Chapter 3361:10-43 Records

3361:10-43-10 Records: records creation and retention requirements.

(A) The university of Cincinnati has adopted this rule for establishing and administering its records program in order to apply efficient and economical management methods to the creation, utilization, maintenance, retention, preservation, and disposition of its records. The program shall be administered by the archives and rare books department of the university libraries ("university archives"), which shall have authority to develop administrative procedures and guidelines to implement this rule.

(B) "Records" includes any document, device, or item, regardless of physical form or characteristic, that is created or received by or comes under the jurisdiction of the university and which serves to document the organization, functions, policies, decisions, procedures, operations, or other activities of the university.

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

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

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

(F) Each vice president or other officer having custody of university records shall appoint one or more persons to administer the records in his or her custody in accordance with the requirements of this rule. Each person so appointed shall cooperate with the university archives in preparing an inventory of such records and shall be responsible for complying with the administrative procedures and guidelines that are established to implement this rule.

(G) The general counsel of the university shall have authority to promulgate a university policy governing the requests for public records under Section 149.43 of this Revised Code.

Replaces: 3361: 10-43-10

Effective: 10/15/2007
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 12/16/1999

3361:10-43-11 Records: rights of privacy, general policy and procedure statement.

(A) The academic record of a student is confidential. The university of Cincinnati accords all the rights under the law to students and will only disclose personally identifiable information and/or education records in accordance with the "Family Educational Rights and Privacy Act (FERPA) of 1974, as amended."

(B) Within the university of Cincinnati community, only those school officials, individually or collectively, who have a "legitimate educational interest" (i.e., a need directly related to the discharge of their assigned professional responsibilities) are allowed access to student education records. These members include personnel in the offices of the registrar, treasurer, financial aid, and admissions, and other administrative/academic personnel within the limitations of their legitimate educational interest.

(C) In accordance with FERPA, at its discretion the institution may provide items identified as "directory information" to third-party requests without the student's prior consent. "Directory information" at the institution shall be defined as: student name, student identifier (non-social security number), address, email address, telephone number, enrollment status, dates of attendance, degrees conferred and dates, honors and awards, college, class, and major field of study. Students may have such directory information withheld by notifying the registrar in writing. The student's request to withhold directory information remains in force until revoked by the student in writing to the registrar. A request for nondisclosure will be honored by the institution.

(D) The law provides students the right to inspect and review information contained in their education records, to challenge the contents of their education records, to have a hearing if the outcome of the challenge is unsatisfactory, and to have explanatory statements included in their files if they find the decisions of the hearing to be unacceptable. The registrar at the university of Cincinnati has been designated by the institution to coordinate the inspection and review procedures for student education records, which include admissions, personal, academic, financial, cooperative education, and placement records or files. Students wishing to review their education records must make written requests, in or to the offices maintaining the records to be reviewed, listing the files and/or items of interest. Records covered by the act will be made available within forty-five days of the request. Students may be provided copies of their records with certain exceptions (e.g., an official transcript for which a financial "hold" exists, or a copy of an original or source document which exists elsewhere). These copies will be made at the students' expense at prevailing rates, which are available on request.

Replaces: 3361:10-43-11

Effective: 6/19/2006
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 2/17/1998, 3/21/2005

3361:10-43-13 Records: corrections.

(A) Students who believe that their education records contain information that is inaccurate or misleading, or is otherwise in violation of their privacy or other rights, may discuss their problems informally with the office of the registrar and/or with the designated records officer in the office where the records in question are maintained. This provision does not apply to disputes over the awarding of individual grades by faculty members. Concerns over grades given should be discussed with the course instructor, dean of the college, and/or the ombuds. If the decisions are in agreement with the student's requests, as initially stated or as modified following discussion, the appropriate records shall be amended. If not, the student shall be advised within a reasonable period that the records will not be amended; and the student will be informed by the office of the registrar of his/her right to a formal hearing.

(B) Student requests for a formal hearing shall be made in writing to the registrar. Within a reasonable period after the receipt of such a request, the concerned student shall be informed of the date, place, and time of the hearing. The student may present evidence relevant to the issues raised and may be assisted or represented at the hearings by one or more persons of his/her choice, including attorneys, at the student's expense. The hearing to adjudicate such a challenge may include the appropriate vice president, the vice president for student affairs and services, the vice president for research and university dean for advanced studies, and the appropriate college dean or their designees. One person with legal background also may serve as a member. A person who does not have a direct interest in the outcome of the hearing shall be appointed by the senior vice president for academic affairs and provost to preside at any hearing that may be convened.

(C) Decisions of the hearing shall be final; shall be based solely on the evidence presented at the hearing; shall consist of written statements summarizing the evidence and stating the reasons for the decisions; and be delivered to all parties concerned. The education records shall be corrected or amended in accordance with the decisions of the hearing, if the decisions are in favor of the student. If the decisions are unsatisfactory to the student, the student may place statements with the education records commenting on the information in the records, or statements setting forth any reasons for disagreeing with the decisions of the hearing. The statements shall be placed in the education records, be maintained as part of the student's records, and be released whenever the records in question are disclosed.

(D) Students who believe that the adjudications of their challenges were unfair for procedural reasons may appeal the procedural questions in writing to the appropriate senior vice president. Further, students who believe that their rights have been abridged may file complaints with the "Family Policy Compliance Office" (FPCO), Department of Education, Washington, D.C. 20201, concerning any alleged failures of the university of Cincinnati to comply with the "Family Educational Rights and Privacy Act" (FERPA) of 1974, as amended.

Replaces: 3361:10-43-13

Effective: 4/7/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 8/23/1991, 2/9/1998, 10/10/2002, 6/19/2006

3361:10-43-18 Records: responsibilities and rights concerning ownership, access to and maintenance of original scientific records.

(A) This policy shall apply to all university of Cincinnati (UC) employees and to all research conducted on the premises of UC, utilizing UC resources or infrastructure, or utilizing funding provided by or through UC, regardless of the source of funding for the project.

(B) As used herein, "scientific record" shall mean all original research data and materials, and includes raw data and all other records describing or embodying research activities, such as laboratory notebooks, electronic records, reports, notes of observations, images, instrumental printouts, and the like, as well as any other information or materials which are reasonably necessary for the reconstruction and evaluation of reported results of research and the events and processes leading to those results, regardless of the form or the media on which they may be recorded including computer software.

The scientific record shall not include any records to which federal or state law restricts access, for example, patient medical records.

(C) An accurate and complete scientific record is an essential component of any research project. Both UC and the "principal investigator" (PI) have responsibilities and rights concerning access to, use of, and maintenance of the original scientific record.

UC has an obligation to protect the university, employees, and members of the general public from loss or misuse of the scientific record. UC is ultimately responsible for producing original records in a variety of circumstances, irrespective of the source of support for the research project. UC's ownership rights and obligations concerning the scientific record include, but are not limited to:

(1) Compliance with the terms of sponsored project agreements and other contractual undertakings by the university;

(2) Ensuring the appropriate treatment of animals and human subjects, and handling of hazardous and potentially hazardous materials;

(3) Protection of the lawful rights of students, faculty and the general public, including, but not limited to, their rights to access the scientific record for research in which they participated;

(4) Protection of intellectual property rights;

(5) Facilitation of the investigation and resolution of disputes arising from research; and

(6) Provision of a record sufficient to demonstrate compliance by the university with applicable laws and regulations.

UC must retain the scientific record in sufficient detail to accomplish these goals for a period of not less than five years beyond the completion of the research unless statute or regulation requires a longer retention period.

(D) Except as provided herein, title to the scientific record shall be vested in UC.

Title to the scientific record may be transferred to a third party only in accordance with applicable law and the contracting rules of the university. In any such transfer of title, the university shall reserve such rights as shall be reasonably necessary to accomplish the goals set forth herein.

(E) Insofar as possible, the scientific record should be retained in the laboratory or work area in which the scientific record was originally generated.

Any physical relocation of the scientific record must be fully documented in such a fashion as to expedite the prompt location of the materials if required. Except as specifically authorized by contract or by the office of the vice president for research, the scientific record may not be removed from the premises of the university. In case of removal, suitable provision shall be made to assure access to the removed scientific record by the university and those persons who created it.

(F) A research agreement may provide for confidential treatment of bona fide proprietary, competitive, or trade-secret information and data received from a private sponsor, provided that such materials can be readily identified and conditions for the confidential treatment and retention of such materials are reasonable in scope and duration.

A research agreement may provide that information in the scientific record that is generated during the course of research may be afforded confidential treatment for a period not to exceed ninety days except as specifically authorized by the office of the vice president for research for the purposes of seeking protection under intellectual property laws.

(G) The PI is responsible for the collection, management and retention of the scientific record as directed by appropriate college and departmental officials.

The PI must adopt an orderly system for management of the scientific record and should communicate the chosen system to all members of a research group and appropriate administrative personnel, where applicable.

The scientific record must be archived for a minimum of five years after the termination date specified in the contract, grant, or award pertaining to that project or for such longer period as may be specified therein, with original scientific records retained wherever possible. In addition, any of the following circumstances may justify longer periods of retention:

(1) The scientific record must be kept for as long as may be necessary to protect any intellectual property resulting from the work as directed by the university patent officer;

(2) If the PI becomes aware of disputes regarding the research, the scientific record must be retained until alternate arrangements are authorized by appropriate university officials; and

(3) If the scientific record has been generated as a part of a student's academic requirement, the scientific record must be retained at least until the degree is awarded or it is clear that the student has abandoned the work as evidenced by no student activity over a three year period.

(H) Beyond the period of retention specified here, the destruction of the scientific record is to be only in accordance with disposition instructions issued by the university.

(I) The PI shall provide access to the scientific record to authorized representatives of the university in a manner specified by the office of the vice president for research as may be reasonably necessary to accomplish the goals set forth herein.

(J) If a PI leaves UC, and a research project is to be moved to another institution, custody of the scientific record may be transferred with the approval of the vice president for research and in accordance with procedures specified by that office. No request for the transfer of custody of the scientific record shall be approved unless accompanied by written agreement from the PI's new institution that guarantees:

(1) Its acceptance of custodial responsibilities for the scientific record;

(2) UC's access to the scientific record, should that become necessary; and

(3) Retention of a copy by UC for use by graduate students still working on the project.

Replaces: 3361:10-43-18

Effective: 3/21/2005
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 4/24/2003