Chapter 3361:10-5 Organization

3361:10-5-01 Organization: the president of the university.

(A) The president of the university shall be elected by and hold office at the pleasure of the board. The president shall be the executive head of the university and charged with the supervision of all its interests and activities.

(B) The president shall preside at commencements and other public occasions. The president shall have the authority to sign such diplomas and certificates and confer such degrees and honors as may be granted by the board unless such authority is rescinded by the board.

(C) The president or the president's designee shall attend all meetings of the board and its committees. The president and the appropriate board committee chairperson shall have the authority to act for and in behalf of the board, when necessary, during the interval between the June and September meetings of the board, provided that any such action of a financial nature shall not exceed the authority granted by paragraphs (E)(2), (E)(3)(a), and (E)(3)(b) of this rule and by rule 3361:10-1-06 of the Administrative Code. All such actions shall be reported to the board at its September meeting.

(D) The president shall present proposed annual budgets, and submit to the board periodically, for its information, an organizational chart of the university. The president shall, preferably at a regular meeting of the board in the fall of every odd-numbered year, submit to it a biennial report for the prior two years.

(E) Without board of trustees' approval, the president or the president's designee shall have the authority to:

(1) Approve all budget transfers in undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts of four million five hundred thousand dollars. The four million five hundred thousand dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred. The president shall report all such approved transfers and appropriations to the board for information at its next regular meeting.

(2) Approve and execute

(a) Contracts (including term contracts which are the result of ordinary competitive bidding procedure), purchase orders and modifications thereof which require the expenditure of funds by the university of amounts not in excess of four million five hundred thousand dollars; provided that the four million five hundred dollar limit may be increased to five million dollars with the verbal or written consent of the chairperson of the finance and administration committee, or in the absence of the chairperson of the finance and administration committee, the vice chairperson of the finance and administration committee, which consent when given by the vice chairperson of the finance and administration committee and attested as provided in these bylaws shall be conclusively presumed to have been given in the absence of the chairperson of the finance and administration committee. Under normal conditions written approval is preferred.

(b) Grants, sponsored contracts and other contracts which do not require the expenditure of funds by the university (other than as an incident of performance of the contract), and modifications thereof, in any amount.

The president shall report all such approved and executed contracts, purchase orders, grants or modifications to the board for information at its next regular meeting or at such intervals as the board of trustees shall direct. Such report may be in summary form showing aggregated information for multiple contracts.

(3) All delegations of contracting authority by the president to a designee as authorized or provided for in paragraphs (E)(1), (E)(2) and (E)(3) of this rule shall be in writing and otherwise conform to the requirements of paragraph (F) of rule 3361: 10-1-05 of the Administrative Code.

(F) The president shall, upon receipt of written communications to the board from any employee, or from students or from student organizations of the university, transmit the same to the board.

(G) The president or the president's designee shall have authority to approve appointments, promotions and dismissals of employees of the university except as specified by paragraphs (A)(1)(b) and (A)(2)(a) of rule 3361:10-1-05 of the Administrative Code. The president shall be a member of the faculty of each college and division. The president may call special meetings of any college or division faculty or joint meetings of some or all such faculties. The president may preside at any university, college or school faculty meeting. The president shall have authority to appoint such committees as may seem to him or her appropriate.

(H) The president shall have the authority to take whatever action is necessary to maintain discipline at the university and to suspend any employee of the university, which actions shall have immediate effect.

(I) Except as specified by paragraph (A)(2)(b) of rule 3361:10-1-05 of the Administrative Code, the president shall have the authority to adopt necessary and reasonable personnel policies and procedures to amplify the university rules, the rules of the department of administration and finance, and the personnel procedures memoranda of the department of administration and finance. The president may delegate the authority granted by this paragraph.

(J) The president shall have the authority to adopt necessary and reasonable policies and procedures regarding the use of the facilities of the university, which amplify the university rules, and Ohio and federal law. The president shall also have the authority to amend or rescind such policies and procedures.

(K) The president shall have the authority to develop administrative guidelines and procedures to implement the rule on short-term loans, including such matters as the maximum dollar amount of all short-term loans and the administrative service fee assessed such short-term loans. The president may delegate the authority granted by this paragraph.

(L) The president shall have the authority to establish reasonable and necessary fees, and the process for assessing and refunding such fees, pursuant to paragraphs (B), (C), and (D) of rule 3361:20-31-01 of the Administrative Code.

(M) The president shall have the authority to establish and modify university parking rates and fines and to promulgate rules which implement the administration of parking pursuant to rule 3361:70-5-01 of the Administrative Code.

(N) The president shall recommend to the board for approval the appointment of any additional deans, directors or administrative officers as the president may deem necessary.

(O) The president shall have the authority to:

(1) Adopt amendments to any university rule which:

(a) Would clarify or correct the language of the rule but would not constitute a substantive change; or

(b) Would conform the rule to applicable laws or regulations.

(2) Adopt, amend or rescind rules which implement actions approved or taken previously, by the board of trustees. These adoptions, amendments and rescissions shall be effective as provided in section 111.15 of the Revised Code.

(3) Adopt, amend or rescind internal management rules, as defined and pursuant to section 111.15 of the Revised Code and which shall be effective as provided in that section.

Any rules adopted, amended or rescinded by the president under the authority granted by this paragraph shall be reported to the board of trustees for information at its next regular meeting.

(P) The president shall have authority to designate "employing units" for the university as such term is defined in division (A)(2) of section 145.297 of the Revised Code for purposes of early retirement incentive plans under the Ohio public employees retirement system.

Replaces: 3361:10-5-01

Effective: 12/5/2009
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 9/29/1978, 10/26/1978, 1/1/1979, 6/18/79, 2/21/1980, 7/1/1981, 9/28/1981, 11/8/1982, 1/1/84, 1/10/1985, 2/25/1985, 7/1/1985, 2/3/1986, 5/29/1987, 7/15/1987, 9/4/1987, 12/21/1987, 4/18/1988, 2/13/1990, 4/23/1991, 5/2/1994, 8/21/1995, 11/17/1995, 2/12/1996, 10/11/1997, 8/4/1998, 7/2/2001, 8/3/2001, 7/1/2004, 1/11/2005, 11/13/2006, 1/1/2007, 4/1/2009

3361:10-5-02 Organization: the vice presidents of the university.

(A) The board may, upon recommendation of the President, appoint one or more vice presidents of the university for a term of specific or indefinite duration agreed in advance of appointment and subject to periodic review. Each vice president serves at the pleasure of the board and the president during the period of appointment.

(B) In the selection of a senior vice president for academic affairs and provost, the president shall consult with a committee consistent with the guidelines outlined in rule 3361:10-6-01 of the Administrative Code "Organization: guidelines for provost and dean search and for decanal review process," before making a recommendation to the board.

(C) In the selection of all other vice presidents, the president shall appoint and consult with a committee before making his or her recommendation to the board.

(D) Each vice president shall have the authority to maintain discipline among those employees in his or her area of responsibility. Each vice president shall have the authority to suspend an unclassified employee, which action shall be effective when taken, subject to review, and confirmation, or modification by the president of the university.

(E) Each vice president shall indicate approval or disapproval of all recommendations for budgetary action exceeding two hundred fifty thousand dollars within his/her area of responsibility or of any amount between units within or between the vice presidential area. Vice presidents shall indicate approval or disapproval of all recommendations for all cash transfers, regardless of the amount, within his/her area of responsibility. Vice presidents shall have the power to delegate this authority for budget action approval to designated senior financial administrators holding the rank of assistant vice president or higher. Delegation of authority for cash transactions may only be designated to the direct report of the vice presidents holding the highest financial administrator ranking. The name of the requested delegate shall be submitted for approval to the VP for Finance. The name and signature of the person(s) to whom this power has been delegated shall be registered with the office of budget management. All budgetary and cash transfer recommendations requiring vice presidential authorization shall have approval indicated by electronic or handwritten signature of either the vice president or the designated senior administrator, as appropriate to the form documenting the action. The signature shall be in the name of the person signing the form.

Effective: 8/8/2016
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 03/16/1978, 06/18/1979, 03/01/1981, 07/01/1981, 10/26/1981, 11/01/1984, 06/20/1988, 08/23/1991, 02/12/1996, 4/07/2008

3361:10-5-04 Organization: senior vice president for administration and finance.

(A) The senior vice president for administration and finance, under the general supervision of the president, is directly responsible for the overall direction and management of the administrative and financial affairs of the university, including the following areas: campus master planning, including design, construction and space management; endowment management; institutional technology; insurance and risk management; university programs supporting community development in the greater Cincinnati region; administrative activities related to public safety; human resources and human relations programs and activities of the university, including the offices of equal opportunity; providing strategic leadership for policies, programs, activities, and services related to employees as well as overseeing and coordinating the related budgets; and providing oversight and guidance to the vice president for finance, who is responsible for all financial functions of the university.

(B) The senior vice president shall work closely with other cabinet members on strategic planning, regional research/economic development planning, auxiliary management, and governmental relations.

(C) The president may assign other duties to the senior vice president as the president may determine over time.

Replaces: 3361:10-5-04

Effective: 6/15/2012
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 4/8/1978, 11/1/1984, 5/1/1989, 2/13/1990, 4/15/1991, 11/17/1995, 7/19/1996, 12/18/1997, 6/13/2002, 1/11/2005, 11/13/2006

3361:10-5-05 Organization: senior vice president for academic affairs and provost.

(A) The senior vice president for academic affairs and provost shall, under the general supervision of the president, exercise executive leadership and supervision in all matters relating to the academic life and the academic budgets of the university. The senior vice president for academic affairs and provost shall have general supervision over the dean and university librarian; the university dean of the graduate school; and the deans in all colleges and other academic officers.

(B) Bylaws and amendments thereto of the colleges and faculties must be approved by the senior vice president for academic affairs and provost before they become effective. Bylaws and amendments of the colleges in the medical center shall be reviewed by the vice president for health affairs before being submitted to the senior vice president for academic affairs and provost for approval.

(C) Notwithstanding their responsibility to the senior vice president for academic affairs and provost, the deans shall carry out their roles as presiding officers of their respective faculties.

(D) The president may assign additional responsibilities to the senior vice president for academic affairs and provost as deemed necessary.

Replaces: 3361:10-5-05

Effective: 4/7/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 11/1/1984, 4/15/1991, 11/17/1995, 3/1/1998, 1/11/2005

3361:10-5-07 Organization: the vice president for finance.

(A) The vice president for finance shall, under the general supervision of the senior vice president for administration and finance, perform the duties listed in this section. The vice president for finance prepares the university's budget, accounts for revenues and expenditures, develops the system of internal controls and the informational base for financial planning and decision-making, coordinates the university's temporary investment portfolio, supervises the preparation of an annual financial report which shall constitute the permanent financial record of the university and the presentation of such report and any other related audit reports to the governance and audit committee of the board of trustees. In addition to the foregoing, the vice president for finance shall develop the process for evaluating and selecting underwriting services for the university and shall recommend selected providers to the board. The process developed by the vice president for finance shall be deemed a modification of competitive bidding guidelines pursuant to paragraph (I) of rule 3361: 20-23-02 of the Administrative Code.

(B) The vice president for finance shall provide leadership and coordination to the controller, the treasurer and the offices of budget management and business core systems as well as for the management and maintenance of the university's physical plant and utilities; the maintenance and control of university property and inventories; the administration of auxiliaries, including the bookstores, vending, housing and food services, the student union and recreation center, transportation services, trademark and licensing and parking services; administrative activities related to recreational sports, intramurals, university conferencing and the "Kingsgate Conference Center."

(C) The vice president may assign to a branch campus dean the authority to act in his behalf for the management and maintenance of the physical plant of the branch campus administered by that dean, but shall nonetheless retain overall responsibility for such physical plant.

(D) The vice president for finance shall prepare detailed quarterly reports on the finances of the university so as to give the finance and administration committee, through the president, a current picture of the financial condition of the university.

(E) As necessary, the vice president for finance shall develop recommendations for policy or program changes to control expenditures within the level of projected revenues. The vice president for finance shall monitor departmental performance against the budget, and shall provide guidance and internal advising to departments in the area of program planning, budget control, and management improvement.

(F) As necessary, the vice president for finance shall develop recommendations for policy, program and operations changes to conserve resources, introduce cost effectiveness, take advantage of new technologies, and meet changing university needs.

(G) The senior vice president for administration and finance may assign additional responsibilities to the vice president for finance as deemed necessary.

Replaces: 3361:10-5-07

Effective: 6/15/2012
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978,4/8/1978, 11/1/1984, 5/1/89, 2/13/90, 4/15/91, 11/17/95, 7/19/96, 12/18/97, 6/13/02, 1/11/05, 11/13/06, 1/1/07,4/1/09, 9/1/11

3361:10-5-08 Organization: vice president for health affairs.

(A) The vice president for health affairs shall, under the general supervision of the president, exercise executive leadership and supervision over the medical center and shall have general supervision of clinical programs in the medical center. The vice president for health affairs shall be responsible for patient care in the medical center; for the overall operation and administration of the medical center in accordance with relevant university policies and procedures and cooperation with the other vice presidents of the university; and for the fulfillment of the medical center's responsibilities in educational leadership and effective cooperation with all appropriate health agencies in the community.

(B) The vice president for health affairs shall be responsible for coordination of the university's role in the health alliance of greater Cincinnati and of the university's role in patient care; and in research that is conducted in facilities operated by the health alliance of greater Cincinnati.

(C) Notwithstanding their responsibility to the vice president for health affairs the deans of the colleges in the medical center shall continue to carry out their roles as presiding officers of their respective academic faculties under the general supervision of the senior vice president for academic affairs and provost.

(D) The president may assign additional responsibilities to the vice president for health affairs as deemed necessary.

Replaces: 3361:10-5-08

Effective: 4/7/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 4/7/2008

3361:10-5-09 Organization: the vice president for governmental relations and university communications.

(A) The vice president for governmental relations and university communications shall, under the general supervision of the president, be responsible for community and governmental relations and university communications.

(B) The president may assign additional responsibilities to the vice president for governmental relations and university communications as deemed necessary.

Replaces: 3361:10-5-09

Effective: 2/14/2001
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 11/1/1984, 7/13/1999

3361:10-5-10 Organization: vice president for research.

(A) The vice president for research shall, under the general supervision of the president, be responsible for all matters pertaining to internally and externally sponsored research, for management of the university's programs for compliance with federal, state, and local regulations regarding conduct of research, for the management of the university's technology transfer and entrepreneurial programs, and for general supervision of research programs established at the university. The university research council and the fellows of the graduate school shall report to the vice president for research.

(B) Responsibility for the human research protection programs is vested in the vice president for research. Such responsibility shall include:

(a) Ensuring adequate resources for the human research protection program;

(b) Ensuring independence of the university's institutional review boards and other institutional review board relied on by the university;

(c) Periodic review of the human research program, to ensure compliance with all relevant legal and policy standards; and

(d) Approval of all policies and procedures governing the conduct of human subjects research by or under the auspices of the university of Cincinnati or its faculty.

(C) The president may assign additional responsibilities to the vice president for research.

Replaces: 3361:10-5-10

Effective: 4/7/2008
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 3/16/1978, 10/26/1978, 5/24/1980, 11/1/1984, 12/18/1985, 4/15/1991, 6/17/1998, 7/13/1999, 1/14/2005

3361:10-5-12 Organization: vice president for legal affairs and general counsel.

(A) The vice president for legal affairs and general counsel shall, under the general supervision of the president and subject to the statutory authority of the attorney general, be responsible for all matters pertaining to the university's legal affairs. In this capacity, the vice president for legal affairs and general counsel shall provide advice to the board of trustees, to the president, and to other officers and employees on all legal matters affecting the university; manage litigation involving the university; and develop recommendations respecting the university's compliance with applicable state and federal laws.

(B) The president may assign additional responsibilities to the vice president for legal affairs and general counsel as deemed necessary.

Replaces: 3361:10-5-12

Effective: 1/12/2005
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 2/15/1990, 2/14/1997

3361:10-5-13 Organization: the vice president for student affairs.

(A) The vice president for student affairs shall under the general supervision of the senior vice president for academic affairs and provost, serve as the chief student affairs officer of the university. In this capacity, the vice president for student affairs shall provide strategic leadership for policies, programs, activities, and services related to student life and shall oversee and coordinate the related budgets.

(B) The senior vice president for academic affairs and provost may assign additional responsibilities to the vice president for student affairs as deemed necessary.

Effective: 8/8/2016
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 04/15/1991, 11/17/1995, 07/19/1996, 03/01/1998, 06/13/2002

3361:10-5-14 Organization: treasurer.

(A) The treasurer shall, under the general supervision of the vice president for finance, be responsible for the opening and maintenance of all accounts and services with financial, banking or other money transfer institutions; collection and deposit of all receipts of the university and its colleges, divisions, and departments from whatever sources derived; payment of all financial obligations of the university by checks or other payment media signed and countersigned in accordance with resolutions of the board; issuance of debt in the form of long-term bonds, short-term notes, and leases as may be authorized by the board of trustees; and ensuring compliance with all aspects of federal, state, and local tax codes and regulations. The treasurer shall serve as an officer of the university.

(B) The treasurer, shall, together with the chief investment officer of the university's endowment, coordinate and invest the university's temporary investments portfolio and is authorized to select, buy, and sell money market securities. The treasurer, with the advice and consent of the controller and chief investment officer, will enter into custodial arrangements for the safekeeping of endowment securities and other endowment assets. The treasurer is responsible for investment operations, reporting and compliance oversight of the university's investment assets.

(C) The treasurer shall either give bond to the state or be insured for the faithful performance of the treasurer's duties and the proper accounting for all moneys coming into the treasurer's care. The authority to determine whether a bond or insurance shall be obtained and to determine the amount of said bond or insurance is delegated to the senior vice president for administration and finance, and these determinations shall be reported to the board at the next regularly scheduled board meeting after the bond or insurance is obtained. In no event shall the amount of said bond or insurance be for a sum less than the estimated amount which may come into the treasurer's control at any time, less any reasonable deductible. The expenses of such bond or insurance shall be paid from the general funds of the university.

(D) The vice president for finance may assign additional responsibilities to the treasurer as deemed necessary.

Replaces: 3361:10-5-14

Effective: 6/15/2012
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 4/15/1991, 8/23/1991, 2/28/1995, 6/15/1995, 12/18/1997, 1/12/2005, 11/13/2006, 12/1/2008, 10/10/11

3361:10-5-17 Organization: vice president for development.

(A) The vice president for development shall, under the general supervision of the president, be responsible for all fund-raising activities of the university of Cincinnati foundation and of the university. The executive director of the university of Cincinnati foundation shall act and serve ex officio as vice president for development, and shall receive a nominal salary only for services as vice president for development.

(B) The president may assign additional responsibilities to the vice president for development as deemed necessary.

Replaces: 3361:10-5-17

Effective: 11/17/1995
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 11/17/1995

3361:10-5-18 Organization: vice president and chief information officer.

(A) The vice president and chief information officer (CIO) shall, under the general supervision of the senior vice president for administration and finance, provide leadership and coordination for all aspects of information technology for the university. The vice president and CIO shall be responsible for central university-wide academic and administrative information technology support services, policies and architecture, including information processing, networking, telecommunications, instructional technology, and information systems.

(B) The senior vice president for administration and finance may assign additional responsibilities to the vice president and CIO as deemed necessary.

Replaces: 3361:10-5-18

Effective: 11/13/2006
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 1/20/1997, 1/12/2005

3361:10-5-20 Organization: HIPAA administration and compliance.

(A) The university is committed to compliance with all requirements of the health insurance portability and Accountability Act of 1996 and its implementing regulations (hereinafter "HIPAA"), as they may be amended from time to time.

Because the university only uses and engages in electronic transactions involving HIPAA protected health information for a part of its operations, the university has designated itself as a hybrid entity for purposes of HIPAA compliance. The university's health care components, and components that perform activities that would make the component a business associate of the university if it were legally separate, are therefore subject to the specific requirements of HIPAA. The components subject to the requirements of HIPAA shall be designated in the university's HIPAA privacy policy as it may be amended from time to time. Other components may be designated as part of the hybrid as may be required to comply with changes in the law, or as necessary for the orderly operation of the university as determined in writing by the vice president for legal affairs and general counsel.

In the event an additional university component is designated as part of the university's hybrid entity, the vice president for legal affairs and general counsel shall report such designation to the board for information at its next regular meeting.

(B) Overall administration of the university's HIPAA compliance program shall be the responsibility of the university HIPAA privacy official, who shall be appointed by and shall report to the vice president for legal affairs and general counsel. The responsibilities of the university privacy official shall include:

(1) Developing, implementing and maintaining the HIPAA compliance program:

(2) Coordinating the implementation of appropriate policies and procedures:

(3) Developing and overseeing the training of employees in the healthcare components of the hybrid entity and other employees as appropriate;

(4) Serving as the contact person for any HIPAA related complaints and administering appropriate complaint procedures and processes;

(5) Overseeing HIPAA breach notification:

(6) Coordinating the implementation and enforcement of sanctions against employees who violate HIPAA policies:

(7) Conducting HIPAA audits:

(8) Overseeing institutional HIPAA compliance, and:

(9) Developing, implementing and monitoring all other obligations of the university under HIPAA.

(C) Although only the healthcare components of the university's hybrid entity are part of a covered entity for purposes of HIPAA compliance, all employees of the university are required to protect and safeguard the confidentiality of individually identifiable health information relating to the physical or mental health or condition of an individual, the provision of health care to an individual or the payment for health care for an individual. This requirement is a statement of university policy and is not intended to subject components of the university that are not part of the university's hybrid designation to the specific requirements of HIPAA.

Replaces: 3361:10-5-20

Effective: 9/25/2015
Promulgated Under: 111.15
Statutory Authority: 3361
Rule Amplifies: 3361
Prior Effective Dates: 07/15/2011