3335-13-01 Drives and canvassing.
(A) Canvassing or solicitation for funds, sales, or subscriptions are prohibited on university campuses or in university buildings unless written permission therefor shall first have been granted by the office of the university registrar which may seek recommendation regarding requests for permission from appropriate university offices.
(B) The sale of merchandise of any kind whatsoever, or publications or services upon university property, other than by the regularly authorized stores, restaurants, departments or divisions of the university, is likewise prohibited except upon written permission of the office of the university registrar which may seek recommendation regarding requests for permission from appropriate university offices. The responsibility and authority of the office of the university registrar under this rule may be delegated by it to a member of the faculty or staff.
(C) Any persons violating this rule shall be subject, upon proper notice, to eviction from university property or arrest.
(Prior effective date: 3/13/1978; Board approval dates: 2/1/1980, 2/3/1984, 6/6/2014)
3335-13-02 Smoking - tobacco.
The prohibition of the smoking of tobacco within university facilities designated as "No Smoking" areas by the authority delegated by the director of administrative services of the state of Ohio has been established to protect the comfort and health of persons who do not smoke or to whom such smoke is objectionable. Further, the smoking of tobacco in such designated areas is a violation of section 3791.031 of the Revised Code, and all violators are subject to prosecution.
3335-13-03 University facilities.
(A) University facilities may be scheduled and used only if the meeting is sponsored by at least one of the following: the university; an administrative unit of the university; the president or a member of their staff; a member of the university faculty; a club or committee of faculty members, staff members, or their spouses; or a recognized student organization (see rule 3335-11-03 of the Administrative Code).
(B) The office of the university registrar shall be responsible for the scheduling of and shall have the necessary authority to schedule all university facilities. No meeting shall be scheduled in or announced for any university facility unless permission to use the facility has been obtained in advance from the office of the university registrar. All requests for the use of university facilities shall indicate the nature of the proposed meeting. If the proposed meeting is one to which a guest speaker is to be invited, the request for the use of university facilities shall indicate the name of the guest speaker and shall be submitted to the office of the university registrar at least two weeks prior to the date the meeting is to be held, but such two-week period may be waived by the office of the university registrar if the exigencies of the situation so require and the orderly scheduling of university facilities would not be unduly prejudiced (see rule 3335-5-06 of the Administrative Code).
(C) The word "meeting" as used in rules 3335-5-06, 3335-11-06, and 3335-13-03 of the Administrative Code means any meeting using university facilities to which the faculty, staff, students or public is invited, except regularly scheduled university courses, conferences approved under university procedures, and meetings of state, regional, national or international organizations approved under university procedures.
(D) The responsibility and authority of the office of the university registrar under this rule may be delegated by it to a member of the faculty or of the staff of this university.
(Board approval dates: 10/12/1962, 9/14/1965, 12/3/1971, 2/3/1984, 5/3/1996, 6/6/2014)
3335-13-04 Duplication of keys or other access devices.
Except as specifically authorized by the president, their designee, or a university official authorized to make decisions regarding the issuance of university keys or other access devices, no person shall knowingly make or cause to be made any key or other access device for any building, laboratory, facility, or room of the university.
(Board approval date: 4/12/1963, 4/6/2018)
3335-13-05 Control of dogs and other animals.
(A) No person shall permit a dog or other animal under their ownership or control upon the grounds of the university unless it is on a leash or harness not more than six feet in length and under the owner or handler's personal control, unless otherwise permitted to do so by the university. A dog or other animal that is leashed or harnessed but unattended is not under the personal control of its owner or keeper.
(B) No person shall permit a dog or other animal under their ownership or control to enter any university building or housing, except for service animals, therapy animals, support animals, and/or any other type of animal approved by the university to accompany individuals in such areas provided that the person complies with any restrictions or limitations set by the university and such animal remains under the personal control of its owner or handler in accordance with paragraph (A) of this rule. This rule shall not, however, prevent persons from bringing animals into university buildings for approved research purposes or for observation or care by university veterinary personnel.
(C) Any dog or other animal found upon the grounds of the university or in any university building, except as permitted pursuant to the provisions of paragraphs (A) and (B) of this rule, may be taken into custody by university authorities. University authorities may, in their discretion, turn the dog or other animal over to appropriate county or municipal authorities for delivery to the custody of the humane society or other animal shelter. In such an event, the owner or handler must contact the entity to which the animal was delivered to recover the animal in accordance with that entity's rules. The university may further require the owner or handler of such a dog or other animal to reimburse the university for costs incurred in impounding the dog or other animal and turning it over to the control and custody of county or municipal authorities.
(Board approval dates: 7/31/1969, 9/2/1971, 9/10/1976, 8/29/2001, 4/6/2018)
Intellectual Property Rights
3335-13-06 Rights to and interests in intellectual property, patents, and copyrights.
The university shall have a policy or policies on intellectual property, patents, and copyrights (hereinafter referred to as "the policy").
(A) The intellectual properties, patents and copyrights committee of the university senate shall maintain the policy. Specifically, the committee shall review all proposed changes to the policy, and shall also have the power to initiate its own proposed changes to the policy. The chair of the committee shall also be designated as a member of the policy writing group for any revisions to the policy. Revisions shall be promulgated through the university policy process and then recommended to faculty council and the university senate. All substantive revisions to the policy must be approved by the faculty council and the university senate, in addition to the other approvals required by the university policy process. Revisions that are clearly non-substantive and of a technical nature, such as typographical errors, changes in grammar, format, title of administrative and academic units and executives, and cross- references, can be approved solely by the university’s director of policy, the vice president responsible for the operation of the technology commercialization office, and the intellectual property, patents and copyrights committee.
- Membership, duties, and organization of the intellectual property, patents and copyrights committee shall be in accordance with rule 3335-5-48.19 of the Administrative Code.
- The policy on intellectual property, patents, and copyrights shall include specific procedures for appeals to the intellectual property, patents and copyrights committee.
(B) The board of trustees deems it in the best interest of the university, its faculty, staff, and students, and in the interest of the promotion of research and development to provide for participation by faculty, staff, and students in the proceeds from intellectual property conceived or developed by them as determined by the policy. The term "intellectual property" shall be defined in the policy.
(C) The university recognizes that copyright protections are fundamental to the academic mission, and that traditional scholarly and artistic intellectual works created by faculty, staff, and students generally belong to those individual creators. There are, however, instances defined in the policy in which specific rights, titles, and/or interests in copyrightable works created by faculty, staff, and students may vest in whole or in part in the university or other entities. As such, the policy shall establish the ownership of all rights, titles, and interests for copyrightable works created by faculty, staff, and students. The technical meaning of “copyrightable works” shall be defined in the policy.
(D) The policy shall be implemented under the direction of the president of the university or their designees, as determined by the policy.
(Board approval dates: 4/12/1963, 5/8/1969, 10/4/1985, 4/4/1986, 11/2/1990, 4/4/1997, 12/4/1998, 5/7/2004, 6/6/2014, 4/7/2017, 5/18/2023)
3335-13-07 Rules governing employee and student participation in companies commercializing intellectual property in which the university or a university affiliate has an interest.
(A) General Information.
- In order to translate innovations into useful products and services, universities must engage with various outside entities in the commercialization process. Pursuant to Ohio Revised Code 3345.14, the university board of trustees has determined that the interests of the university will be served if employees – including faculty and staff – and students are afforded the opportunity to hold personal financial interests in university technology commercialization companies.
- This rule enables employees and students to realize the benefits of commercialization
activities while protecting the integrity of the university’s teaching, research, and creative
- Employees and students are encouraged to make or create intellectual property with
commercial potential; however, they shall do so with due regard to the broader teaching,
research, and creative expression of the university and in compliance with applicable
university policies and state and federal laws.
(B) Applicability and Definitions.
- The university's interest in intellectual property made or created by its employees and students is determined in accordance with O.R.C. 3345.14, federal law, and the university Intellectual Property policy.
- This rule shall apply to all employees and students who have a financial or fiduciary interest in or with an entity to which the university or a university affiliate has or intends to assignee, license, transfer, or sell its interest in intellectual property.
- A university technology commercialization company (UTCC) is an entity: (i) in which a university employee or student has a financial interest or a fiduciary role, and (ii) that has received or is expected to receive an assignment, license, or transfer of an interest in intellectual property of the university or a university affiliate.
- Financial interest includes any stock, bond, warrant, option, loan, or any other equity or debt interest in a UTCC, or promise of the same, as well as any paid consulting or employment with a UTCC. Amounts due to employees or students as proceeds distributable to creators pursuant to the university’s Intellectual Property policy are excluded from the definition of financial interest for the purposes of this rule.
- Fiduciary role includes serving as an officer or board member of the entity or in any other decision-making role or other position of trust or authority with the entity.
- Participate in/participating in/participation in means having a financial interest in or fiduciary role with a UTCC.
- Employee refers to all faculty, staff, student employees, graduate associates, and postdoctoral
(C) Scope and Relation to the Ohio Ethics Law.
- This rule creates an exception to chapter 102.03 and 102.04 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 the employee is connected, or from soliciting or accepting anything of value that is of such character as to manifest a substantial and improper influence upon the employee with respect to the performance of the employee’s duties.
- Compliance with this rule will provide an employee or student who acquires a financial interest in or a fiduciary role with a UTCC with an exemption from these and other potentially applicable provisions of the Ohio ethics laws.
- A failure to comply with this rule could result in a violation of the Ohio ethics laws, which may involve criminal penalties.
- Employees and students whose financial and fiduciary interest in an organization is limited to owning less than 5% equity in the company, may, but are not required to seek TTOC approval.
- Employees and students participating in UTCCs shall follow all applicable university policies.
- Employee and student participation in UTCCs must be approved by the Technology Transfer Oversight Committee (TTOC) in order for this Rule to apply.
- Approval of participation in a UTCC will require, at minimum:
- Documented pre-approval and disclosure of the employee’s or student’s outside work or relationship with the UTCC;
- A conflict management plan addressing the employee’s or student’s proposed participation in the UTCC.
- Each agreement between the university and the UTCC, excluding any agreement between a university affiliate and the UTCC whereby its interest in intellectual property is assigned, licensed, transferred, or sold, requires written TTOC approval. At the discretion of the TTOC, institutional agreements that contemplate numerous university purchases may not require approval for each purchase under the agreement.
- Approval of participation in a UTCC will require, at minimum:
- Supervisors, tenure initiating unit heads, and unit leaders are responsible for monitoring employees’ and students’ compliance with all applicable university policies and conflict management plans.
- Employees and students who wish to participate in a UTCC shall not be involved with any negotiations between the company and the university or a university affiliate.
- Supervisors, tenure initiating unit heads, or unit leaders must be actively involved in the development of the conflict management plan(s) relating to a UTCC.
- If a supervisor, tenure initiating unit head, or unit leader has a financial interest or is otherwise participating in the UTCC, another administrator more senior to the conflicted individual must be appointed to perform the responsibilities of the supervisor, tenure initiating unit head, or unit leader.
- If the TTOC determines that a transaction involving a UTCC is not in the best interest of the university, the transaction shall not be approved.
- Employees and students may choose to not seek TTOC approval for their participation in a UTCC; however, the exception provided in (C) 1 and 2 of this Rule will not apply without TTOC approval and their participation will be subject to applicable laws and university policies. If a supervisor, tenure initiating unit head, or unit leader has a financial interest or is a co- participant with faculty, staff, or students in a university technology commercialization company, another administrator must be appointed to perform the responsibilities of the supervisor, tenure initiating unit head, or unit leader.
(E) Responsibilities to the university.
- Faculty should not allow their financial interests in a UTCC to adversely influence their teaching, or to interfere with their relationships with other faculty. In particular, research assignments for students should be based on the students’ interests and academic development. While faculty are permitted by university policy and this rule to engage in authorized private business activities relating to their university positions, they continue to be responsible for the performance of all of their university teaching, research, and service obligations.
- Staff may engage in activities relating to a UTCC during regularly assigned working hours only if they take approved leave or document flexible schedule arrangements with their supervisor. Staff may pursue only those research projects that will advance the missions of the university and the employing unit, without regard to the financial interests of individual employees, and that are authorized by their supervisor, tenure initiating unit head, or unit leader.
- Student employees may not engage in activities relating to a UTCC during regularly assigned working hours.
- Faculty, staff, and students participating in a UTCC are to at all times clearly represent whether they are acting in their university or UTCC role when conducting professional activities.
(F) Conflict of interest management standards.
- University facilities, equipment and other resources may be used for the benefit of a UTCC pursuant only to a sponsored research agreement, facilities use agreement, or other appropriate contractual arrangement.
- The conflict management plan may describe the employee’s contemplated initial equity interest, debt participation, and/or fiduciary role in the UTCC and provide enforceable milestones for reduction of that interest, participation, and/or role.
- Faculty shall not allow their activities with UTCCs to consume a disproportionate amount of their professional attention. Faculty engaged in approved outside activities who are unable to perform all of their university responsibilities must reduce those outside activities or request a reduction of appointment or other approved leave in accordance with university policies. Faculty professional leave should be authorized in accordance with other university policies (e.g. Faculty Professional Leave).
- Staff who are unable to perform all of their university duties because of activities in connection with UTCCs must reduce those outside activities or request a reduction of appointment or other approved leave in accordance with university policies.
- Research benefiting a UTCC may not be used to satisfy the criteria for a thesis or dissertation if the material is restricted from publication. Faculty must inform the student in writing of any such publication restriction prior to the start of the student’s research.
- A student may not be employed by or participate in a UTCC in which a faculty member participates if the faculty member has a university supervisory, teaching, evaluation, advising, coaching, or counseling relationship with the student.
- Students may be employed by a UTCC, subject to the limitation set forth in paragraph (F)(5) of this rule.
- University regulatory review boards including, for example, the institutional review board and the institutional animal care and use committee, may be used for research benefiting a UTCC pursuant to a sponsored research agreement or another arrangement approved by the TTOC, and any other university policies.
- Employees may not be the principal investigator in sponsored research projects funded by UTCCs in which they participate if the projects involve approval by the institutional review board or if the projects include veterinary clinical trials involving the use of animals unless provided for by other university policies. For sponsored research not requiring institutional review board or institutional animal care and use committee oversight, faculty or staff may assume the role of principal investigator if a formal conflict management plan approved by the TTOC and the Conflicts Approval Committee is in place.
- Agreements for sponsored research projects funded by UTCCs must include, at a minimum, a requirement for full university publication rights and full cost recovery, unless otherwise approved in writing by the Vice President for Research.
- Employees participating in UTCCs approved pursuant to this rule continue to be bound by the university’s Intellectual Property policy and all other applicable university policies.
- New intellectual property made or created by faculty or staff who have received TTOC approval for their participation in a UTCC will be owned by the university or university affiliate, unless the TTOC determines otherwise in view of O.R.C. 3345.14, federal law, and the university’s Intellectual Property policy. New intellectual property made or created by faculty or staff who choose to not seek TTOC approval for their participation in a UTCC will be governed by state and federal law and the university’s Intellectual Property Policy and not this Rule. New inventions and/or discoveries developed by the faculty, staff member or student for the company must be disclosed to the technology commercialization office as required by the university’s Intellectual Property policy.
(Board approval dates: 4/6/2001, 6/29/2001, 6/3/2016, 11/17/22)
3335-13-08 Research misconduct.
The university shall have a policy on research misconduct (“the policy”) issued and maintained by the university research committee. “research misconduct” means fabrication, falsification or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion.
- The policy shall aim to protect both the integrity and the reputation of research and scholarship produced by members of the university community.
- The policy shall aim to protect the integrity and reputation of the university and its scholars from false or unproven allegations of research misconduct. For this reason, the university assumes that a person accused of research misconduct is innocent of any allegations until the contrary has been established by a final decision reached under the policy and the applicable disciplinary rules or procedures. The procedures undertaken pursuant to the policy are intended to be investigatory, not adversarial.
- The policy shall apply to all university personnel who may be involved with research activities, including faculty members, staff, students, research associates and fellows, post-doctoral fellows, and other research trainees.
- The policy shall therefore apply to all research and scholarship conducted within the University community, irrespective of the funding source, if any, which supports the research or scholarship.
- The terms “research” and “scholarship” shall be broadly construed, including activities ranging from scientific experimentation to artistic expression to research and scholarship in the humanities.
- All persons to whom the policy applies, including those accused of research misconduct, have a duty to cooperate with all proceedings under the policy as well as any subsequent investigations. Such cooperation shall include providing research records and other relevant information to the vice president for research and/or their designee.
To the extent possible within the law and in accordance with the need to conduct a thorough inquiry, all participants in the actions initiated pursuant to the policy shall keep confidential all information regarding allegations and proceedings until the university process, including any disciplinary action, has concluded and all avenues of appeal under the university rules (if pursued) have been exhausted. The vice president for research shall be the university official responsible for determining when a release of information is necessary or appropriate.
(D) Administration of the policy.
- The vice president for research shall be responsible for disseminating the policy to the research community and handling all allegations of research misconduct. In order to foster broad familiarity with the policy, as well as its flexibility regarding changing standards external to the university, the full policy document shall be publicized by the office of academic affairs, the graduate school, the office of human resources, the office of research, the university research committee, the office of undergraduate research, and the university senate.
- The vice president for research shall designate a coordinator to assist in administering the policy. The person appointed as coordinator shall not be university counsel acting in that capacity, but shall consult with university counsel to ensure that the requirements of the law and university policy are being satisfied.
(E) Administrative Actions.
The vice president for research may, during proceedings under the policy or any subsequent investigation, take whatever administrative actions that are in their judgment needed to ensure the integrity of the investigation and to protect research funds or equipment or the legitimate interest of patients or clients.
The key terms for the policy shall be defined in the policy document.
- The policy shall describe procedures pertaining, but not limited to: assessing whether an allegation has been made in good faith and has merits; investigating pursuant to such findings; the role of administrators and other individuals in the process; the time line for such investigations; protecting data; reporting to sponsors and clients; and sanctions.
- A finding of research misconduct requires that:
- There be a significant departure from accepted practices of the relevant research community;
- The misconduct be committed intentionally, knowingly, or recklessly; and
- The allegation be proved by a preponderance of the evidence.