General CounselUniversity of CincinnatiDivision of Administration and FinanceGeneral Counsel

General Counsel

Contracting Authority

University Rule 10-1-06 states: “No contract, agreement, promise, bank account, or other undertaking in the name of the university of Cincinnati or purporting to be made for, or on behalf of any college, school, department, division or other part of the university of Cincinnati, shall be made by any of its officers, agents, or employees or by any student, faculty, or alumni organization, enterprise, or association whatever, unless the same shall have been first authorized by the board of trustees of the university or in pursuance of authority conferred by the university rules.”

In the chart below, you can find those individuals with the authority to enter into certain types of contracts, agreements, promises and other undertakings on behalf of the university. As noted in the chart below, this authority may come either from the University Rules themselves or the authority may be delegated to the individual by the President (Dr. Gregory Williams) or the Contracting Officer (Mitchell McCrate).

Clicking on the name of an underlined individual's name in the table will allow you to view the delegation letter that person received. Clicking on a document name will allow you to view the approved version of the form. 

If an asterisk appears next to a form name, any variation to the terms or conditions of the form must be approved by the Office of General Counsel before the document may be signed. Typically, such approval will require the use of the A-910 Contract Coversheets.

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Delegated by Rule or Statute

Position/Individual

Authority delegated by rule or statute (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Board of Trustees

  • ORC: All things necessary for the creation, proper maintenance, and successful and continuous operation of the university (including accepting donations of lands and moneys)
  • ORC: All contracts and agreements necessary or incidental to the acquisition of property for, or the operation of the university
  • Exclusive authority for authorizing or ratifying contracts or instruments in excess of $5,000,000 (unless delegated to president on a case-by-case basis under specific circumstances – see below)
  • Sale or purchase of operating real estate (regardless of price)
  • Non-Sponsored contracts, purchase orders or modifications thereof in excess of $5,000,000 (exclusive authority)
  • Budget transfers in undesignated general or auxiliary funds above $1,996,500 (through finance and administration committee action).
  • Additional appropriations of undesignated general, auxiliary or plant funds above $1,996,500(through finance and administration committee action).
  • Contracts and modifications thereof in amounts $1,996,500 or more (through finance and administration committee action)
  • All contracts for purchase or sale of operating real estate (though finance and administration committee action)
  • Establishment of debt instruments (through finance and administration committee action)

President

Santa J. Ono

  • Non-Sponsored contracts, purchase orders or modifications thereof in excess of $5,000,000 only if execution authority for that document specifically delegated by Board following Board approval of said document
  • Budget transfers in undesignated general or auxiliary funds ($4,500,000 or less; can be raised to $5,000,000 if authorized by Chairperson or Vice-Chairperson of the finance and administration committee of Board)
  • Appropriations of undesignated general, auxiliary or plant funds ($4,500,000 or less; can be raised to $5,000,000 if authorized by Chairperson or Vice-Chairperson of the finance and administration committee of Board)
  • Contracts and contract modifications, including term contracts ($4,500,000 or less; can be raised to $5,000,000 if authorized by Chairperson or Vice-Chairperson of the finance and administration committee of Board)
  • Purchase orders and purchase order modifications ($4,500,000 or less; can be raised to $5,000,000 if authorized by Chairperson or Vice-Chairperson of the finance and administration committee of Board)
  • Grants and modifications thereof (in any amount - although typically these do not require expenditure of funds other than costs to perform contract)
  • Sponsored contracts and modifications thereof (in any amount - although typically these do not require expenditure of funds other than costs to perform contract)
  • Other contracts and modifications thereof that typically do not require expenditure of funds (other than costs to perform contract)
  • Approve appointments, promotions and dismissal of employees – except, Board must approve appointment/reappointment of deans and academic unit heads, promotions to full professor, granting of tenure or emeritus status, appointment to association of graduate fellows, appointment of president and officers (excepting academic appointments)

Contracting Officer

Vice President for Legal Affairs and General Counsel
Kenya Faulkner

  • Contracts, contract modifications and contract amendments ($1,000,000 or less)
  • Purchase orders, purchase order modifications and purchase order amendments ($1,000,000 or less)
  • Real estate leases, lease modifications, and lease amendments – with approval of office managing university investment real estate (no monetary limit listed)
  • Sale of investment real estate documents including contracts, contract modifications and contract amendments (plus any other necessary documents to complete such transactions) - with approval of administrative investments committee (no monetary limit listed)
  • Intellectual property rights - contracts for licensing, sale, assignment, transfer and other disposition of UC’s rights in inventions, discoveries, patents and copyrights – with approval of VP for Research
  • Trademark rights - contracts for licensing, sale, assignment, transfer and other disposition of UC’s rights– with approval of director of licensing
  • Miscellaneous other agreements: consents, applications, approvals, releases, affidavits, financing statements, certifications, waivers, powers of attorney, et cetera, as necessary in course of UC business – with approval of president or appropriate vice president (no monetary limit listed)

Sr. VP for Administration and Finance

Bob Ambach

  • Equivalent authority to that of Contracting Officer (but no ability to delegate authority)

Associate VP and Director of Purchasing & Materiel Management Services

Thomas Guerin

  • Purchase Orders* - same approval and signature authority as President ($1,331,000 or below) if standard forms used and bidding guidelines followed
  • Purchase Orders* - competitively bid, approve and sign – for annual supplies and services between June and September meetings of Board (in any amount)
  • Term Contracts* - competitively bid, approve and sign – for annual supplies and services between June and September meetings of Board (in any amount)
  • Purchase Orders* and Term Contracts* - competitively bid, approve and execute (in amounts above $5,000,000 – with prior approval of Board)

VP for Finance

James Plummer
  • Contracts and change orders for construction projects (within the limit of funds appropriated by the Board)

Vice Presidents

  • Approval or disapproval of all recommendations for budgetary action within the vice presidential area. Can delegate this authority to designated senior administrators (signature of delegates must be registered with the controller's office)

Chief Investment Officer

Karl Scheer

 

  • Contracts/agreements, and modifications thereof and amendments thereto, for retaining services of investment consultants, investment managers, appraisers, brokers, consultants, and other financial advisors as necessary
  • Custodial arrangements for the safekeeping of endowment securities or other assets
  • Buy or otherwise acquire, hold and sell or otherwise dispose of investments, including investment real estate, directly or through instructions to investment managers
  • Request distributions from banks or other persons who act as third-party trustees for funds of which the university is a beneficiary

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Delegated by Letter

Academic Units

Position/Individual Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Blue Ash College Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($30,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

Clermont College

Director Allied Health
Sharman Willmore

Delegated from Contracting Officer:

Approve and execute Physical Therapist Assistant program clinical affiliation agreements for UC Clermont College using standard forms

Clermont College Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($20,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

College of Allied Health Sciences

Dean
Elizabeth King

Delegated from Contracting Officer:

Approve and execute College of Allied Health Sciences affiliation agreements using standard forms

College of Education, Criminal Justice & Human Services

Division Head, School of Human Services
Janet Graden

Delegated from Contracting Officer:

Approve and execute School of Human Services' affiliation agreements using standard forms

Requests for amendments or deletions of terms, clauses and conditions in standard forms must be submitted to OGC using A910

College of Education, Criminal Justice & Human Services

Corrections Institute
Associate Director
John Schwartz

Delegated from Contracting Officer:

Approve and execute Corrections Institute Project Agreement and Statement of Work and Training Contracts using standard forms

College of Law Robert S. Marx Law Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($40,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

College of Medicine

  • Associate Dean for Faculty and Legal Affairs
    Kathy Robbins
  • VP for Health Affairs
    Dean

Delegated from President:

Appointment letters/contracts for COM faculty, visiting faculty and staff not represented by AAUP (annual salary/monetary compensation of $300,000 or less)

College of Nursing

Director of Business Affairs
Tom Kelly

Delegated from Contracting Officer:

Approve and execute College of Nursing affiliation agreements using standard form

Financial Aid

Sr. Associate Director
Randy Ulses

Delegated from Contracting Officer:

  • Executing previously approved standard Federal Work-Study Program Agreements with Off-Campus Agencies
  • Requests for amendments or deletions of terms, clauses and conditions in standard forms must be submitted to OGC using A910

Instructional and Research Computing

Dean
Michael Lieberman

Delegated from Contracting Officer:

Blackboard Community Portal Service Agreement*

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► Athletics

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Athletics

Director of Business Affairs and Interim Chief Financial Officer
Omar Banks

 

Delegated from Contracting Officer:

June 22, 2011 - present

  • Approved standard game contract, so long as guarantee is $5,000 or less (Men's and Women's Basketball and Football games excluded).
  • Approved standard facility license agreement
  • Game and tournament contracts from host school (Men's and Women's Basketball and Football games excluded), so long as guarantee is $5,000 or less and the contract terms are limited to:
    • The sport;
    • Location, date and time of event;
    • That the NCAA and conference rules and regulations govern the event;
    • A cancellation penalty of $5,000 or less;
    • The number of tickets each team will receive or is entitled to purchase; and
    • The retention rights to radio, television and internet broadcasts.

August 1, 2011 - present

Athletics

Interim Director
Bob Arkeilpane


Delegated from Contracting Officer:

August 1, 2010 - present

December 1, 2010 - present

  • Game and tournament contracts from host school (Men's and Women's Basketball and Football games excluded), so long as guarantee is $5,000 or less and the contract terms are limited to:
    • The sport;
    • Location, date and time of event;
    • That the NCAA and conference rules and regulations govern the event;
    • A cancellation penalty of $5,000 or less;
    • The number of tickets each team will receive or is entitled to purchase; and
    • The retention rights to radio, television and internet broadcasts.

August 8, 2011 - present

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► Campus Services

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Campus Services

Sr. Associate VP
Steve Sayers

 

Delegated from Contracting Officer:

Campus Services

Assistant VP
Pallavi Patel

Delegated from Contracting Officer:

Campus Recreation Center

Director of Campus Services
Kim Schmidt


Associate Director
Kendra Violet

Delegated from Contracting Officer:

Housing & Food Services

Director
Todd Duncan

Delegated from Contracting Officer:

Housing & Food Services

Manager, Graduate Off-Campus Housing
Deb Cohen

Delegated from Contracting Officer

MainStreet Operations

Director
Amy Browns Taylor

Delegated from Contracting Officer:

Trademarks and Licensing

Director
Marty Ludwig

Delegated from Contracting Officer:

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► Enrollment Management and Financial Aid

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Enrollment Management and Financial Aid

Sr. Associate Director
Randy Ulses

Delegated from Contracting Officer:

  • Executing previously approved standard Federal Work-Study Program Agreements with Off-Campus Agencies
  • Requests for amendments or deletions of terms, clauses and conditions in standard forms must be submitted to OGC using A910

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► Finance

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

VP for Finance

James Plummer

Delegated from President:

Budget transfers in undesignated general or auxiliary funds ($4,500,000 or less; can be raised to $5,000,000 if authorized by Chairperson or Vice-Chairperson of the finance and administration committee of Board)

Bursar

Assistant Bursar
Nicole Morgan

Delegated from Contracting Officer:

Government Cost Compliance

Executive Director
Sandra Sanders

Delegated from Contracting Officer:

Handles Health and Human Services fringe benefit documents

Treasurer's Office

Director of Tax Compliance
Barry Holland

Delegated from Contracting Officer:

Handles Personal Services Contracts (PSCs)

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► General Counsel

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Office of General Counsel

Delegated from Contracting Officer:

Entire Authority of Contracting Officer – including all contracts, leases, instruments and documents not otherwise delegated to Purchasing Department.

Office of Risk Management

Assistant Sr. VP/Director
David F. Schwallie

Delegated from Contracting Officer:

  • Agreements regarding Statutes of Limitation
  • Annual agreements for actuaries/consultants for self-insurance trust fund review
  • Representations on insurance applications
  • Agreements to pay settlement claims
  • Attorney, expert witness, consultant agreements for self-insured claims
  • Regulatory representations re: self-insurance program
  • Property damage claims
  • Transfer of property documents re: settlements

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► Investments

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Investment Office

Managing Director, Investments
Timothy W. Viezer

Delegated from Chief Investment Officer:

Intermittent authority to exercise all authority granted to Chief Investment Officer when CIO absent from work for one or more days

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► Libraries

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approva

UC Libraries

Associate Dean for Collections & Technical Services
Dan Gottlieb

Delegated from Contracting Officer:

  • OhioLINK documents ($1,100,000 per transaction; $4,000,000 annual payments)
  • Vendor purchases ($150,000 per transaction limit)
  • Any payment or purchase requiring a license agreement must be submitted to OGC

UC Libraries

Sr. Library Associate, Specialist

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($150,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

UC Libraries

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($50,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

UC Blue Ash College (Raymond Walters) Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($30,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

UC Clermont College Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($20,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

Robert S. Marx Law Library

Delegated from Contracting Officer:

  • Generate Purchase Orders for purchase of library resources through Millennium system ($40,000 or less)
  • Forward purchase orders to vendors. If purchase of any resources requires a license agreement – transaction submitted to OGC

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► Licensing Associate

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Licensing Associate

Lynn Briggs

Delegated from Contracting Officer:

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► Purchasing

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Purchasing

Director of Buying
David Key

Delegated from President:

  • Purchase orders* ($665,500 or lower)
  • Term Contracts* ($665,500 or lower)
  • Check requests* ($665,500 or lower)
  • Release Orders* ($665,500 or lower)
  • Architectural and Engineering Agreements* ($665,500 or lower)
  • Construction Contracts* ($665,500 or lower)

These must be forwarded to OGC for additional processing and approvals

  • Change Orders ($665,500 or lower)
  • Bid Waivers ($665,500 or lower)
  • Contract Approval Cover Sheets ($665,500 or lower)
  • Purchasing card transactions ($665,500 or lower)

When Director of Purchasing is unavailable – has authority delegated to Director of Purchasing (see above) regarding purchasing orders

Purchasing

Delegated from Contracting Officer:

Purchasing

Financial Administrator I

Delegated from Contracting Officer:

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► Radiation Safety

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Radiation Safety

Radiation Safety Officer
Victoria Morris

Delegated from Contracting Officer:

Radiation safety and control documents

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► Risk Management & Insurance

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Office of Risk Management

Assistant Sr. VP/Director
David F. Schwallie

Delegated from Contracting Officer:

  • Agreements regarding Statutes of Limitation
  • Annual agreements for actuaries/consultants for self-insurance trust fund review
  • Representations on insurance applications
  • Agreements to pay settlement claims
  • Attorney, expert witness, consultant agreements for self-insured claims
  • Regulatory representations re: self-insurance program
  • Property damage claims
  • Transfer of property documents re: settlements

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► Sponsored Research Services

 Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Sponsored Research Services

Associate VP for Research
Deborah Galloway

Delegated from Contracting Officer:

Sponsored Research Services – Grants Division

Director
Mary Ucci

Delegated from Contracting Officer:

Above only effective when Associate VP of Research absent

Authority to execute amendments to existing agreements and sub-award agreements at any time (in compliance with restrictions above)

Sponsored Research Services – Contract Division

Director
Diane Sparks

Delegated from Contracting Officer:

Above only effective when Associate V.P. of Research and Director of Sponsored Research Services – Grants Division both absent

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► Tech Transfer

Position/Individual

Authority delegated by letter (monetary limits, when listed, found in parenthesis). Unless noted otherwise, individual may execute such agreements without any other approval

Office of Technology Transfer and Commercialization

Director
Geoffrey Pinski
(interim)

Delegated from Contracting Officer:

  • Material Transfer Agreements
  • Patent, Trademark (non-Institutional marks and Copyright Applications + Related Certificates, Forms and Documents
  • Intellectual Property license and option agreements (form must be approved by OGC; terms related to sponsored contracts approved through SRS)

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