obtained from the office of the general counsel.

(D) Conflict of interest/conflict of commitment

UC faculty and staff owe their primary professional allegiance to the university and its mission to engage in the highest level of education, patient care, service, research and scholarship. Outside professional activities, private financial interests or the receipt of benefits from third parties can create an actual or perceived conflict between the university mission and an individual's private interests. Such activities may also be unlawful under state ethics and other laws. In order to protect our primary mission, community members with other professional or financial interests shall make timely disclosure of such interests on an outside activity reporting form (OAR) in compliance with applicable conflict of interest/conflict of commitment policies, which are available on the following websites:

Rule 30-21-02Employment: policy on collateral employment for faculty members and librarians. http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=123

Rule 3361:30-21-01 of the Administrative Code Employment: collateral employment policy for all employees (excluding faculty and librarians). http ://www.uc.edu/trustees/rules/RuleDetail .asp?ID= 124

Rule 3361:10-17-08 of the Administrative Code Conduct and ethics: policy on conflicts of interest in the conduct of research at the university of Cincinnati, http ://www.uc.edu/trustees/rules/RuleDetail .asp?ID=86

Information on state ethics laws is available on the office of general counsel website: http://www.uc.edu/af/general_counsel/ and on the website of the Ohio ethics commission (http://www.ethics.ohio.gov/).

(E) Human resources

The university's mission statement includes a commitment "to excellence and diversity in our students, faculty, staff, and all of our activities." Our strategic plan, UC|21 (http://www.uc.edu/uc21/), includes as one of its goals a commitment to "establish a sense of place." Central to these commitments is the principle of treating each community member fairly and with respect. To encourage such behavior, the university prohibits discrimination and harassment and provides equal opportunities for all community members and applicants regardless of their race, color, religion, national origin, ancestry, disability, medical condition, marital status, sex, age, sexual orientation, veteran status, gender identity and expression or any other characteristic protected by law or policy. Where actions are found to have occurred that violate this standard the university will take prompt action to end the offending conduct, prevent its recurrence and discipline those responsible. Specific rules and policies in support of this standard are found at these locations:

University rule 3361:10-13-01of the Administrative Code, University policy on non-discrimination http ://www.uc.edu/trustees/rules/RuleDetail .asp?ID=81

Office of equal employment opportunity website http://www.uc.edu/af/equal_opportunity/

In addition, the university places significant responsibility on those who supervise or instruct employees or students. Managers, supervisors, instructors, and advisors are expected to:

(1) Ensure access to and delivery of proper training and guidance on applicable workplace and educational rules, policies, and procedures, including this code;

(2) Ensure compliance with applicable laws, policies, and workplace rules;

(3) Review performance conscientiously and impartially;

(4) Foster intellectual growth and professional development;

(5) Promote a healthy, innovative, and productive atmosphere that encourages dialogue and is responsive to concerns

(F) Research

University researchers have an ethical obligation to the university and to the larger global community as they seek and produce knowledge. Community members are expected to:

(1) Propose, conduct, and report research with integrity and honesty;

(2) Protect people and humanely treat animals involved in research or teaching;

(3) Learn, follow, and demonstrate accountability for meeting the requirements of sponsors, regulatory bodies, and other applicable entities including the appropriate use of finances;

(4) Faithfullytransmit research findings;

(5) Protect rights to individual and university intellectual property;

(6) Ensure originality of work, provide credit for the ideas of others upon which their work is built, and be responsible for the accuracy and fairness of information published; and

(7) Fairly assign authorship credit on the basis of an appropriate array of significant intellectual contributions, including: conception, design, and performance; analysis and interpretation; and manuscript preparation and critical editing for intellectual content

University rule 3361:10-17-05 of the Administrative Code, Policy for investigation of research misconduct, can be found at http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=89

University rule 3361:10-17-10 of the Administrative Code, Ethical conduct in research involving human subjects, can be found at http ://www.uc.edu/trustees/rules/RuleDetail.asp?ID=281

(G) Records accuracy

All university records, whether they concern individual employees, the business dealings of the university, student records or research endeavors must be accurate, clear and complete. Examples include accounts, financial reports, tax returns, expense reimbursement requests, employee applications for benefits, time sheets and any other record that is submitted to or generated by the university for the purpose of carrying out its business, including those submitted to government agencies. All entries in university books and records, including departmental accounts and individual expense reports, must accurately refiect each transaction.

(H) Compliance with laws and standards

Members of the university community must transact university business in compliance with applicable laws, regulations, and university policy and procedure. Managers and supervisors are responsible for being aware of their compliance obligations, for making sure that those persons they supervise are aware as well, and for monitoring compliance. When questions arise pertaining to interpretation or applicability of policy, the designated individual who has oversight of the policy must be contacted. Unresolved questions and/or interpretation of laws and regulations should be referred to the office of general counsel.

(1) Contractual obligations

The acceptance of an agreement, including sponsored project funding, may create a legal obligation on the part of the university to comply with the terms and conditions of the agreement and applicable laws and regulations. Therefore, only individuals who have authority delegated by an appropriate university official are authorized to enter into agreements on behalf of the university.

University rule3361:10-1-06 of the Administrative Code Execution of instruments, http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=67

(2) Environmental health and safety, including workplace health and safety

Members of the university community must be committed to protecting the health and safety of its members by providing safe workplaces. The university will provide information and training about health and safety hazards and safeguards. Community members must adhere to good health and safety practices and comply with all environmental health and safety laws and regulations. University environmental guidelines are maintained on the university's environmental health and safety website at http://www.ehs.uc.edu/advisories.asp.

(3) Non-university professional standards

Some professions and disciplines represented at the university are governed by standards and codes specific to their profession (such as attorneys, certified public accountants, and medical doctors). Those professional standards generally advance the quality of the profession and/or discipline by developing codes of ethics, conduct, and professional responsibility and standards by which their members are guided. Those belonging to such organizations are expected to adhere to university policies and codes of conduct in addition to any professional standards. If a community member believes there is a conflict between a professional standard and university policy, he/she should contact the office of the general counsel

(I) Use of university resources

University resources may only be used for official university business and not or personal gain or convenience. University resources include, but are not limited to, the use of university systems, such as telephone systems, data communication and networking services, and the UC domain for electronic communication forums; the use of university equipment, such as computers and peripherals, university vehicles and other equipment; the use of procurement tools such as purchasing cards and petty cash; and the time and effort of other staff, students and others at UC. University resources can only be disposed of in accordance with the policies established by the vice president for finance.

University rule. 3361:10-17-04 of the Administrative Code Conduct and ethics: use of university resources:

http://www.uc.edu/trustees/rules/RuleDetail .asp?ID=90

http://www.libraries.uc.edu/libraries/arb/records_management/disposal.html

http://www.uc. edu/af/documents/purchasing/PCard_Manual .pdf

(J) Reporting suspected violations

(1) Reporting to management

Members of the UC community should report suspected violations of applicable laws, regulations, government contract and grant requirements or this code. Reporting should normally be made initially through standard management channels, beginning with the immediate supervisor, instructor or advisor. If for any reason it is not appropriate to report suspected violations to the immediate supervisor (e.g., the suspected violation is by the supervisor), individuals may go to a higher level of management within their school or department.

(2) Other reporting

If reporting to management is impractical or unreasonable under the circumstances, violations of laws or regulations should be reported internally to the anonymous reporting hotline (1-800-889-1547 or online at https://secure.ethicspoint.com/domain/media/en/gui/22314/index.html), to the office of the internal auditor (http://www.uc.edu/af/internal_audit) or to the office of the general counsel (513) 556-3483.

(3) Confidentiality - Any reports may be made confidentially, and even anonymously, although the more information given, the easier it is to investigate the reports. Raising such concerns is a service to the University and will not in itself jeopardize employment (http://www.uc.edu/af/internal_audit/default.html).

(4) Cooperation - All employees are expected to cooperate fully in the investigation of any misconduct.

(5) No retaliation - Employees making reports of suspected violations in good faith shall be protected from any retaliation for making such reports.

Replaces: 3361:10-17-03

Effective: 2/15/2009
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 6/21/1980, 11/1/1984

3361:10-17-04 Conduct and ethics: use of university resources.

Members of the faculty, administration, student body, volunteer workers, and staff are responsible for the appropriate use of university resources. Use of university resources in a manner inconsistent with this rule is a violation subject to disciplinary action.

(A) University funds: All members of the university community are personally accountable for university funds over which they have control. Anyone having questions about the appropriate use of university funds should talk with his or her supervisor, or a university official with authority regarding the use of funds.

(B) University property, facilities and services:

(1) University property including but not limited to tools, equipment, motor vehicles and supplies, shall not be used for personal benefit or any other improper purpose and it shall not be sold, loaned, given away or otherwise disposed of, regardless of condition or value, except as provided in paragraph (B) of rule 3361:60-5-01 of the Administrative Code. University stationery or supplies shall not be used for personal letters.

(2) The campus mail service may be used only for official university business without cost. Appropriate postage is required for the delivery of personal mail using the campus mail services.

(3) All university information technology resources shall be used solely for authorized academic, instructional, research, administrative, or contract purposes. The president shall have the authority to issue and approve university policies governing the use of information technology resources. Nothing in this paragraph shall prohibit administrators, supervisors and other university officials from issuing policies governing the use of information technology resources in specific workplaces, classrooms and other units so long as such policies are consistent with university policies approved by the President. Any unauthorized use of information technology resources or violation of information technology policies will subject the violator to university disciplinary action.

(4) Uses of university facilities are governed by the use of facilities handbook promulgated by the president.

(C) University personnel: university employees are only expected to fulfill the duties and responsibilities of their respective positions. Persons in positions of authority may not require subordinate employees to perform personal services for anyone.

Replaces: 3361:10-17-04

Effective: 6/16/2000
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 4/24/1978, 9/29/1978, 11/1/1984

3361:10-17-05 Conduct and ethics: policy for investigation of research misconduct.

(A) Definitions

As used herein, the following terms have the indicated meaning:

"Fabrication": making up data or results and recording or reporting them.

"Falsification": manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.

"Inquiry": Gathering information and initial fact-finding to determine whether an allegation or apparent instance of scientific misconduct warrants an investigation.

"Investigation": the formal examination and evaluation of all relevant facts to determine if misconduct has occurred and if so, to determine the responsible person and the seriousness of the misconduct.

"ORI": office of research integrity, the office within the United States department of health and human services (HHS) that is responsible for the scientific misconduct and research integrity activities of the public health service (PHS).

"Plagiarism": the appropriation of another person's ideas, processed, results, or words without giving appropriate credit.

"Research integrity officer or RIO": the individual appointed by the provost responsible for assessing allegations of scientific misconduct and determining when such allegations warrant inquiries and for overseeing inquiries and investigations.

"Research records": any data, document, computer file, external hard drive/flash drive, or any other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of scientific misconduct. A research record includes, but is not limited to, grant or contract applications, grant or contract progress and other reports, laboratory notebooks, notes, correspondence, videos, photographs, x-ray film, slides, biological materials, manuscripts and publications, equipment use logs, laboratory procurement records, animal facility records, human and animal subject protocols, consent forms and patient record files.

(B) The university endorses the following introductory statement in the "Framework for Institutional Policies and Procedures to Deal with Fraud in Research," issued November 4, 1988, by the "Association of American Universities, National Association of State Universities and Land-Grant Colleges, and Council of Graduate Schools."

"Fraud in research undermines the scientific enterprise in ways that go far beyond the waste of public funds. Although an uncommon event relative to the large scientific literature, violations of accepted standards inevitably appear in this as in all human pursuits. Institutions engaged in research have a major responsibility, not only to provide an environment that promotes integrity, but also to establish and enforce policies that deal effectively and expeditiously with allegations or evidence of fraud.

In dealing with this problem it is important not to create an atmosphere that might discourage openness and creativity. Good and innovative science cannot flourish in an atmosphere of oppressive regulation. Moreover, it is particularly important to distinguish fraud from the honest error and ambiguities of interpretation that are inherent in the scientific process and are normally corrected by further research."

Generation of new knowledge through scholarly and creative works is a fundamental goal of the University of Cincinnati. This work is broadly defined as research. Individuals directly engaged in research, those charged with supervision of research, and collaborators of university investigators outside their own units shall bear obligations to pursue their studies in an ethical manner. Supervisors of research shall bear responsibility for the ethical conduct of research in their own unit as well as the laboratories of their collaborators.

This rule is designed to be consistent with the Public Health Service (PHS) policies on research misconduct, 42 CRF part 93, adopted 16 June 2005. However, the policy and process is generally applicable to all research irrespective of funding source.

(C) Research misconduct is defined as fabrication, falsification or plagiarism in proposing, performing, or reviewing research proposals or in reporting research results. Research misconduct does not include honest error or differences of opinion that arise out of proposing, performing, reviewing or reporting research.

(D) Misconduct, which has been established by a preponderance of evidence, may constitute grounds for administrative action including termination of the individual's appointment at the university. It shall be recognized that accusations of falsifying or misrepresenting data or authorship shall be among the most serious charges that may be lodged against an investigator. Any person contemplating such accusations shall fully consider the gravity of the accusation and its consequences and shall make every reasonable effort to avoid lodging charges that shall prove to be devoid of a substantial element of truth. Frivolous or false accusations may also constitute grounds for administrative action. Likewise, it shall be the policy of the University of Cincinnati that no individual who, in good faith, shall have reported apparent scientific misconduct of research shall be subject to retaliation by the university or any member of the university community. Impermissible retaliation shall be subject to university discipline. The reputations of all involved parties will be protected to the extent possible and measures to restore reputations will be undertaken as appropriate. Documentation of any adverse action taken with respect to any individual employee shall remain permanently in that employee's personnel file.

(E) When misconduct shall have been alleged, a sequence of events shall take place within the institution to provide maximal opportunity for reaching valid conclusions about the alleged misconduct. In addition to reaching valid conclusions, it shall be imperative that due process shall be followed and protection be afforded to the rights and reputation of both accuser and accused, collaborators of the accused, those investigating the allegations, any sponsoring agency, any publisher, and the university. Thus, university legal counsel shall provide advice and counsel throughout the proceedings.

(F) During inquiry into and investigation of allegations, confidentiality shall be observed in the interests of all parties except that the appropriate college dean (hereafter referred to as dean) shall inform, and keep apprised of the investigation, the vice president for research and the senior vice president and provost for baccalaureate and graduate education . The dean may delegate any authority described herein.

(G) Appropriate administrative action may be taken as necessary to ensure the integrity of the research, to protect the rights and interests of research subjects and the public, to protect sponsoring agency funds, and to assure that the purposes of the financial assistance are met.

Allegations which meet the following criteria for special circumstances should be reported to the vice president for research, the research integrity officer, the appropriate funding agencies and office of research integrity. These include, but are not limited to:

(1) risk to public health or safety including immediate need to protect human or animal subjects;

(2) Threats to agency resources, reputation or other interests that need protecting;

(3) any reasonable indication of possible violations of civil or criminal law;

(4) suspension of research activities;

(5) need for federal action to protect the interests of a subject of the investigation or of others potentially affected; or

(6) the scientific community or the public should be informed.

(H) All proceedings shall be in accordance with applicable rules and contractual obligations of the university of Cincinnati. Any individual meeting with an inquiry or investigating committee may be accompanied by a representative. Each committee may establish its own rules of conduct within these guidelines. All members of the university of Cincinnati community are expected to cooperate with the proceedings, inquiries, and investigations.

(1) Allegations:

Charges of misconduct shall be brought to the research integrity officer (RIO) who will assess the allegations to determine whether they are credible and specific and warrant further investigation. If the decision is in the affirmative, the RIO will communicate them immediately to the director or head of the department or unit in which such conduct allegedly occurred. The director or head shall immediately inform the dean of the college. If the person being accused is a department or unit director or head, the charge shall be brought directly to the dean.

Assessment of allegations. The RIO shall make an initial assessment of whether the reported allegations are credible and specific so that

(a) Potential evidence of research misconduct may be identified.

(b) The allegations fall within the jurisdictional criteria of 42 CFR 93.102(b).

(c) The allegation falls within the definition of research misconduct in this policy and 42 CFR 92.103.

If these criteria are met then an inquiry must be conducted. The assessment should be concluded within one week. The RIO shall convey charges of misconduct to the dean of the college.

(2) Initial inquiry: if the RIO determines that the criteria for an inquiry are met, he or she will immediately initiate the inquiry process. The purpose of the inquiry is to conduct an initial review of the available evidence to determine whether or not there may be substance to the allegations that warrants an investigation. All proceedings shall be in accordance with applicable rules and contractual obligations of the university of Cincinnati.

(a) Notice to the accused: at the time of or before beginning an inquiry, a good faith effort must be made to advise the accused of the allegations in writing.

(b) Prior to or concomitant with, notification of the respondent concerning the allegation, the RIO will obtain custody of, inventory and sequester all research records and evidence necessary to conduct the research misconduct proceedings.

(c) The RIO will consult with the ORI for advice and assistance where appropriate.

(d) The RIO, in consultation with the dean shall appoint an inquiry committee of no more than three individuals to conduct an initial inquiry into the allegations. Appointments shall avoid any real or apparent conflict of interest. The inquiry committee shall contain individuals with the necessary and appropriate expertise to interview the principals and key witnesses, and conduct a thorough and equitable inquiry. University legal counsel shall advise the inquiry committee. The dean shall identify one member as the chair of the body. The object of the initial inquiry shall be to determine whether or not there may be substance to the allegations that warrants an investigation and to recommend appropriate action to the dean.

(e) In the inquiry stage, factual information is gathered by the inquiry body and reviewed to determine if an investigation is warranted. The inquiry is designed to separate allegations deserving further investigation from unsubstantiated or frivolous allegations. Private and separate sessions shall be conducted to hear the accuser, the accused, and others as determined necessary by the inquiry committee. All relevant evidence that is produced shall be reviewed and secured. Once sufficient information is obtained to decide whether an investigation is warranted, the inquiry process shall conclude and an inquiry report will be submitted to the dean.

The inquiry committee shall make a written report and recommendation to the dean within fifteen working days after the dean has been informed of the charge. Under exceptional circumstances the dean may extend this period. The written report shall state what evidence was reviewed, a summary of relevant interviews, the reason for any delays, and the recommendation of the inquiry committee. The determination of the dean shall be final and should be completed within thirty days of receiving the draft report.

(f) Two basic recommendations may follow from this initial inquiry:

(1) the allegations are without merit; or

(2) the allegations have sufficient substance to warrant further investigation. In either case, subsequent action may be recommended. If the student was supported with PHS funds, the RIO will provide ORI with the dean's written decision and a copy of the inquiry report. The RIO must provide the following information to the ORI upon request:

(i) The institutional policies and procedures under which the inquiry was conducted.

(ii) The research records and evidence reviewed, transcripts or recordings of any interviews and copies of all relevant documents.

(iii) The charges to be considered in the investigation.

(g) The dean shall review the recommendation of the inquiry committee and decide whether to request complete investigation as described in paragraph (G)(3) of this rule or take any other appropriate action pursuant to university rules or contractual agreements. This decision shall be delivered in writing with the inquiry committee report and recommendation to the accused, accuser, the inquiry committee, the vice president for research and the senior vice president and provost for baccalaureate and graduate education who in turn shall notify the president of the university without unnecessary delay. Any comments submitted by the accused may be added to the record. If the dean decides that an investigation is not warranted, the RIO shall secure and maintain for seven years after the termination of the inquiry sufficiently detailed documentation of the inquiry to permit a later assessment by ORI of the reasons why an investigation was not conducted. These documents must be provided to ORI or other authorized HHS personnel upon request.

(3) Investigation: (if warranted) An investigation must begin within thirty days of the completion of the inquiry and must be completed within one hundred twenty days of its initiation. The purpose of the investigation is to develop a factual record exploring the allegations in detail and examining the evidence in depth, leading to recommended findings on whether research misconduct has been committed, by whom, and to what extent. If there is evidence to suggest that there are additional instances of possible research misconduct, the scope of the investigation may be broadened beyond the initial allegations. This is particularly important if the alleged misconduct involves clinical trials, potential harm to human subjects, the general public or if it affects research that forms the basis for public policy, clinical practice or public health practice.

(a) The dean shall determine whether sponsored research is involved and shall so inform the vice president for research who shall determine if the sponsoring agency shall be notified that an investigation is under way. If the allegations involve PHS support, on or before the date on which the investigation begins the RIO must:

(i) Notify the ORI director of the decision to begin the investigation and provide ORI a copy of the inquiry report.

(ii) Notify the respondent in writing of the allegations to be investigated and notice if any new allegations of misconduct are to included in the investigation.

(b) The RIO, in consultation with dean shall appoint an investigating committee and the committee chair within ten days to conduct a complete investigation of the allegations to determine if misconduct has occurred and, if so, to assess its extent and consequences. Appointments shall avoid any real or apparent conflict of interest. The investigating committee shall not be excessive in size but shall contain individuals with sufficient expertise and dedication to conduct a thorough and equitable investigation. University legal counsel shall advise the investigating committee.

(c) The investigation shall be thorough and timely and shall provide both notice of all allegations to the accused and an opportunity for the accused to fully respond to all allegations and findings. It shall require the dedicated attention of the investigating committee. An investigation must begin within thirty days of the completion of the inquiry and must be completed within one hundred and twenty days of its initiation. Extensions may be approved only by the vice president for research and the senior vice president and provost for baccalaureate and graduate education who shall first secure any necessary approvals from sponsoring agencies.

(d) Investigative process: necessary support (e.g., clerical, information gathering, witnesses, organizational, security, record keeping and confidentiality) shall be arranged by the office of the dean. The investigation committee and the RIO must:

(i) Ensure that the investigation is thorough and sufficiently documented and includes examination of all research records and evidence relevant to reaching a decision on the merits of each allegation.

(ii) Take reasonable steps to ensure the investigation is impartial and unbiased to the maximum extent practical

(iii) Conduct private and separate sessions to hear the accuser, the accused and others as determined necessary by the investigating committee.

(iv) Produce and review all relevant evidence (including, but not limited to research data, publications, correspondence and telephone memoranda) that has been produced shall be reviewed and secured.

(v) Interviews with any individuals shall be recorded by tape recorder or court reporter unless the investigating committee shall otherwise be advised by legal counsel.

(e) The investigative report: the investigating committee shall provide a written report of its findings, conclusions and recommendations, together with all pertinent documentation and evidence, to the dean. The RIO will assist the investigation committee in finalizing the draft report to be submitted to ORI within one hundred twenty days. Each member of the investigating committee shall sign the report or submit a signed dissenting report. The dean will determine in writing, (i) whether the institution accepts the investigation report, its findings and the recommendations and (ii) the appropriate institutional actions in response to the finding. If this determination varies from the findings of the committee, the dean will, as part of the written determination, explain in detail the basis for rendering a decision different from the committee.

(4) External review:

The dean may appoint an external committee of faculty members and/or administrators from another institution or institutions to review and provide written comment on the findings, conclusions and recommendations of the investigating committee. They shall be appointed in a manner that ensures the official nature of their involvement and provides them with legal protections available to university employees to the extent possible.

(5) Administrative action:

(a) The dean shall review the report of the investigating committee and the comments of the external committee, if any, and recommend further action to the vice president for research and the senior vice president and provost for baccalaureate and graduate education. This recommendation shall be delivered in writing together with the committee report and any comments from the external committee to the accused, the accuser, and the investigating committee. Any comments submitted by the accused shall also become part of the record. The vice president for research and the senior vice president and provost for baccalaureate and graduate education shall inform the president of the university without unnecessary delay.

(b) With the advice of the university legal counsel, the vice president for research and the senior vice president and provost for baccalaureate and graduate education shall decide how to proceed under applicable university rules and contractual agreements and shall deliver that decision in writing to the accused, the accuser, both committees, the dean, and the president without unnecessary delay. A copy shall be permanently placed in the personnel file of the accused. Collaborators of the accused shall be advised of any substantiated misconduct or questions related to their research. The president shall advise the board of trustees as necessary.

(c) At any time that misconduct as defined herein or significant errors are substantiated in any sponsored or reported research, the vice president for research and the senior vice president and provost for baccalaureate and graduate education shall notify the sponsoring agency or publisher without delay in writing.

(d) If PHS funds are involved, the dean will make the final determination whether to accept the investigation report, its finding and recommendations for action. If this determination varies from that of the investigation committee, the dean will explain in detail the basis for rendering a decision in the report transmitted to ORI. The RIO must maintain and provide to ORI upon request records of research misconduct proceedings as that term is defined by 42 CFR 93.317. Unless custody has been transferred to HHS or ORI has advised in writing that the records no longer need to be retained, records of research misconduct proceedings must be maintained in a secure manner for seven years after completion of the proceeding or the completion of any PHS proceeding involving the research misconduct allegation. The RIO is also responsible for providing any information, documentation, research records, evidence or clarification requested by ORI to carry out its review of an allegation of research misconduct or of the institution's handling of such an allegation.

(e) Following a final finding of no research misconduct, including ORI concurrence where required by 42 CFR Part 93, the RIO will, at the request of the respondent, undertake all reasonable and practical efforts to restore the respondent's reputation. Depending on the particular circumstances and the views of the respondent, the RIO should consider notifying those individuals aware of or involved in the investigation of the final outcome, publicizing the final outcome in any forum in which the allegation of research misconduct was previously publicized, and expunging all reference to the research misconduct allegation from the respondent's personnel file. Any institutional actions to restore the respondent's reputation should first be approved by the dean.

Replaces: 3361:10-17-05

Effective: 2/15/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 6/10/1990, 8/23/1991, 10/28/1998, 10/20/1999, 6/17/2003, 3/21/2005

3361:10-17-06 Conduct and ethics: tobacco and smoke free environment.

(A) Rationale

(1) Smoking is one of the largest causes of illness and premature death in the United States. Research findings indicate that nonsmokers who are regularly exposed to tobacco smoke are also at increased risk of illness. The university recognizes that smoking any substance in any form poses a public health hazard. For purposes of this policy, "smoking" has the same meaning as in section 3794.01 division (A) of the Revised Code, which is the inhaling, exhaling, burning, or carrying any lighted cigar, cigarette, pipe, or other lighted smoking device for burning tobacco or any other plant. Additionally, this prohibition includes all tobacco-derived or tobacco-containing products including, but not limited to, cigarettes, electronic cigarettes, vaporizing devices, cigars and cigarillos, hookah smoked products, pipes, oral tobacco (e.g., spit and spitless, smokeless, chew or snuff) and nasal tobacco (e.g., snus). It also includes any product intended to mimic tobacco products, contain tobacco flavoring or the smoking of any other substance that delivers nicotine.

(2) The university has had smoking regulations in place that are stipulated by the state of Ohio and, as a matter of policy, it shall be dedicated to providing a safe and healthy environment. Furthermore, the university has substantial commitments to health-related research, teaching and patient care. Thus, the university community has a particular obligation to be sensitive to health-protection issues and as a result the University of Cincinnati intends to provide a one hundred percent tobacco and smoke free environment. The following policy has been developed with these interests in mind and shall be applied consistently to all faculty, staff, students, visitors, volunteers, contractors and patients of the university of Cincinnati. Exemptions can include cessation devices approved by the federal drug administration (not including electronic cigarettes), nicotine replacement therapy, university-sponsored research, and conduct protected by the American Indian Religious Freedom Act codified under 42 U.S.C. § 1996.

(B) Restrictions.

(1) Effective , smoking and tobacco use (including chewing tobaccoand electronic cigarettes as outlined in paragraph (A)(1) of this policy by students, staff, faculty, visitors, vendors, and contractors at all times in or on University of Cincinnati Properties, including events on university property during non-school hours, including but not limited to the following: all facilities owned or leased by the university of Cincinnati as well as the grounds of any property owned or leased by the university. This includes all shelters, indoor and outdoor theaters and athletic facilities, bridges, walkways, sidewalks, residence halls, parking lots, and street parking and garages owned by the university. Please note this also prohibits smoking inside personal vehicles parked on university property as well as any vehicles owned, operated or leased by the university of Cincinnati.

(2)

To ensure compliance with this regulation:

(a) "No tobacco use" signage shall be posted in appropriate locations;

(b) University literature and advertising, particularly that which is related to the posting of employment opportunities and campus events, shall identify the university as being one hundred percent smoke and tobacco free buldings, athletic facilitiec, and vehicles; and

(c) Announcements regarding this policy shall be made during university-sponsored events, as well as at campus functions where deemed appropriate. Event programs shall include a written reminder of this policy.

(3) Tobacco advertising, sales and distribution are prohibited on college campus grounds, in all sponsored publications and at all college campus sponsored events, that are affiliated organizations are prohibited from accepting any form of contribution including, but not limited to, financial support, gitts (such as curriculum, book covers, speakers, etc.) or in-kind support from the tobacco industry for the sponsorship or promotions of any event or activity affiliated in an manner with the university of Cincinnati.

(4) Although not under the authority of the university of Cincinnati, all students, staff, faculty and visitors of the university are requested to refrain from smoking and tobacco use on sidewalks and other areas adjacent to university property in an effort to remain good neighbors with our community.

(C) Responsibility and compliance.

(1) It shall be the responsibility of all members of the university of Cincinnati community to observe this rule , both smokers and non-smokers. Enforcement of this policy will depend on the cooperation of all faculty, staff, and students to not only comply with this policy but to encourage others to comply as well. This helps promote a healthy environment in which to work, study and live. Civility and respect is expected at all times in regards to this policy .

(2) The appropriate union contract or university policies shall prevail in addressing those faculty and staff who fail to comply with this rule.

(3) Tobacco education and cessation shall be closely coordinated with other components of the university of Cincinnati's wellness program.

(4) Any employee of the university of Cincinnati who violates this policy may be subject to disciplinary action up to and including ermination and may be subject to monetary fines for violating Ohio's smoking ban ( Chapter 3794 of the Revised Code).

(5) Any student of the university of Cincinnati who violates this policy may be subject to sanctions pursuant to the student code of conduct and may be subject to monetary fines for violating Ohio's smoking ban( Chapter 3794 of the Revised Code).

(6) Any visitor who violates this policy may be denied access to university of Cincinnati campuses and may ultimately be subject toarrest for criminal trespass.

Replaces: 3361:10-17-06

Effective: 9/23/2016
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 09/01/1991, 10/18/1991,05/02/1994,04/19/1995, 01/01/2006

3361:10-17-07 Conduct and ethics: university alcohol policy.

(A) Introduction.

It is the goal of the university of Cincinnati to maintain an on campus environment that is conductive to intellectual, emotional, and social growth of all members of its community. The university of Cincinnati has established the following policy governing the possession, sale, and consumption of alcohol on its campuses. It is the university's intention through these policies to be clear about university consequences attributed to irresponsible or illegal usage of alcohol on campus.

(B) Alcohol policy.

The university shall implement and enforce the laws of the state of Ohio as sated in the Ohio Revised Code. It is the responsibility of each student, staff, and faculty member to be familiar with the requirements of the Ohio Revised Code and the provisions of this policy and to conduct themselves accordingly.

As permitted by law individual students, faculty and/or staff may purchase, possess and/or consume beer or intoxicating liquor on campus at certain campus events, in designated campus facilities and in campus facilities having permits issued by the Ohio department of liquor control.

Restrictions in the Ohio Revised Code include the following:

(1) It is unlawful for a person under twenty-one years of age to purchase, consume, possess, or transport any beer or intoxicating liquor.

(2) It is unlawful to knowingly and falsely misrepresent one's age to obtain alcoholic beverages and/or to misrepresent that another is of legal age for such purpose.

(3) It is unlawful to have in one's possession in a public place without a permit an open container of beer or intoxicating liquor.

(4) It is unlawful to possess an open container and/or consume any beer or intoxicating liquor in a motor vehicle.

(5) It is unlawful to serve, distribute beer and/or intoxicating liquor to a minor.

These laws are contained in Chapter 4301. of the Revised Code. The complete test of the state liquor laws and administrative regulations may be obtained from the department of campus security, campus library, or the Ohio department of liquor control.

Student organizations will be permitted to schedule and/or sponsor on-campus events at which alcohol would be available only at those locations having permits issued by the Ohio department of liquor control.

Student organizations that sponsor off-campus events are expected to adhere to state law. Organizations found to have violated state law may be subjected to the loss of registered status.

Administrative and academic units (colleges, departments) are permitted to schedule and/or sponsor on-campus student events at which beer or intoxicating liquor would be available only in designated areas within those units and only with the approval of the unit head. These events may not be all campus events and must adhere to regulations for on-campus events

(C) Policy for campus events.

The following regulations must be followed at on-campus events at which beer or intoxicating liquor are served and/or sold:

(1) The events must be properly authorized by the administrative unit responsible for the facility(s) to be used.

(2) Consumption and/or sales are permitted only within the approved area for the event.

(3) Non-alcoholic beverages must be available at the same place as alcoholic beverages and featured as prominently as the alcoholic beverages.

(4) The sponsors of the event will implement precautionary measures to ensure that alcoholic beverages are not accessible or served to persons under the legal drinking age or to persons who are intoxicated.

(5) The sponsors of the event must require proof of legal age for those individual in question as to legal age.

(6) Marketing, advertising and promotion of events with alcoholic beverages being served should not emphasize the serving of alcohol and/or have any drinking games there associated with the event.

(7) Management of licensed facilities on-campus reserve the right to limit consumption and/or sales at events in the designated facilities.

(D) Policy violations and sanctions.

Individuals and organizations found in violation of university regulations will be subject to disciplinary action and may be subject to action outlined in the Ohio Revised Code.

To be enacted.

Replaces: Rule 3361:40-5-06(which was effective 2/15/91)

Replaces: 3361:10-17-07

Effective: 3/29/1993
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/29/1993

3361:10-17-08 Conduct and ethics: policy on conflicts of interest in the conduct of research at the university of Cincinnati.

(A) Rationale

The university of Cincinnati is committed to maintaining the highest ethical standards in research conducted by its faculty and staff by identifying potential financial conflicts of interest and taking the necessary actions to manage, reduce, or eliminate them.

(B) Scope

This rule applies to all university faculty and staff involved in designing, conducting, or reporting research as part of their university duties.

(C) Reporting of financial interests

(1) Employees engaged in research shall fully disclose all financial and other interests on an outside activity reporting form "OAR" as required by rule 3361:30-21-01 of the Administrative Code and any policies issued by the president of the university pursuant to that rule.

(2) Any university official or committee charged with the review, approval, or oversight of research for the purpose of identifying and managing conflicts of interest shall have access to the "OAR" forms of university faculty and staff engaged in research to the extent necessary to conduct such review, approval, or oversight.

(D) Training

All employees engaged in research must complete training regarding the university's conflict of interest policies and the employee's responsibilities thereunder prior to proposing or engaging in research.

(E) Standing committee on conflicts of interest

(1) The president of the university will appoint a standing committee on conflicts of interest. The committee shall be composed of seven members serving three year terms with staggered rotation. The members shall have sufficient breadth of research experience and knowledge of university policies and federal and state laws governing conflicts of interest in research to provide substantive analyses of the activities and relationships submitted for review. Four members shall be appointed by the president and three shall be selected by the faculty senate. The president shall appoint two faculty members in the college of medicine who engage in research and two faculty members from the college of engineering who engage in research. The president may also appoint non-voting ex-officio members. The committee shall adopt written procedures to govern the submission and review of potential conflicts of interest, subject to the approval of the president and the vice president for research.

(2) The vice president for research or the dean of any college may refer potential conflicts of interest to the committee to review. Where the committee determines that a conflict exists, the committee shall provide to the vice president for research written recommendations to manage, reduce, or eliminate the conflict of interest. The vice president or the vice president's designee shall issue a decision adopting, rejecting or modifying the determination and recommendations of the committee.

(3) A researcher who disagrees with the decision of the vice president for research may appeal by delivering a written notice of appeal to the vice president within fourteen calendar days of the date of the decision is sent to the researcher.

(a) Upon receipt of a notice of appeal, the vice president for research shall appoint a three member ad hoc committee to consider the appeal.

(b) Within thirty days of its appointment, the ad hoc committee shall complete its review and send its recommendation to the vice president for research or the vice president's designee, who shall make a final decision and send written notification to the individual and to the standing committee.

(c) The vice president for research shall adopt written policies governing the appeal process.

(F) Compliance with federal law

The vice president for research shall promulgate policies as necessary to comply with federal laws governing conflicts of interest in research funded or regulated by the federal government.

Replaces: 3361:10-17-08

Effective: 6/15/2012
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 12/29/1995, 4/20/1998, 7/13/2007

3361:10-17-09 Conduct and ethics: employee financial interests in private companies that are commercializing university discoveries, inventions or patents.

(A) Policy statement

The board of trustees has determined that the best interests of the university of Cincinnati 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 rule 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 or invention that is owned by the university of Cincinnati through the operation of rule 3361:10-19-01(Patents and copyrights: policy on inventions and discoveries) of the Administrative Code ("inventor") and who desires to acquire an equity or other financial interest ("financial interest") in a firm, corporation, or other association to which the university of Cincinnati has assigned, licensed, transferred or sold its interests in the discovery or invention made or created by that employee or in a patent issued to that employee ("technology development company").

(b) This policy deals only with the acquisition by an inventor of a financial interest in a company that is developing technology based on a discovery, invention or patent ("intellectual property") that was created by that inventor; accordingly, the term "technology development company" refers only to such a company. 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 technology development company, or promise of the same, as well as paid consulting or employment with a technology development 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 technology development 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, such as rules 3361:10-17-03(Conduct and ethics: employee responsibilities); 3361:10-17-04 (Conduct and ethics: use of university resources); 3361:10-17-08 (Conduct and ethics: policy on conflicts of interest in the conduct of research at the university of Cincinnati); rule 3361:10-19-01(Patents and copyrights: policy on inventions and discoveries); and rules 3361:30-21-02(Employment: policy on collateral employment for faculty and librarians) and 3361:30-21-03 (Employment: collateral employment for employees other than faculty and librarians). 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 a company that will become a technology development 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 agreements will be determined on a negotiated basis by the office of the vice president for research ("office of research") pursuant to the university's patent policies that are set forth in rule 3361:10-19-01 of the Administrative Code. Generally, such transfers and/or equity participations will not be made or entered into unless it is determined both that the proposed technology development company has the resources (or a reasonable plan to obtain the resources) necessary to 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 that occur on or after the date of its initial adoption.

(C) Policy requirements.

(1) An inventor may solicit or accept a financial interest in a technology development company if, but only if, he or she has first complied with the requirements of this rule.

(2) It should be noted that a company organized for the purpose of commercializing intellectual property will not become a technology development 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 a company in which an inventor has a financial interest 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 company'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 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 technology development company shall first comply with rule 3361:30-21-02 or 3361:30-21-03 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 collateral employment forms 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 technology development 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 3345.28 of the Revised Code may not be used for private business purposes.

(ii) Proposed participation in management of the technology development company. Inventors may hold temporary management positions in a technology development 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. Inventors may not hold management positions in established technology development companies.

(iii) Limitation of equity ownership. Although an inventor may hold a significant equity interest or debt position in a technology development 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 technology development company and provide enforceable milestones for reduction of that interest to not more than twenty-five per cent of the company's total equity or debt, as the case may be.

(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 interests of the technology development company. No such use will be permitted except pursuant to a sponsored research agreement, facilities use agreement or other appropriate contractual arrangement with the technology development 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 interests of the technology development company. The inventor may not use university students for this purpose as part of a student's assigned academic work, but the technology development 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. A student may not be employed by the technology development company if:

(a) The student is enrolled in a course taught by the inventor,

(b) The inventor is a member of the student's thesis or dissertation committee, or

(c) The inventor is the student's advisor or the director of his or her thesis or dissertation research.

However, such students may perform research that benefits the technology development company when the work is being performed pursuant to a sponsored research agreement or a formal internship agreement between the technology development 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 shall be forwarded to the office of research for final approval by the vice president for research. In granting such approval, the vice president for research may consult with the senior vice president for academic affairs and provost, the vice president for health affairs 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 technology development company.

(3) Enforcement.

Enforcement of an approved conflicts management plan shall be the responsibility of the inventor's academic unit head and dean or staff supervisor, 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 of 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 technology development 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 supervisor 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 agreements with the technology development company. A failure to reach agreement on compliance can result in one or more of the consequences described in paragraph (D)(3) of this rule.

(5) Freedom from conflicts in the administration of this rule.

University officers and employees who participate in the approval process or in the administration or enforcement of this rule may not have a financial interest in the technology development company. If such an interest exists, the person with the conflicted interest shall be replaced with a person who does not have such an interest.

Replaces: 3361:10-17-09

Effective: 4/7/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 10/17/2001, 3/21/2005

3361:10-17-10 Conduct and ethics: ethical conduct in research involving human subjects.

Employees and students of the university of Cincinnati conduct human subjects' research ethically and in accordance with this rule, with the ethical principles stated in the "Belmont" report and with all applicable federal, state, and local law and regulations, including regulations of the department of health and human services (DHHS) regulations for the protection of human research subjects, 45 C.F.R. part 46 subpart A, and FDA regulations governing research with drugs, devices, and biologics, C.F.R. title 21 (food and drugs), parts 50 (protection of human subjects) and 56 (institutional review boards).

(A) To assure such compliance, the university has a federal wide assurance with DHHS regulations certifying that procedures will be followed which will assure the protection of all human subjects involved in research projects. This certification applies to all human subject research conducted by anyone on the premises of the university of Cincinnati, and to research conducted elsewhere on behalf of the university of Cincinnati by faculty, students, staff, or other representatives of the university.

(B) The university has established institutional review boards to review research involving human subjects. The medical IRB reviews research involving investigational drugs, biologics, devices, and medical treatments (the medical IRB). The social and behavioral sciences IRB reviews all other research involving human subjects. All research to which this rule applies must be reviewed by a university IRB, and no official of the university of Cincinnati may approve research that has not first been reviewed and approved by an IRB.

(1) The IRB shall establish policies and procedures for membership, regular meetings, review and approval of protocols and consent forms, modifications to approved research, the risk/benefit ratio of the research to the subjects involved, protection of the confidentiality of the subjects' private information, and the reviews of approved research protocols at timely intervals.

(2) The IRB may suspend or terminate approved research if it is not being conducted in accordance with this policy, with IRB requirements, or if it may pose the risk of unexpected serious harm to human subjects.

(3) The IRB has authority, as a condition of approval of a protocol, to observe, or have a third party observe, the consent process; and to observe, or have a third party observe, the conduct of the research at any time.

(4) The IRB shall act independently of university officials. No university official shall attempt to influence the IRB inappropriately on any matter before the IRB or within the IRB's jurisdiction.

(C) The vice president for research shall serve as the institutional official for human subjects' research and is responsible for administering this rule. Any violation of this policy should be reported to the institutional official who shall have the authority to take such action as required to bring the university into compliance.

Replaces: Former 3361:50-47-50

Replaces: 3361:50-47-50

Effective: 2/15/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 10/28/1998, 12/3/2004

3361:10-17-11 Conduct and ethics: export control regulations administration and compliance.

(A) Purpose

This rule describes the roles and responsibilities of university faculty, staff, students, volunteers, and visitors to facilitate compliance with the United States export control regulations.

(B) Scope.

All faculty, staff, students, volunteers, and visitors involved in the following activities on behalf of the university are subject to this rule:

(1) Research

(2) Development, production, or use of export controlled items or technical data

(3) International travel

(4) International shipments

(5) International collaborations

(6) Proprietary work

(C) Definitions.

As used herein, the following terms have the indicated meaning:

(1) Educational exclusion: information released by instruction in catalogue courses and associated teaching laboratories, even if the information being shared is controlled by the department of commerce export administration regulations (EAR). Information and technology covered by the international traffic in arms regulations (ITAR) do not qualify for the educational exclusion.

(2) Export controls regulations: the body of regulations that restrict the dissemination of information, new knowledge, technology, goods and/or services to non-US persons. These regulations include: the ITAR ( 22 CFR § 120-130 ), the export administration regulations (15 Code of Federal Regulations § 730-774), Office of Foreign Asset Control Regulations ( 31 CFR § 500-599 ), and part 810 of the Atomic Energy Act ( 10 CFR § 810 ).

(3) Export controls officer: the individual appointed by the president or his or her designee responsible for facilitating compliance with export controls regulations and with investigating and reporting non-compliance.

(4) Fundamental research exclusion: basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community, as distinguished from proprietary research the results of which ordinarily are restricted for proprietary or national security reasons. The fundamental research exclusion only applies to information, not to developed products (National Security Decision Directive 189).

(5) Public domain: research or information that is published and generally available or accessible by the public.

(6) U.S. person: A U.S. citizen or lawful permanent resident (green card holder); any corporation, business association, partnership, society, trust, or any other entity, organization or group that is incorporated to do business in the United States; or any U.S. governmental (federal, state or local) entity.

(D) Policy.

(1) It is the policy of the university that all faculty, staff, students, volunteers, and visitors engaged in activities on behalf of the university as listed in paragraph (B) of this rule, comply with all U.S. laws and regulations as they relate to university activities, including export control regulations. Teaching, research, and public service are generally intended to be accomplished openly and without prohibitions or limitations on publication and dissemination of scholarly work. Export control regulations may restrict or limit opportunities of foreign students or employees or international collaboration in certain areas. Whenever possible and appropriate, the university should utilize exemptions to the export controls regulations. The export controls officer is charged with reviewing activities and identifying applicable regulatory exemptions (primarily the fundamental research exclusion, the educational exclusion, and information in the public domain).

(2) The export controls officer, in conjunction with university leadership, should develop policies and/or procedures for the assessment and management of export controlled activities.

(3) All university faculty, staff, students, volunteers, and visitors should complete training when involved in activities listed in paragraph(B) of this rule.

(4) No individual who, in good faith and based upon a reasonable belief, reports apparent violations of the export controls regulations shall be subject to retaliation by the university or any member of the university community.

Replaces: 3361:10-30-01

Effective: 1/29/2018
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 08/05/2005