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 or the Contracting Officer.

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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Find by Name

Last names beginning with:

E through L 

Mark Faulkner

Deborah Galloway

Martha Geiger

Dan Gottlieb

Janet Graden

Thomas Guerin

Kenneth Hirsh

Barry Holland

Gary Hunt

Anita Ingram

Charles Jake

Hall Jankowski

Tom Kelly

Karen Kovach

Tony Kramer

Adam Krawsczyn

Alex Lentsch

Rachel A. Lewis

Michael Lieberman

Marty Ludwig

M through P 

Heather Maloney

Penny McGinnis

Carol Moran-Roundtree

Nicole Morgan

Pallavi Patel

Myles Pensak

Suzanne Perraud

Geoffrey Pinski

Robert Probst

Holly Prochaska

 

Q through S 

Eliza Rechul-Stone

Lori Ross

Steve Sayers

Karl Scheer

Kim Schmidt

David Schwallie

John Schwartz

Myrinda Schweitzer Smith

Cheryl Smith

Diane Sparks

David Stephen

Jane Strasser

T through Z 

Kayla Teufel

Susan Tyler

Randy Ulses

John Ungruhe

James Van Mil

Nelson Vincent

Andrea Wall

Xuemao Wang

Kathleen Weber

Tina Whalen

Tom White

Sharman Willmore

Ken Wolterman


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

Patrick A. Kowalski
  • approval of all budget transfers in undesignated general or auxiliary funds, and all additional appropriations of undesignated general, auxiliary or plant funds in amounts of four million five hundred thousand dollars or less; if the conditions listed in Rule 10-1-06(E)(1)(a) are met, this limit may be increased to five million dollars)

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

Blue Ash Paramedic Program

Delegated from Contracting Officer:

Approve and execute clinical affiliation agreemenbt for the UC Blue Ash College's EMS Technology program

 

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

College of Allied Health Sciences

Interim Dean
Tina Whalen 

Delegated from Contracting Officer:

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

 

College of Design, Architecture, Art and Planning

Dean
Robert Probst

Delegated from Contracting Officer:

Approve and execute Artwork Loan agreements through which the University agrees to borrow art work for exhibition

Artwork Loan Agreement

College of Design, Architecture, Art and Planning

College Business Officer
Hal B. Jankowski

Delegated from Contracting Officer:

Approve and execute permission request letter in connection with the design journal Visible Language

Permission Request Letter

College of Education, Criminal Justice & Human Services

Director, 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

The Center for Criminal Justice Research
Associate Director
John Schwartz

Delegated from Contracting Officer:

Approving and executing, on behalf of the University of Cincinnati's Corrections Institute the following standard forms:

Memorandums of Understanding

College of Education, Criminal Justice & Human Services


Senior Research Associate
Myrinda L. Schweitzer Smith

Delegated from Contracting Officer:

Approving and executing, on behalf of the University of Cincinnati's Corrections Institute the following standard forms:

College of Education, Criminal Justice & Human Services

Department Head
Hazem Said

Delegated from Contracting Officer:

College of Medicine

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

College of Nursing

Senior Associate Dean
Suzanne Perraud

Delegated from Contracting Officer:

Approve and execute College of Nursing affiliation agreements using standard forms

College of Pharmacy

Associate Dean
Andrea Wall

Delegated from Contracting Officer:

Approve and execute College of Pharmacy Clinical Affiliation Agreement and Faculty Affiliation Agreements using the standard forms

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


Senior Associate Athletic Director
Omar Banks

 

Delegated from Contracting Officer:

July 1, 2015 - present

► 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 Director
Margaret A. Fogler

Delegated from Contracting Officer:

Campus Services

Assistant VP
Pallavi Patel

Delegated from Contracting Officer:

Campus Services

Director of University Conferencing
Adam Krawsczyn

Delegated from Contracting Officer:

Campus Services

Associate Director of University Conferencing
Jamie Miller

Delegated from Contracting Officer:

Campus Recreation Center

Director
Kim Schmidt



Delegated from Contracting Officer:

Housing & Food Services

Director
Todd Duncan

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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►Continuing Medical Education

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

Continuing Medical Education

Director
Susan Tyler

Delegated from Contracting Officer:

Approving and executing contracts for the Office of Continuing Medical Education

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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:

Enrollment Management and Financial Aid

Sr. Associate Vice President
Caroline Miller

Delegated from Contracting Officer:

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►Facilities Management

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

A&F Grounds/Moving/Transportation Services

Director of Auxiliary Services
Bob Bauer

Delegated from Contracting Officer:

  • executing all Bureau of Motor Vehicles forms necessary to apply for, maintain, or transfer investigative covert license plates used by the University's Department of Public Safety for investigative, surveillance and/or  undercover law enforcement activities
  • executing all Bureau of Motor Vehicle forms necessary to apply for, register, maintain, or transfer registration for vehicles owned by the University

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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:

Bursar

University Bursar
Kenneth R. Wolterman

Delegated from Contracting Officer:

Government Cost Compliance

Director
Patrick Clark

Delegated from Contracting Officer:

Handles Health and Human Services fringe benefit documents

Office of Asset Mgmt

Coordinator,Surplus Properties
Robert Clark

 

Delegated from Contracting Officer:

Handles Ohio Certificates of Title or other forms necessary to transfer registration for vehicles owed by the University that are being sold or disposed of as surplus equipment

Treasurer's Office

Director of Tax Compliance
Barry Holland

Delegated from Contracting Officer:

Personal Services Contracts (PSCs)

Treasurer's Office

Treasurer
Gary Hunt

Delegated from Contracting Officer:

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

Asst. Vice President                                   Chief Risk Officer
Anita Ingram

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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►Human Resources

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

Human Resources Benefits

Director
Elizabeth Aumann

Delegated from Contracting Officer:

Approving and executing LPL Financial Documents

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►Information Technology

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

UCIT

Interim VP Information Technology & CIO
Nelson Vincent

Delegated from Contracting Officer:

approving and executing the Blackboard Community Portal Service Agreement

Blackboard Service Agreement

Network and Telecommunication Services

Associate Vice President
Mark Faulkner

Delegated from Contracting Officer:

approving and executing the Blackboard Community Portal Service Agreement

Blackboard Service Agreement

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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
Karl Scheer

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

Dean                                                               

Xuemao Wang

Delegated from Contracting Officer:

UC Libraries

Collections & Electronic Resources Librarian

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

Head of Preservation Services and Lab

Delegated from Contracting Officer:

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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► Planning Design Construction

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

Planning Design Construction

Associate VP, University Architect
Mary Beth McFrew

Delegated from President:

Approving and executing purchase orders for construction-related equipment when the purchase is necessary to avoid a delay in completion, architectural and engineering agreements, construction contracts, construction manager agreements, consultant agreements, limited to transactions that do not exceed 1,330,000, and the A-910 contract approval cover sheets associated with such documents.

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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

Delegated from Contracting Officer:

Purchasing

Financial Administrator I

Delegated from Contracting Officer:

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► Research Compliance

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

Research Compliance & Comparartive Medicine

Associate Vice President Research Integrity Officer
Jane Strasser

Delegated from Contracting Officer:

  • approving and executing Institutional Review Board (IRB) Authorization Agreements

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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

Asst. Vice President                                   Chief Risk Officer
Anita Ingram

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 President:

Sponsored Research Services

Director 
Christine Jones

Delegated from Contracting Officer:

Sponsored Research Services – Contract Division

Contracts Manager, Legal Liaison
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

Sponsored Research Services Accounting

Director Business Affairs
John G. Ungruhe

Delegated from Contracting Officer:

  • signing certifications required by PART 200- UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, and AUDIT REQUIREMENTS FOR FEDERAL AWARDS, Subpart E-Cost Principles 

Sponsored Research Services Accounting

Assistant Director Business Affairs
Kathleen A. Weber

Delegated from Contracting Officer:

  • signing certifications required by PART 200- UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, and AUDIT REQUIREMENTS FOR FEDERAL AWARDS, Subpart E-Cost Principles

Sponsored Research Services Accounting

Assistant Director Business Affairs
David J. Stephen

Delegated from Contracting Officer:

  • signing certifications required by PART 200- UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, and AUDIT REQUIREMENTS FOR FEDERAL AWARDS, Subpart E-Cost Principles

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►Student Services

► 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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►UC Physicians

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

UC Physicians

Chair of Otolaryngology of the Otolaryngology- Head and Neck Surgery Department
Myles L. Pensak

Delegated from Contracting Officer:

  • approving and executing Ohio Board of Pharmacy Form #0600 "Terminal Distributior of Dangerous Drugs" necessary to authorize College of Medicine faculty members to use dangerous drugs in course of research
  • Terminal Distributor of Dangerous Drugs

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