Institutional ComplianceUniversity of CincinnatiInstitutional ComplianceDivisions of Admin and Finance

Institutional Compliance

Compliance Subdirectory

Topics

Collections of funds owed to the university

  Topic and Link   Description
  Board Rule 20-17-01   Board rule regarding student billing
  Board Rule 20-17-02   Board rule regarding collections of amounts owed to the university
  Ohio Law (ORC 131.02)   Ohio law regarding collections of amounts due to the State of Ohio
  Other accounts owed to the university   The Treasurer's office is responsible for assisting other offices in collections of amounts owed to the university
  Student accounts owed to the university (Bursar)   The Bursar's office is responsible for collections of student accounts, including tuition, fees and loans. This Web site includes the university's collection policies, information on loan repayment, links to student financial aid, the registrar and laws and regulations
 

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Conflicts of Interest

  Topic and Link   Description
  Board Rule 10-17-08   Conduct and ethics: Policy on conflicts of interest in the conduct of research at the University of Cincinnati
  Board Rule 10-17-09   Conduct and ethics: Employee financial interests in private companies that are commercializing university discoveries, inventions or patents
  Board Rule 30-21-02   Employment: Policy on collateral employment for faculty members and librarians
  Board Rule 30-21-03   Employment: Policy on collateral employment for all employees (excluding faculty and librarians)
  College of Medicine - Policy for Industry Relations   College of Medicine policy and guidelines for industry relations
  Conflict of Interest Guidance - Intellectual Property   Memo regarding consulting and entrepreneurial activities involving intellectual property
  Conflict of Interest Committee   Provides guidance in the management of conflicts of interest arising from the activities of the university and its employees, and ensures that relationships between the university, its employees and outside entities have been examined and will be conducted in a manner consistent with institutional guidelines and applicable law
  Conflict of Interest on Federally Sponsored Projects   Federal agencies sponsoring research require the university to maintain this policy as a condition for receiving federal grants. The requirements embodied in this policy are applicable to all proposals and subsequent awards submitted to and accepted by these federal agencies.
  Medical IRB Conflict of Interest Policy   Conflict of interest policy and statement for the UC Medical IRB, effective July 1, 2001, revised March, 2002
  Outside Activity Reporting System   A Web-based system for preparing, reviewing and approving Outside Activity Reports of Collateral Employment and Conflicts of Interest
 

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Costs Applicable to Grants and Contracts

  
Topic and Link
  Description
  Costs   Sponsored Research Services can assist with determining if a cost is allowed to be charged to a grant. In addition, Sponsored Research Services has developed policies and forms related to cost transfers and effort reporting (confirmation of salaries being charged to grants)  
  Effort Reporting or Labor Reporting System   Effort or labor reporting meets regulatory requirements for the planning, confirmation and certification of effort associated with sponsored projects. It is necessary to confirm the salaries being supported by sponsored awards. It is administered by the Office of Government Cost Compliance  
  Facilities and Administrative (F&A) Rates (indirect rates)   The Office of Government Cost Compliance is responsible for developing the F&A proposal, which is approved by the federal government for a specified period  
  Service Centers   The Office of Government Cost Compliance determines which units are defined as a service center. If a unit is a service center it must use an approved methodology to determine a rate, which must be approved by the VP of Finance or his/her designee  

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Environmental Health and Safety

  
Topic and Link
  Description
  Asbestos/Lead Abatement   Protection against asbestos and provides guidelines for lead-based paint removal
 
  Environmental Engineering
  Works with pollution control, underground storage tanks and with Planning + Design + Construction plans and specifications  
  Hazardous Materials Management   Helps develop plans for managing hazardous materials and responds to emergencies  
  Industrial Hygiene   Performs sampling and measurements for hazardous materials, air, water, noise, etc. Also provides workplace assessments, monitoring and training  
  Occupational Safety   This website provides information about workplace injuries and illnesses, including preventative measures and investigational information  

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Export Controls

  
Topic and Link
  Description
  Board Rule 10-30-01   Board rule regarding export controls in sponsored research  
  Laws and regulations   Export Administration Regulations, 15 C.F.R. sections 730-774  
  Laws and regulations
  Helps develop plans for managing hazardous materials and responds to emergencies  
  UC Export Controls Site
  Website intended to assist UC researchers in determining if the U.S. export control laws and regulations apply to their research  

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Facilities Management

  
Topic and Link
  Description
  Board Rule 60-05-01
  Facilities Management is responsible for maintaining the uptown university facilities  
  Board Rule 60-17-11   Facilities Management is responsible for university vehicles  
  Board Rule 60-17-12
  Facilities Management is responsible for vehicle accident reporting  
  Elevators and escalators   Facilities Management is responsible for standards and safety codes regarding elevators  

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Grant Administration

  Topic and Link
  Description
  Costs   Sponsored Research Services (SRS) can assist with determining if a cost is allowed to be charged to a grant. In addition, SRS has developed policies and forms related to cost transfers and effort reporting (confirmation of salaries being charged to grants)
 
  Effort Reporting or Labor Reporting System   Effort or labor reporting meets regulatory requirements for the planning, confirmation and certification of effort associated with sponsored projects. It is necessary to confirm the salaries being supported by sponsored awards. It is administered by the Office of Government Cost Compliance
 
  Facilities and Administrative (F&A) Rates (indirect rates)   The Office of Government Cost Compliance is responsible for developing the F&A proposal, which is approved by the federal government for a specified period
 
  Fringe Benefit Rates   The Office of Government Cost Compliance is responsible for developing the Fring Benefits rate proposal that is approved by the federal government annually
 
  Proposals   Sponsored Research Services is responsible for reviewing and processing all proposals
 
  Service Centers   The Office of Government Cost Compliance determines which units are defined as a service center. If a unit is a service center it must use an approved methodology to determine a rate, which must be approved by the VP of Finance or his/her designee  

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Health Records

  
Topic and Link
  Description
  University Health Services   University Health Services is subject to HIPAA. HIPAA helps to ensure that all medical records, medical billing, and patient accounts meet consistent standards with concern to documentation, handling and privacy  

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Hoxworth Blood Center

  Topic and Link
  Description
  Laws and regulations   General regulations concerning the manufacture and oversight of biologicals for use in humans  
  Laws and regulations   General regulations concerning the manufacture and oversight of biologicals for use in humans  
  Laws and regulations   General regulations concerning the manufacture and disposition of cellular therapeutics  
  Laws and regulations   General regulations concerning the operation of diagnostic laboratories  
  Laws and regulations   "Health Insurance Portability and Accountability Act" (HIPAA)  
  Laws and regulations   Department of Health and Human Services regulations governing certain aspects of the use of protected health information, divided in to the "Transactional Rule," the "Privacy Rule," and the "Security Rule"  

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Intellectual Property

  Topic and Link
  Description
  Conflict of interest guidance involving intellectual property   Memo regarding consulting and entrepreneurial activities involving intellectual property  
  Intellectual Property Office   Mission is to facilitate, advocate and collaborate with faculty, students and staff to support an environment for invention and innovation at UC by transferring and commercializing university intellectual assets into benefits for our region and the public good. Site contains general information, forms, contacts, policies, laws and regulations  

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International

  Topic and Link  
  Description
  International programs, including travel   Provides information and services for students and faculty in all areas of education abroad  
  International services   Assists international students, faculty, staff and visitors with the rules, regulations, and procedures that must be followed prior to and during their stay in the United States  
  International strategy and policies   Tracks a wide range of international activity occurring at the University of Cincinnati, and among UC's partner organizations  
  International students   Web site for international students who want to apply for admission to UC  

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Investing University Funds

  Topic and Link
  Description
  Board Rule 20-41-01   Policy regarding administration of the university's invested funds  
  Board Rule 20-41-03   Policy regarding the investment committee  
  Chief Investment Officer   The Chief Investment Officer's responsibility is to manage the university's endowment assets  
  Community Development   The Office of Community Development partners with non-profit development corporations in the neighborhood around the university to support development corporations in the neighborhood around the university do support development. Endowment funds are used to invest in the development around the university  
  Treasurer   The Treasurer's Web site contains the endowment spending policy and the operating cash policy  

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Labor Relations

  Topic and Link
  Description
  Collective Bargaining Agreements   This Web site contains the collective bargaining agreements the university has with its unions  
  Labor Management Committees   This Web site has been created to advise employees and supervisors of the joint committees dedicated to enhancing labor/engagement relationships at the University of Cincinnati  
  Supervisory Manual   This manual was designed by Labor Relations and Policy Development to provide quick links to information that supervisors will find helpful in administering daily responsibilities. This Web site also contains contacts in the university's labor relations and policy development department  

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Public Records

  Topic and Link
  Description
  Public Records Policy   Policy for public records and request for public records  
  Records Management Program   This Web site includes objectives of the university's records management program, policies and procedures, resources and contact information  

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Public Safety

  Topic and Link
  Description
  Criminal history checks and fingerprinting   Public Safety conducts criminal history checks on all applicants for classified positions who qualify for employment and fingerprinting for licensing  
  Emergency Services   Web site contains emergency operations plans and information on terrorism and homeland security  
  Fire Safety   Fire Safety inspectors conduct code-required fire safety training and inspections of all university buildings  
  Police Services   This Web site includes information on crime prevention and crime statistics  
  Right to Know/Clery Act   UC is required by federal legislation to publish and disseminate certain information annually, such as Drug-Free campus, safety and security information, graduation rates and information about the privacy of student education records. This Web site contains that disclosure  

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Purchasing

  Topic and Link
  Description
  Purchasing Cards   The Purchasing Card Program was developed as a process improvement tool for university departments making small dollar purchases. This Web site contains links to the Purchasing Card Policies and Procedures Manual and required training  
  Purchasing Department   The purchasing department is the sole authority for all goods and services purchases made with funds administered by the university. This Web site provides information on entering into contracts, including bidding procedures, etc. It also contains the Purchasing Manual, lists of term contracts, etc.  

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Reporting

  Topic and Link
  Description
  Annual Operating Report (AOR) Health Professions Student Loan Program (HPSL)   The Controller's Office is responsible for an annual report to the US Department of Health and Human Services on the HPSL program  
  Financial reports   The Controller's Office is responsible for certain internal and external financial reports. This Web site contains links to the available financial reports, including the university's audited financial statements, compliance reports, approved budget, etc.  
  Fiscal Operations Report and the Application to Participate (FISAP)   The Office of Student Financial Aid, with assistance from the Controller's Office, prepares and submits the annual FISAP to the Department of Education  
  Higher Education Learning Commission (HLC)   The Office of Institutional Research, with assistance from the Controller's Office, is responsible for annual reporting of certain financial ratios to the HLC  
  Reporting for Higher Education Institute for State of Ohio (HEI)   The Controller's Office is responsible for various financial reports to HEI  
  Integrated Post Secondary Higher Education Data System (IPEDS)   The Office of Institutional Research, with assistance from the Controller's Office, is responsible for submitting the IPEDS report to the National Center for Education Statistics
 
  Pell Grant reporting   The Controller's Office is responsible for an annual report to the US Department of Education that contains information about how UC has spent Pell Grant funds  
  Reporting to Ohio Board of Regents   The Controller's Office is responsible for quarterly reporting of financial activity to the Ohio Board of Regents  

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Research Related Commitees

  Topic and Link
  Description
  Conflict of Interest Committee   Provides guidance in the management of conflicts of interest arising from the activities of the university and its employees, and ensures that relationships between the university, its employees and outside entities have been examined and will be conducted in a manner consistent with institutional guidelines and applicable law  
  Institutional Animal Care and Use Committee (IACUC)   The IACUC serves as the animal research ethics board committed to the welfare of animals  
  Institutional Biosafety Committee (IBC)   The IBC is charged by the Senior Vice President and Provost to review and approve all university research activities involving the use of biohazardous agents and recombinant DNA molecules  
  Intellectual Property Committee   Purpose is to provide advice on patent and copyright issues to the Vice President for Research from the UC faculty  
  Institutional Review Board (IRB)   The IRB reviews research proposals involving human subjects. the IRB site contains information on the IRB committees, the IRB office and the protocol process. You will also find information on HIPAA waivers, forms, orientation, procedures, regulations and FAQs  
  Radiation Safety Committee (RSC)   RSC and the Radiation Safety Office are maintained to assist the president and the university in generating, implementing, and monitoring a radiation control and safety program. Possession or use of radioactive materials must be approved in advance by the RSC. Day-to-day oversight of the use of radioactive material is carried out by the Radiation Safety Office (RSO)  
  Research Education Advisory Committee   Link to roster of members  
  Research Grant Advisory Committee   Link to roster of members  

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Student Workers

  Topic and Link
  Description
  Employment of International Students   This link provides employment information for international students. It contains links covering topics associated with employment, including on-campus work, off-campus works, co-ops, etc.  
  Federal Work Study   Work-Study lets students work and earn money to pay for their costs. It is a need-based employment opportunity given as part of a student's financial aid package  
  Student employment policy   General information about hiring students  
  Student worker handbook   This link is to the management resources Web site, which is part of the HR Web site. This handbook is included on this site under "additional resources"  
  Uncompensated assignment of duties to students   In this February 2009 update, Dr. Sandra Degen reminds the community of compliance requirements for hiring international students, including the assignment of uncompensated duties to a student  

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Tax

  Topic and Link
  Description
  Payroll tax   This Web site includes information on payroll processing, KRONOS, W-2s, tax withholding, tax-deferred compensation, etc.  
  Tax Compliance   This Web site contains policies and procedures, current mileage rates, and information on sales tax, Forms W-9 and 1098-T, etc.  

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University Health Services

  Topic and Link
  Description
  Board Rule 40-25-13   Confidential treatment of records  
  Employee Disability Services - Americans with Disabilities Act (ADA)   The ADA obligates both employee and employer to discuss and attempt to resolve workplace accommodation issues. University Health Services assists with this  
  Health Insurance Portability and Accountability Act (HIPAA)   HIPAA helps ensure that all medical records, medical billing, and patient accounts meet consistent standards with concern to documentation, handling and privacy  

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