Chapter 3362-2 University Personnel; Academic Program Review; Intellectual Property of Rights of Students

3362-2-05 Faculty professional leaves.

(A) Purpose

The primary purpose of this policy is to advance the academic competence of faculty members while enhancing their contribution to the university as scholars and teachers. Faculty professional leave (FPL) proposals typically focus on improvement of scholarship skills and knowledge and/or production of scholarly products. Faculty members may, however, use FPL for a substantial improvement in pedagogical or administrative skills and knowledge that are beneficial to both the faculty and the university. The FPL program is developed in compliance with section 3345.28 of the Revised Code. All provisions of section 3345.28 of the Revised Code will be adhered to in implementing this policy.

(B) Restrictions

The FPL program is designed to provide faculty with a significant period of uninterrupted time to invest in their professional development.

(1) Enrichment activities involving little or no investment in new skills and knowledge are not appropriate for the program.

(2) Faculty should restrict any other employment activities during a leave to that which clearly advances or enhances the purpose of the FPL. Such employment must be expressly approved by the provost.

(3) Proposals for faculty improvement designed to address long-term institutional priorities or targeted tuition reimbursement or training for approved program initiatives will not be covered under this policy but may be funded in other ways.

(4) Faculty may not apply for the same educational opportunity under both FPL and another university faculty development program during the same year.

(5) Tuition and fees incurred by the faculty member during FPL will not be reimbursed under this policy. In other words, one may apply for tuition and fee reimbursement or FPL, but not both during the same year.

(C) Eligibility

Faculty seeking FPL must have been employed as a tenure-track or tenured faculty member for seven years and be otherwise eligible according to provisions of section 3345.28 of the Revised Code.

(1) Time served at another university, as an adjunct, full-time instructor, visiting or temporary faculty member or while on unpaid leave does not count towards the seven year requirement.

(2) A faculty member who takes an FPL, regardless of duration, becomes eligible again only after completing another seven years of service at Shawnee state university (SSU).

(D) Evaluation

As described in the underlying procedure, FPL applications will be evaluated and approved by both faculty peers and appropriate academic administrators. The president's final approval is required. Evaluators will place greatest weight on the merits of the proposal with regards to the professional development of the faculty member and the advancement of the mission of the university.

(E) Faculty obligations

Faculty who take an FPL must understand and consent to meeting certain obligations.

(1) Faculty who take an FPL are required to return to SSU for a full academic year following completion of the FPL. The underlying procedure will address consequences for failure to return.

(2) Faculty who take an FPL are required to submit a written report of goals and accomplishments within sixty calendar days of the date of their return to service at the university.

(F) Compensation

Faculty who take a one semester leave will be paid one hundred per cent of base salary. Faculty who take a two semester leave will be paid sixty-six per cent of base salary.

(1) The salary noted above is the total amount that may be earned by the faculty member from SSU general funds. Departments and colleges may not rehire faculty on FPL to teach or engage in other compensated activities.

(2) The FPL application must describe any non-SSU compensation that the faculty member will receive while on FPL. Faculty members on FPL for one semester are prohibited under Ohio law and this policy from receiving additional compensation from an external source for FPL work.

(3) A faculty member on a two semester FPL may supplement his/her salary through external sources, such as grants, provided that the activity to be compensated supports the purpose of the FPL and the external support combined with the reduced stipend does not raise the faculty member's compensation above the level of their base salary.

(G) Procedures

The board of trustees authorizes the president to establish procedures to effectively implement this policy.

Effective: 6/19/2017
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03

3362-2-09 Academic program review.

(A) Introduction

(1) An effective academic program review process is essential for the health of Shawnee state university's academic programs. The academic program review process strives to ensure the quality and academic integrity of all programs through continuous program improvement. At its most basic, the program review process is simply a review of the good works, processes, procedures, and measured learning outcome results that programs develop as they strive for continuous improvement.

(2) Program review is a best practice in american higher education that involves stakeholders in the continuous improvement process. Such a review includes an assessment of past and current performance that is used to inform future directions and decision-making. Those charged with overseeing and coordinating program review activities should be engaged in some aspect of assessment and program review year-round.

(3) The academic program review process provides an opportunity for program faculty and administration to evaluate the goals and effectiveness of a program and make appropriate changes that will lead to improvement in the quality of instruction and curricular requirements, improved career and life preparation for students, and effective and efficient use of university resources.

(B) Purpose

(1) Assist programs in the identification, evaluation and assessment of their mission and goals and the development of short and long-term strategic plans.

(2) Assist programs in the determination of their relationship to the mission of the university, college, and department.

(3) Assist programs in assessing the quality of instruction, instructional methodology, student learning, and the strengths and challenges in their curriculum.

(4) Provide programs the opportunity to compare their curriculum, resources, and facilities with those at peer institutions.

(5) Assist programs in the identification of existing resources and determination of the resources needed to carry out identified mission and goals.

(6) Assist the university in the evaluation of the value, quality, effectiveness and efficient use of resources for the academic programs at Shawnee state university.

(7) Provide direction and priorities for the university that can be used for needs assessment, resource allocation, and planning.

(8) Provide structure, a plan of action, and information for continuous program improvement.

(C) Definitions

(1) Academic program - refers to any and all coherent instructional activities of Shawnee state university and includes degree and certificate programs, concentrations, and other non-degree curricular entities, such as the honors and general education programs.

(2) Degree program - refers to any prescribed course of study which constitutes an area of specialization leading to a recognized degree. This is the same as the term "discipline specialty" used in reporting to the u.s. department of education's higher education general information survey (HEGIS). In baccalaureate degrees or higher, the term "degree program" is the same as "major."

(a) Degree programs must be significantly distinct from one another. Where two proposed degree programs have sixty percent or more of their program course requirements in common, they may be classified as concentrations within a single degree program, rather than as separate degree programs. When deemed appropriate by their college dean, programs with curricular links (for example, associate and baccalaureate programs in the same area or programs with concentrations, minors, or associated certificates) will be combined into a single review.

(3) Preliminary self-study - refers to a structured reflection of a program's faculty, staff students, and alumni concerning the educational effectiveness of its academic program. It is not a description of the unit, but a data- and constituent-informed analysis that leads to the identification of key issues and recommendations of potential steps to address them.

(4) On-site visits and external reviewer reports - on-site visits by external reviewers are not mandatory but generally recommended, and ought to be considered a justifiable expense in conducting a proper program review.

(5) Final program review report - the end product of a program review shall take the form of a final report, which includes recommendations and a timeline for their implementation.

(6) Interim progress report - the provost, upon consideration of the final program review report, can mandate a special review and interim progress report. Such interim progress report shall be conducted under the procedures approved for a regular program review.

(D) Academic program review

(1) Organization

(a) The cornerstone of a program review is the development of the academic program's preliminary self-study. Following its submission, a review to clarify, verify, and amplify the self-study will be conducted by external reviewer(s) appointed by the respective dean or the appropriate administrator within the office of the provost in consultation with the unit under review.

(b) The preliminary self-study becomes the core component of the final program review report, which will be submitted to the respective college dean. In the case of non-degree curricular entities, such as the honors or general education programs and similar non-departmental academic programs, final reports will be submitted to the appropriate administrator within the office of the provost.

(2) Timeline

(a) Programs will be scheduled to undergo review on a recurring five-year cycle. Program reviews shall be scheduled so that no department shall have to conduct more than one program review per academic year, except in cases when departments are home to more than five programs or when a previous review requires a more frequent program review. Reviews, when possible, should be spread out along the five-year cycle to evenly distribute a department's program review efforts.

(b) Whenever possible, programs with outside accreditation will be put on a program review schedule that will allow those programs to complete review and analysis for the accreditation self-study with a timeline for submission that corresponds with the university's program review cycle.

(c) Programs that are accredited by an outside body may submit their most recent self-study produced to satisfy accreditation in place of the final program review report. The dean of the program's college may require a supplemental report, providing data or material required in the standard review (as outlined in this guide) if such information is not sufficiently up-to-date or not found in their accreditation study.

(3) Annual data

In addition to a periodic program review, this policy also stipulates each academic program submit quantitative data on degree programs to the office of the provost on an annual basis. These annual data will serve to track the development of academic programs over time and provide quantitative data for the program's next five-year review or interim progress report. The office of the provost shall issue guidelines that specify any supplemental data required in the annual report from each academic program.

(E) Procedures

The president or his/her designee will ensure the establishment of procedures necessary to effectively implement this policy. These procedures will be revised and developed based upon the recommendations of the university faculty senate.

Replaces: 3362-2-09

Effective: 12/28/2015
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03
Prior Effective Dates: 6/5/01

3362-2-10 [Rescinded] Establishing a center.

Effective: 3/23/2015
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03
Prior Effective Dates: 06/15/01

3362-2-11 Administration of inventions, discoveries, and patents.

(A) General

(1) Research is recognized as an integral part of the educational process to generate new knowledge, to encourage the spirit of inquiry, and to develop scientists, engineers, and other scholars. As a result of such research, new discoveries and inventions (hereinafter collectively referred to as "inventions") may be made by faculty members, staff, and students of the university, which could have material commercial value or potential as revenue producers and which could contribute significantly to scientific, technological, social, and cultural progress. Such inventions may qualify for patent protection. Patents are created by the constitution and the laws of the United States to recognize the ownership of inventions by individuals in return for publication of the inventions by issued patents and ultimate dedication to the public after the limited period for which the law grants patent protection.

(2) The faculty members, staff, and students of the university are encouraged to evaluate the results of their research activities in terms of potential commercial value and the public interest, as well as for scholarly significance.

(B) Basic objectives

The basic objectives of Shawnee state university's rule on inventions, discoveries, and patents (hereinafter referred to as "rule") are:

(a) To comply with the public policy of the state of Ohio with respect to the university's right to, and interest in inventions, including patents thereon, mandated by section 3345.14 of the Revised Code.

(b) To make inventions developed in the course of university research available in the public interest under conditions that will promote their effective development and utilization.

(c) Assure that inventions developed in the course of university research will not be used to the detriment of the public interest by the unnecessary exclusion of any qualified user or otherwise.

(d) To provide adequate recognition and incentive to inventors and discoverers (hereinafter collectively referred to as "inventors") by assuring them an equitable share in any proceeds from their inventions, since, unlike normal commercial practice, university salary scales are not based on the expectation by the university of income from inventions.

(e) To advance and encourage research within the university with the proceeds accruing to the university from inventions which are developed in the course of research supported by funds or facilities of, or administered by, the university.

(f) To recognize the entitlement of any outside sponsor of research conducted by the university to share in the proceeds resulting from inventions developed in the course of such research by making reasonable provisions for the granting of limited patent rights to such sponsor, consistent with the university's other objectives above outlined.

(C) Administration of the patent rule

(1) The board of trustees shall be responsible for the general supervision of this rule, "inventions, discoveries, and patents."

(2) An "IDP [inventions, discoveries, and patents]" committee (one faculty member representing each college, the appropriate dean/vice president, and the provost or his/her designee, hereinafter referred to as the "committee") chaired by the provost or his/her designee shall review and make recommendations to the president and the board of trustees with respect to:

(a) The management of inventions subject to this rule, including their processing, development, patenting, and exploitation in accordance with the objectives of this rule and the best interest of the university. Such recommendations shall be made with all reasonable promptness after an invention is brought to the committee's attention.

(b) The adoption of regulations and procedures appropriate to implement this rule; and

(c) The employment of any independent consultants or patent management agents necessary to assist in perfecting or evaluating inventions and securing adequate patent protection.

(D) Obligation of university faculty, staff, and students; reports and procedures

All faculty members, staff, and students, in consideration of their affiliation with the university and the approval of this rule by the university faculty assembly and trustees of the university, agree to handle all inventions, and patents resulting therefrom, which are developed from research or investigation supported by, or conducted in any facility of the university as follows:

(a) A faculty member, staff member, or student shall promptly report and refer any such invention in writing to the provost or his designee in such form and detail and with such supporting information as the provost shall from time to time, by general announcement, request.

(b) When an invention is referred to the provost, she or he will see to it that the invention together with all necessary supporting information is submitted to the committee. The committee will review the merits of the invention and make recommendations to the president and board of trustees for the management of the invention including its development, patenting, and exploitation.

(c) After consultation with the inventor(s), the committee may suggest that the university return the invention to the inventor(s) to manage on his or her own initiative, subject to the policies of any external sponsor who may have an interest.

(d) The determination of the board of trustees with respect to the management of any invention submitted hereunder shall be binding upon the inventor(s) and the inventor(s) shall execute all documents appropriate for such management.

(E) Rights to inventions and patents; distribution of financial returns

(1) All rights with respect to inventions resulting from research activities of faculty members, staff, or students of the university which are supported entirely or predominantly by university resources or facilities shall be assigned to and controlled by the university. Unless in exceptional cases, the board of trustees, upon the recommendation of the committee, awards a large percentage of the net financial returns to the inventor(s), the inventor(s) shall receive fifty per cent of the net financial returns from the exploitation of the invention and the assignment, licensing, or other exploitation of patent and other rights pertaining thereto. In the event the patent is assigned to any outside patent management organization (such as a research/development corporation) the inventor(s) would receive fifty per cent of net revenues received by the university.

(2) All rights with respect to inventions resulting from research activities of faculty members, staff, or students which are supported, but less than predominantly supported, by university resources or facilities shall be assigned to and controlled by the university. The committee shall recommend to the president and board of trustees the appropriate percentage of the net financial returns from exploitation of the invention, and the assignment, licensing, or other exploitation of patent and other rights pertaining thereto, to be paid to the inventor(s). In no case shall the inventor(s) receive less than fifty per cent of such net financial returns.

(3) All rights with respect to inventions resulting from the personal and independent research activities of university faculty members, staff, or students, unsupported by university resources or facilities shall be the sole property of the inventor(s). The inventor(s) may assign such inventions to the university under the terms and conditions of paragraph (E) (2) of this rule.

(4) Inventions resulting from research carried on by a student in fulfillment of requirements for an academic degree, including the preparation of a thesis or dissertation shall be construed as having resulted from research activities predominantly supported by university resources and facilities and shall be subject to the provisions of paragraph (E) (1) of this rule.

(5) At the request of the committee, the appropriate university department chairperson or dean shall investigate and report to the committee upon the extent to which university facilities and resources were used to support research activities resulting in an invention referred to the provost in accordance with the rule.

(6) Determination of net financial returns as used in this rule shall be made and reported by the university in accordance with generally accepted accounting principles.

(7) All rights to inventions resulting from sponsored research grants, contracts, fellowships, or other such special arrangements, shall be controlled by the terms of those grants, contracts, fellowships, or special arrangements. Faculty members, staff and students accepting sponsored research grants shall execute such agreements as will enable the university to conform with the mandatory requirements of the sponsoring agencies and shall abide by the provisions of such agreements and paragraph (F) of this rule.

(8) Reasonable diligence will be exercised by the university to ensure the expeditious development, patenting, and exploitation of such inventions.

(9) The university may within one hundred eighty days of the date of an inventor's submission of an adequate disclosure of an invention to the university, elect not to exercise its rights with respect to an invention subject to this rule. In such event, the university shall promptly notify the inventor(s) in writing of its election. Thereafter, in response to a written request by the inventor(s), the university shall relinquish, reassign, or otherwise transfer all rights with respect to such invention to the inventor(s), subject to the rights and policies of any external sponsor.

(F) Sponsored research

(1) When the university and a third party (hereafter referred to as "outside sponsor") enter into an agreement for research to be conducted with funds or facilities provided in whole or in part by such outside sponsor, any faculty, staff member, or student who conducts such research, utilizing such funds or facilities, may be required by the university to enter into an agreement assigning all rights to inventions arising from such research to the university or the outside sponsor or both.

(2) No agreement, respecting the assignment, licensing, or other exploitation of any patent or other rights to any invention developed in the course of research supported by funds or utilizing facilities administered by the university pursuant to an agreement with an outside sponsor, may be entered into by any faculty, staff member or student without the written consent of the university. Such consent shall be given or withheld in accordance with the objectives set forth in this policy by the board of trustees after consideration of the recommendation of the committee.

(G) Advisory arbitration

If a dispute should arise between an inventor(s) and the university with respect to the application or interpretation of the provisions of this policy, the dispute shall be submitted to arbitration in accordance with the rules and regulations of the american arbitration association. The award of such arbitrators shall be advisory only and not binding upon the inventor(s) or the university, unless specifically agreed to by the parties.

Effective: 6/5/2001
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03

3362-2-13 Misconduct in scientific and scholarly research.

(A) Definition

(1) As defined in the code of Federal Regulations, title 42, part 50, subpart A: misconduct in scientific and scholarly research: "fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data."

(2) There are three components to be considered in the event of an allegation of scientific misconduct. Those are the reporting of allegations, inquiry and investigation, and the disposition of findings.

(B) Reporting of allegations

An allegation of misconduct in scientific or scholarly research within a department shall be reported to the chair or director of that department in writing signed by the complainant. The signed, written allegation will then be forwarded to the provost. Where the allegation is made against a department chair or program director, the written allegation shall be signed by the complainant and will be forwarded directly to the provost. The university has an ethical obligation to assure those who bring forth an allegation of misconduct that confidentially will be exercised and to offer them protection from retaliation. At the same time, it is important that the university recognizes the serious effect such allegations may have on the career and reputation of the accused researcher. Therefore, it is in the best -interest of all parties that proceedings be handled in confidence, yet within the boundaries of state and federal law regarding open records. In the event of an inquiry into possible misconduct, it is also the responsibility of the university to protect federal and state funds and to insure that the proper purpose of that funding is carried out. The provost will be authorized to initiate and document appropriate administrative action to provide that assurance.

(C) Inquiry and investigation

(1) Pre-inquiry. The provost will conduct a pre-inquiry review to assist the complainant to formulate as clearly as possible the exact nature of the allegation and to determine if an allegation has any reasonable basis before beginning a formal process of review. In those cases involving allegations that pose threats to the health or welfare of human subjects or other involved persons, a pre-inquiry review may be omitted. Following informal review with the respondent, if the provost determines that the allegation is frivolous, has no merit or does not fall under the definition of misconduct in research, the complainant and respondent will be notified of that decision.

(2) Inquiry: If the pre-inquiry does not dispose of the allegations the provost will conduct an inquiry to gather information to determine the validity of the claim of misconduct. The accused investigator will be provided a copy of the allegations within three working days after receipt of the complaint by the provost. The inquiry should be completed within thirty days of receipt of the allegation. When circumstances warrant (unavailable witnesses or evidence), the inquiry period may be extended by the provost for an additional thirty days. Any inquiry into the allegation of misconduct must result in a written report that includes a summary of all evidence reviewed, summaries of any relevant testimony, and a conclusion of the findings. Copies of the report must be given to the accused researcher who will then be given the opportunity to make comments. Those comments will be added as an amendment to the report. If the inquiry determines that no basis exists for further investigation, the party making the allegation, the researcher, the dean, and/or department head will be informed in writing. The office of the provost will keep records of the inquiry, separate from the personnel files of the involved parties and the records will be maintained for a minimum of three years.

(3) Investigation: In the event that an inquiry produces evidence of possible misconduct, the provost will appoint a committee to conduct an investigation. The committee will consist of at least three scholars who have been screened for any real or apparent conflicts of interest with the activity and party in question. The committee will include members whose credentials of education and experience qualify them to make technical or scholarly judgments about the allegations. The accused investigator may recommend to the provost qualified members for this committee. The investigative committee may include individuals from outside the university. The investigation will commence within thirty days of the conclusion of the inquiry and shall include the examination of all relevant information and records and may include testimony if necessary. The committee may secure expert assistance to assist in evaluating the evidence with prior approval of the provost. The accused researcher will be given the opportunity to respond to the allegation. Within ninety days, the findings of the committee shall be presented to the provost and to the researcher in question in a written report that shall include any recommendations based upon those findings. Upon receipt of the report, the provost will issue a decision on the misconduct allegation.

(D) Disposition

(1) The office of the provost will notify the appropriate funding agency or agencies and the office of scientific integrity (OSI) when an investigation is initiated. When a decision has been reached the agency or agencies and the OSI will be notified of the outcome of the investigation. During the course of the investigation, the office of the provost will keep OSI informed of any significant developments that may occur. If the decision is made that no misconduct has occurred, the investigation will be closed and the accused researcher and the person who made the allegation will be notified. Measures will be taken by the university to restore the reputation of the researcher when the investigation is complete.

(2) If the conclusion is that scientific or scholarly misconduct has occurred, the provost will determine the course of action to be taken, which may include appropriate administrative sanctions up to and including termination from employment. Any administrative sanctions will conform to the requirements of applicable collective bargaining agreements. If reasonable indications of possible criminal misconduct exist, the office of scientific inquiry will be notified within twenty-four hours of the finding. The accused investigator will be given an opportunity to comment on the findings of the inquiry before recommendations are made. Appeals may be made as provided for by the applicable collective bargaining agreement.

Effective: 5/10/2006
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03

3362-2-16 Intellectual property rights for students.

(A) Purpose and application

(1) Shawnee state university is committed to providing an educational environment that fosters student creativity and the sharing of ideas. The university is committed to making its resources available to its students to support this effort.

(2) This policy is applicable to all Shawnee state enrolled and continuing students.

(B) Definitions

(1) These definitions apply to all sections of the policy.

(a) A copyrighted intellectual property describes original works of authorship that have been fixed in a tangible medium of expression, including, but not limited to, written materials, dissertations, papers, articles, books, poems, audiovisual materials, videos, audio recordings, architectural drawings, on-line instructional materials, musical compositions, dramatic creations, software, databases, photographs, or sculptures that are likely to be subject to protection under United States copyright law.

(b) Patentable intellectual property describes inventions, discoveries, and manufacturing designs that have been reduced to practice, and are considered novel and likely to be subject to protection under United States patent law.

(c) Work for hire is a work prepared by an employee, who may be a student employee, within the scope of his or her employment, or is a work or project directed by or specially ordered or commissioned by the university.

(C) Copyright

(1) All rights granted under copyright law for a particular work remain with the authors (creators) of the work.

(2) All student works created from independent work, research and/or academic work, whether supported by university resources or facilities, belong exclusively to the student, unless excepted by written agreement, expressly waived, or if prohibited by law.

(3) The university will not have an interest in copyright ownership of student work, except in the following instances:

(a) When the work is a work for hire.

(b) When the work is created as a result from a prior university agreement with an outside sponsor from a grant agreement.

(D) Patents

Ownership of patent rights to inventions or discoveries created independently by students, whether supported by university resources or facilities, belongs exclusively to the student, unless excepted by written agreement, expressly waived or if prohibited by law.

Effective: 5/16/2016
Promulgated Under: 111.15
Statutory Authority: 3362.03
Rule Amplifies: 3362.03