Ohio Admin. Code 3361:10-30-03

Current through all regulations passed and filed through December 23, 2024

Section 3361:10-30-03 - Research: policy on sensitive but unclassified research

(A) Purpose.

This rule describes the responsibilities of university of Cincinnati faculty and staff, students, volunteers, and visitors to comply with university policies and procedures and, as applicable, federal, state and local laws and regulations concerning activities involving the access, dissemination or storage of sensitive but unclassified information at the university, or with the direct or indirect use of university resources. Sensitive but unclassified information includes but is not limited to export-controlled information, controlled unclassified information (CUI), law enforcement sensitive (LES), sensitive homeland security information, sensitive security information (SSI), or critical infrastructure information (CII).

(B) Scope.

All university faculty, staff, students, volunteers, and visitors involved in the development, production, handling, and storage or use of sensitive but unclassified information and any related research, international travel, international collaboration, or proprietary work (collectively referred to herein after as "activities involving sensitive but unclassified information") at or on behalf of the university are subject to this rule. The policy excludes personal consulting activities under the existing rules and regulations of the university that do not involve the use of university facilities or resources and that are outside activities approved in accordance with university policy.

(C) Foundational principles.

The university of Cincinnati values the free dissemination of knowledge through education, publication, and other means. To the greatest extent possible, the university of Cincinnati seeks to ensure that research and other information developed is available to the public without restriction. There may be instances where government funded research or other university research may require protection of information, such as in the context of sensitive but unclassified information. The university of Cincinnati recognizes that there may be instances in which the expertise of the university and its facilities may be needed to meet sponsor or contract requirements and that such circumstances may justify a determination that the performance of activities involving sensitive but unclassified information is in the best interests of the university.

(D) Requirements for approval of activities involving sensitive but unclassified information.

(1) Activities involving sensitive but unclassified information require the approval of the vice president for research. Such approval should be obtained prior to the submission of a formal proposal to the potential sponsor where possible. In all cases, however, approval is required before acceptance of the award by the university. The vice president for research, in collaboration with the general counsel and other appropriate university offices, shall establish procedures setting out the process for vice president for research approval of activities involving sensitive but unclassified information and any training or other requirements for access and storage of sensitive but unclassified information consistent with this board rule, applicable U.S. federal, state and local laws and regulations, university policies and procedures, and the mission of the university.

(2) Requests for approval of activities involving sensitive but unclassified information will be submitted to the office of research with the following information:

(a) Project title

(b) Names of principal investigator and co-investigators

(c) The university of Cincinnati location of the activity

(3) The following factors should be considered in connection with a decision to approve of activities involving sensitive but unclassified information:

(a) Whether the individual undertaking the activity is appropriate, supported, and capable of doing the proposed activity;

(b) Whether the proposed activity is appropriate for the university and aligned with the university's mission and values, appropriate mechanisms are in place to ensure continued alignment with university mission and values throughout the course of the project or activity, and necessary and comprehensive oversight and management over the activity will remain in place to ensure compliance with applicable policies, procedures, laws, and regulations;

(c) Whether the university has the appropriate facilities and capabilities to undertake the proposed activity in compliance with applicable policies, rules, laws and regulations; and

(d) Whether the merits of the proposed activity and the potential benefits outweigh the disadvantages and costs of engaging in activities that involve compliance with applicable policies, rules, laws and regulations.

(4) All proposed activities involving sensitive but unclassified information shall be reviewed and approved by the appropriate academic unit head prior to submission to the vice president for research.

(5) Projects receiving continuation funds may require further review and approval in accordance with a change in the scope of the required security arrangements.

(E) Additional conditions for the performance of approved activities involving sensitive but unclassified information:

(1) Export controls.

Any activities involving sensitive but unclassified information must be conducted in compliance with all federal export control laws and regulations and university board policy, rule 3361:10-17-11of the Administrative Code.

(2) Classified research.

Any activities involving classified information must be conducted in compliance with all federal classified research laws and regulations and university board rule 3361: 10-30-04 of the Administrative Code.

(3) Patent rights.

The interests of university faculty and of the university in patentable discoveries, inventions, and improvements that are made during the performance of approved activities involving sensitive but unclassified information shall be subject to the university's patent policy.

(4) Human and animal studies.

Federal law and guidelines mandate that the usual committee reviews for human and animal studies, when included in sensitive but unclassified research, will not be modified in any way from those required for other types of research.

(5) Utilization of sensitive but unclassified research in faculty personnel decisions.

The university will continue to base decisions concerning faculty personnel matters on contributions to teaching, research, and service. Sensitive but unclassified research results which may not be published in the open literature will not be considered in faculty personnel decisions until and unless the research results are released for publication, unless the information cannot be released publicly due to federal law or regulation (e.g., export control).

(6) Student theses/dissertations.

Students must be free to pursue knowledge in an open environment. Consequently, formal academic work by students (coursework, theses, dissertations, etc.) shall not include sensitive but unclassified research unless approved by the appropriate academic unit head and vice president for research and is conducted in compliance with applicable policies, rules, laws and regulations governing sensitive but unclassified information.

(F) Training and visitors.

All university employees and students engaged in activities at or on behalf of the university involving sensitive but unclassified information shall receive regular training on all applicable U.S. federal, state and local laws and university policies associated with sensitive but unclassified information on no less than an annual basis, or more frequently, as determined by the vice president for research.

(G) Compliance with applicable laws and regulations.

All faculty, staff, students, volunteers, and visitors engaged in activities at or on behalf of the university involving sensitive but unclassified information must comply with all applicable federal, state and local laws and regulations as they relate to such activities.

Replaces: 3361:10-30-03

Ohio Admin. Code 3361:10-30-03

Effective: 1/5/2023
Promulgated Under: 111.15
Statutory Authority: 3361.
Rule Amplifies: 3361.
Prior Effective Dates: 08/05/2005, 11/10/2022