Chapter 3335-13 University Property

Restrictions

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 his or her 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.

Except as specifically authorized by the president, no person shall knowingly make or cause to be made any key for any building, laboratory, facility, or room of the university.

(Board approval date: 4/12/1963)

 

3335-13-05  Control of dogs and other animals.

(A)  No person, being the owner or keeper, or harboring or having charge of any dog or other animal, shall permit the same upon the grounds of the Ohio state university unless it be under the personal control of its owner or keeper by a leash not more than six feet in length. A dog or other animal, leashed but unattended, is not under the personal control of its owner or keeper. Nor shall such a person, being the owner or keeper or harboring or having charge of any dog or other animal, permit the same in any university building or housing, except for seeing eye dogs when accompanying their masters and except for animals brought by their owner or keeper for use for approved research purposes or for observation or care by veterinary clinic personnel.

(B)  Any dog or other animal found upon the grounds of the Ohio state university or in any university building, except as permitted pursuant to the provisions of paragraph (A) of this rule, may be taken into custody by university authorities. University authorities shall, as soon as practicable after assuming custody thereof, turn the dog or other animal over to appropriate county or municipal authorities for delivery to the custody of the humane society. Release from custody should be sought pursuant to the society's rules.

(C)  The owner or keeper of any dog or other animal taken into custody by university officials pursuant to this rule shall pay a fine to the university, upon presentation of a bill therefor, 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)

 

Patent 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 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.

(1)  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.

(2)  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 administered under the direction of the president of the university or his/her designee.

(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)

 

3335-13-07  Rules governing faculty, staff, and student participation in companies commercializing university research.

(A)  Objectives.

(1)  Pursuant to section 3345.14 of the Revised Code, the university board of trustees has determined that the interests of the university will be served if faculty and categories of staff and students defined in paragraph (B)(3) of this rule are afforded the opportunity to hold personal financial interests in university technology commercialization companies. This rule enables the university to realize the benefits of entrepreneurial activities while protecting the integrity of its research, educational, and service mission and to comply with university policies regarding actual and potential conflicts and applicable federal and state laws.

(2)  A university technology commercialization company is a private commercial entity that is owned in whole or in part by a university employee and that has as one of its purposes the development and/or commercialization of:

(a)  University-owned technology, or

(b)  University affiliate-owned technology if any university employee holds a five percent or greater equity interest in the company and the company receives or anticipates receiving consideration from the university as part of a business transaction with the university.

(3)  Faculty and defined categories of staff and students are encouraged to develop discoveries and inventions with commercial potential; however, they shall do so with due regard to the broader teaching, research, and service mission of the university.

(4)  Companies owned in whole or in part by a university employee that has as one of its purposes the development and commercialization of university affiliate-owned technology and any university employee holds less than five percen equity interest in the company and/or the company receives or anticipates receiving consideration from the university as part of a business transaction with the university may seek to, but are not obligated to, obtain approval pursuant to paragraph (D) of this rule. If such approval is received, the company shall thereafter be accorded status as a university technology commercialization company for the purposes of this rule.

(B)  Jurisdiction.

(1)  The university's ownership of intellectual property created by its faculty and defined categories of staff and students is determined in accordance with section 3345.14 of the Revised Code, federal law, and the university policy on intellectual property, patents, and copyrights.

(2)  This rule shall apply to all faculty who create intellectual property owned by the university or a university affiliate and who hold an ownership interest in a university technology commercialization company.

(3)  This rule shall apply to staff members holding unclassified appointments, graduate associates, and student employees who:

(a)  Are specifically assigned to engage in research and development activities;

(b)  Create intellectual property owned by the university or a university affiliate; and

(c)  Hold an ownership interest in a university technology commercialization company.

(C)  Administration.

(1)  Faculty, staff, and students participating in university technology commercialization companies shall follow all applicable university policies.

(2)  Participation in university technology commercialization companies must be approved by the university, including but not limited to the supervisor, tenure initiating unit head, or unit leader; the conflicts of interest administrator; the technology commercialization office; and the office of legal affairs. Such participation shall comport with:

(a)  Formal consulting and conflict of interest management plans signed by the employee;

(b)  All applicable policies including but not limited to: faculty professional leave; faculty conflict of commitment; conflict of interest and work outside the university; faculty financial conflict of interest; faculty paid external consulting; and intellectual property, patents, and copyrights; and

(c)  Any formal agreement with the university technology commercialization company.

(3)  The board of trustees has authorized the technology transfer oversight committee as the university body responsible for the approval and oversight of university technology commercialization companies.

(4)  The university shall designate a conflicts of interest administrator who is the university official responsible for assisting faculty and other employees in identifying, managing, reducing, or eliminating actual or potential conflicts of interest, and in particular for facilitating the development of conflict of interest management plans for faculty, staff, and students participating in university technology commercialization companies.

(5)  Faculty and defined categories of staff and students shall adhere to applicable conflict of interest policies and shall disclose to the appropriate supervisor, tenure initiating unit head, or unit leader any financial interests held in a firm, corporation, or other association.

(6)  Supervisors, tenure initiating unit heads, and unit leaders are responsible for ensuring that faculty and defined categories of staff and students who participate in university technology commercialization companies comply with all applicable university policies.

(D)  Approval process for university technology commercialization companies.

(1)  Faculty and defined categories of staff and students who wish to participate in a university technology commercialization company must first obtain approval from the appropriate supervisor(s) as described in paragraph (C)(2) of this rule. The technology commercialization office will be responsible for establishing the business terms of the transaction between the company and the university or a university affiliate, and the conflicts of interest administrator will facilitate the development of a conflict of interest management plan.

(2)  The technology transfer oversight committee will review the sufficiency of business terms and conflict of interest management plans relating to university technology commercialization companies. Written approval from the technology transfer oversight committee must be obtained before any business agreements relating to a university technology commercialization company are finalized.

(3)  Faculty and defined categories of staff and students who wish to participate in a university technology commercialization company shall not participate in the ongoing negotiation of option and licensing terms between the company and the university or a university affiliate.

(4)  The faculty, staff, or student's supervisor, tenure initiating unit head, or unit leader must be active participants in the development of the conflict of interest management plan relating to a university technology commercialization company.

(5)  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.

(6)  If the technology transfer oversight committee determines that, for any reason, it is not possible for the supervisor, tenure initiating unit head, unit leader, or another administrator to provide effective oversight of a transaction involving a university technology commercialization company, the transaction shall not be approved.

(E)  Responsibilities to the university.

(1)  Faculty should not allow their financial interests in a university technology commercialization company to 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 the policy on faculty paid external consulting 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.

(2)  Staff may engage in activities relating to a university technology commercialization company during regularly assigned working hours only if they take approved leave. 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.

(3)  Student employees may not engage in activities relating to a university technology commercialization company during regularly assigned working hours.

(F)  Conflict of interest management standards.

(1)  University facilities, equipment and other resources may be used for research benefiting a university technology commercialization company pursuant only to a sponsored research agreement, facilities use agreement, or other appropriate contractual arrangement.

(2)  Faculty and defined categories of staff and students should not hold permanent management positions in university technology commercialization companies. To ensure the application of this principle, agreements between the university or a university affiliate and a university technology commercialization company should contain enforceable milestones for the reduction of any management responsibilities.

(3)  Faculty shall not allow their activities with university technology commercialization companies to consume a disproportionate amount of their professional attention. Faculty engaged in authorized private business activities who are unable to perform all of their university responsibilities must reduce those business activities or request a reduction of appointment or other approved leave in accordance with university policies. Faculty professional leave authorized under section 3345.28 of the Revised Code shall not be used for private business purposes.

(4)  Staff who are unable to perform all of their university duties because of activities in connection with university technology commercialization companies must reduce those business activities or request a reduction of appointment or other approved leave in accordance with university policies.

(5)  As stipulated in the graduate school handbook, research benefiting a university technology commercialization company 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 this publication restriction prior to the start of the student’s research.

(6)  A student may not be employed by or hold equity interest in a university technology commercialization company in which a faculty member has an ownership interest if the faculty member has a supervisory, teaching, evaluation, advising, coaching, or counseling relationship with the student.

(7)  Students may be employed by a university technology commercialization company, subject to the limitation set forth in paragraph (F)(6) of this rule. Student employment by a university technology commercialization company requires a sponsored research agreement or other formal internship agreement through the university in which the student’s rights and obligations are disclosed.

(8)  The university may not enter into any agreements with university technology commercialization companies for the purchase, sale, or rental of equipment, supplies or services other than those explicitly authorized by the technology transfer oversight committee.

(9)  Faculty and staff who are not directly involved with research and development of technology licensed to a university technology commercialization company or the development of that company may hold equity interests in that company, barring the presence of undue influences (e.g., supervisory, teaching, evaluation, advising, coaching, or counseling relationships) and subject to university policies and section 2921.42 of the Revised Code.

(10)  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 university technology commercialization company pursuant only to a sponsored research agreement and any other university policies.

(11)  Faculty or staff may not be the principal investigator in sponsored research projects funded by university technology commercialization companies in which they have an interest if the projects involve approval by the institutional review board or if they are 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 research integrity plan approved by the technology transfer oversight committee, the conflicts of interest administrator, and the office of legal affairs is in place.

(12)  Agreements for sponsored research projects funded by university technology commercialization companies must include, at a minimum, a requirement for full university publication rights and fully negotiated cost recoveries. The office of research must approve exceptions to these conditions.

(13)  Faculty and staff participating in university technology commercialization companies approved pursuant to this rule continue to be bound by the university policy on intellectual property, patents and copyrights and all other applicable university policies.

(14)  New inventions and/or discoveries made as a result of a faculty or staff member's research efforts for a licensee of university-owned technology or a licensee of a university affiliate-owned technology, where the faculty or staff member holds in whole or in part an ownership interest in the licensee, including those made under formal consulting agreements, will be owned by the university, and the licensee will be offered an exclusive option to the technology. 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 policy on intellectual property, patents, and copyrights.

(Board approval dates: 4/6/2001, 6/29/2001, 6/3/2016)

 

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.

(A)  Objectives.

(1)  The policy shall aim to protect both the integrity and the reputation of research and scholarship produced by members of the university community.

(2)  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.

(B)  Jurisdiction.

(1)  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.

(2)  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.

(3)  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.

(4)  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 senior vice president for research and/or his or her designee.

(C)  Confidentiality.

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.

(1)  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.

(2)  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 his or her judgment needed to ensure the integrity of the investigation and to protect research funds or equipment or the legitimate interest of patients or clients.

(F)  Definitions.

The key terms for the policy shall be defined in the policy document.

(G)  Procedures.

(1)  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.

(2)  A finding of research misconduct requires that:

(a)  There be a significant departure from accepted practices of the relevant research community;

(b)  The misconduct be committed intentionally, knowingly, or recklessly; and

(c)  The allegation be proved by a preponderance of the evidence.