Ohio Administrative Code|Rule 3361:10-17-03 | Conduct and ethics: code of conduct.

                                                
(A) Introduction, purpose and
		  scope:
(1) Introduction
As members of the university of Cincinnati
			 ("university" or "UC") community, all faculty, staff,
			 students, members of the board of trustees, university officers and affiliates
			 are responsible for maintaining the highest ethical standards of this
			 institution, and of the broader community in which we function. The university
			 values integrity, honesty and fairness and strives to integrate these values
			 into its teaching, research, service and business practices.
(2) Purpose
This code of conduct (the "code") is
			 a statement of UC's commitment to upholding the ethical, professional and
			 legal standards we use as the basis for our daily and long-term decisions and
			 actions. We all must be cognizant of and comply with the relevant policies,
			 standards, laws and regulations that govern or relate to our role in the
			 university community. We are each individually accountable for our own actions
			 and, as members of the university community, are collectively accountable for
			 upholding these standards of behavior and for compliance with all applicable
			 laws and policies.
(3) Scope
The code applies to the following members of
			 the university community: 
(a) Members of the board of trustees;
(b) Faculty and staff;
(c) Any individual employed by the university, using
				university resources or facilities, or receiving funds administered by the
				university; and
(d) Volunteers and other representatives when speaking or
				acting on behalf of the University.
Students are governed by rule 3361:40-5-05 of
				the Administrative Code.
(4) Violations
All members of the university community are
			 responsible for bringing suspected violations of applicable standards,
			 policies, laws or regulations to the attention of the appropriate office (see
			 section J, below). University policy prohibits retaliation against individuals
			 reporting suspected violations. Confirmed violations will result in appropriate
			 disciplinary action up to and including termination from employment or other
			 relationships with the university. In some circumstances, civil and criminal
			 charges and penalties may apply. 
(5) Questions
Any questions regarding the intent or
			 applicability of this code should be directed to the office of the general
			 counsel.
(B) Guiding principles
It is vital to the University's missions of
		  education, research and service that it maintain a reputation for integrity
		  that includes, but is not limited to, compliance with laws and regulations and
		  its contractual obligations. As a public institution supported by public
		  resources, even the appearance of misconduct or impropriety can be very
		  damaging to the university. UC must strive at all times to maintain the highest
		  standards of quality and integrity. This involves more than merely complying
		  with the law. Frequently, UC's business activities and the other conduct
		  of its community members are not governed by specific laws or regulations. In
		  these instances, principles of fairness, honesty, and respect for the rights of
		  others will govern our conduct at all times. In addition, each individual is
		  required to conduct university business transactions with the utmost honesty,
		  accuracy and fairness. Each situation needs to be examined in accordance with
		  this standard. No unethical or unfair practice can be tolerated on the grounds
		  that it is "customary" or a "standard business practice"
		  for entities or individuals outside of UC or because it serves other worthy
		  goals. Expediency should never compromise integrity.
In complying with these guiding principles, you
		  should ask yourself the following questions to aid in making the right decision
		  about a possible course of action:
(1) Are my actions
			 illegal or unethical?
(2) Am I being fair and
			 honest?
(3) Would I be
			 embarrassed or unwilling to tell my family, friends or coworkers?
(4) Would the reputation
			 of UC be harmed if the action were revealed in the newspaper?
(5) Am I personally
			 uncomfortable with the course of action?
(6) Could someone's
			 life, health, safety or reputation be endangered by my action?
(7) Could the intended
			 action appear inappropriate to a third party?
These same questions can be used to evaluate
			 the conduct of others.
(C) Confidentiality and
		  privacy
Though UC is a public institution subject to
		  state open records laws, members of the university community generate certain
		  types of confidential, proprietary and private information that are exempt from
		  disclosure. State ethics laws specifically prohibit the unauthorized disclosure
		  of such information even after an individual is no longer employed by UC. It is
		  imperative that each community member complies with all university rules,
		  federal laws, state laws, agreements with third parties, and university
		  policies and principles pertaining to the use, protection and disclosure of
		  such information.
Information on specific privacy laws, such as the
		  Family Educational Rights and Privacy Act (FERPA - student records), and the
		  Health Insurance Portability and Accountability Act (HIPAA - personal health
		  information) may be obtained from the office of the general counsel.
(D) Conflict of interest/conflict of
		  commitment
UC faculty and staff owe their primary
		  professional allegiance to the university and its mission to engage in the
		  highest level of education, patient care, service, research and scholarship.
		  Outside professional activities, private financial interests or the receipt of
		  benefits from third parties can create an actual or perceived conflict between
		  the university mission and an individual's private interests. Such
		  activities may also be unlawful under state ethics and other laws. In order to
		  protect our primary mission, community members with other professional or
		  financial interests shall make timely disclosure of such interests on an
		  outside activity reporting form (OAR) in compliance with applicable conflict of
		  interest/conflict of commitment policies, which are available on the following
		  websites:
Rule 30-21-02 Employment: policy on collateral
		  employment for faculty members and librarians. 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=123
Rule 3361:30-21-03 of the Administrative Code
		  Employment: collateral employment policy for all employees (excluding faculty
		  and librarians). 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=124
Rule 3361:10-17-08 of the Administrative Code
		  Conduct and ethics: policy on conflicts of interest in the conduct of research
		  at the university of Cincinnati. 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=86
Information on state ethics laws is available on
		  the office of general counsel website: http://www.uc.edu/af/general_counsel/
		  and on the website of the Ohio ethics commission
		  (http://www.ethics.ohio.gov/).
(E) Human resources
The university's mission statement includes
		  a commitment "to excellence and diversity in our students, faculty, staff,
		  and all of our activities." Our strategic plan, UC|21
		  (http://www.uc.edu/uc21/), includes as one of its goals a commitment to
		  "establish a sense of place." Central to these commitments is the
		  principle of treating each community member fairly and with respect. To
		  encourage such behavior, the university prohibits discrimination and harassment
		  and provides equal opportunities for all community members and applicants
		  regardless of their race, color, religion, national origin, ancestry,
		  disability, medical condition, marital status, sex, age, sexual orientation,
		  veteran status, gender identity and expression or any other characteristic
		  protected by law or policy. Where actions are found to have occurred that
		  violate this standard the university will take prompt action to end the
		  offending conduct, prevent its recurrence and discipline those responsible.
		  Specific rules and policies in support of this standard are found at these
		  locations:
University rule 3361:10-13-01 of the
		  Administrative Code, University policy on non-discrimination 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=81
Office of equal employment opportunity website
		  
http://www.uc.edu/af/equal_opportunity/
In addition, the university places significant
		  responsibility on those who supervise or instruct employees or students.
		  Managers, supervisors, instructors, and advisors are expected to:
(1) Ensure access to and
			 delivery of proper training and guidance on applicable workplace and
			 educational rules, policies, and procedures, including this code;
(2) Ensure compliance
			 with applicable laws, policies, and workplace rules;
(3) Review performance
			 conscientiously and impartially;
(4) Foster intellectual
			 growth and professional development;
(5) Promote a healthy,
			 innovative, and productive atmosphere that encourages dialogue and is
			 responsive to concerns
(F) Research
University researchers have an ethical obligation
		  to the university and to the larger global community as they seek and produce
		  knowledge. Community members are expected to:
(1) Propose, conduct, and
			 report research with integrity and honesty;
(2) Protect people and
			 humanely treat animals involved in research or teaching;
(3) Learn, follow, and
			 demonstrate accountability for meeting the requirements of sponsors, regulatory
			 bodies, and other applicable entities including the appropriate use of
			 finances;
(4) Faithfully transmit
			 research findings;
(5) Protect rights to
			 individual and university intellectual property;
(6) Ensure originality of
			 work, provide credit for the ideas of others upon which their work is built,
			 and be responsible for the accuracy and fairness of information published;
			 and
(7) Fairly assign
			 authorship credit on the basis of an appropriate array of significant
			 intellectual contributions, including: conception, design, and performance;
			 analysis and interpretation; and manuscript preparation and critical editing
			 for intellectual content
University rule 3361:10-17-05 of the
			 Administrative Code, Policy for investigation of research misconduct, can be
			 found at http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=89
University rule 3361:10-17-10 of the
			 Administrative Code, Ethical conduct in research involving human subjects, can
			 be found at http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=281
(G) Records accuracy
All university records, whether they concern
		  individual employees, the business dealings of the university, student records
		  or research endeavors must be accurate, clear and complete. Examples include
		  accounts, financial reports, tax returns, expense reimbursement requests,
		  employee applications for benefits, time sheets and any other record that is
		  submitted to or generated by the university for the purpose of carrying out its
		  business, including those submitted to government agencies. All entries in
		  university books and records, including departmental accounts and individual
		  expense reports, must accurately reflect each transaction.
(H) Compliance with laws and
		  standards
Members of the university community must transact
		  university business in compliance with applicable laws, regulations, and
		  university policy and procedure. Managers and supervisors are responsible for
		  being aware of their compliance obligations, for making sure that those persons
		  they supervise are aware as well, and for monitoring compliance. When questions
		  arise pertaining to interpretation or applicability of policy, the designated
		  individual who has oversight of the policy must be contacted. Unresolved
		  questions and/or interpretation of laws and regulations should be referred to
		  the office of general counsel.
(1) Contractual
			 obligations
The acceptance of an agreement, including
			 sponsored project funding, may create a legal obligation on the part of the
			 university to comply with the terms and conditions of the agreement and
			 applicable laws and regulations. Therefore, only individuals who have authority
			 delegated by an appropriate university official are authorized to enter into
			 agreements on behalf of the university.
University rule 3361:10-1-06 of the
			 Administrative Code Execution of instruments. 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=67
(2) Environmental health
			 and safety, including workplace health and safety
Members of the university community must be
			 committed to protecting the health and safety of its members by providing safe
			 workplaces. The university will provide information and training about health
			 and safety hazards and safeguards. Community members must adhere to good health
			 and safety practices and comply with all environmental health and safety laws
			 and regulations. University environmental guidelines are maintained on the
			 university's environmental health and safety website at
			 http://www.ehs.uc.edu/advisories.asp.
(3) Non-university
			 professional standards
Some professions and disciplines represented at
			 the university are governed by standards and codes specific to their profession
			 (such as attorneys, certified public accountants, and medical doctors). Those
			 professional standards generally advance the quality of the profession and/or
			 discipline by developing codes of ethics, conduct, and professional
			 responsibility and standards by which their members are guided. Those belonging
			 to such organizations are expected to adhere to university policies and codes
			 of conduct in addition to any professional standards. If a community member
			 believes there is a conflict between a professional standard and university
			 policy, he/she should contact the office of the general counsel. 
(I) Use of university
		  resources
University resources may only be used for
		  official university business and not or personal gain or convenience.
		  University resources include, but are not limited to, the use of university
		  systems, such as telephone systems, data communication and networking services,
		  and the UC domain for electronic communication forums; the use of university
		  equipment, such as computers and peripherals, university vehicles and other
		  equipment; the use of procurement tools such as purchasing cards and petty
		  cash; and the time and effort of other staff, students and others at UC.
		  University resources can only be disposed of in accordance with the policies
		  established by the vice president for finance.
University rule 3361:10-17-04 of the
		  Administrative Code Conduct and ethics: use of university resources: 
http://www.uc.edu/trustees/rules/RuleDetail.asp?ID=90 
http://www.libraries.uc.edu/libraries/arb/records_management/disposal.html
		  
http://www.uc.edu/af/documents/purchasing/PCard_Manual.pdf
(J) Reporting suspected
		  violations
(1) Reporting to
			 management
Members of the UC community should report
			 suspected violations of applicable laws, regulations, government contract and
			 grant requirements or this code. Reporting should normally be made initially
			 through standard management channels, beginning with the immediate supervisor,
			 instructor or advisor. If for any reason it is not appropriate to report
			 suspected violations to the immediate supervisor (e.g., the suspected violation
			 is by the supervisor), individuals may go to a higher level of management
			 within their school or department.
(2) Other
			 reporting
If reporting to management is impractical or
			 unreasonable under the circumstances, violations of laws or regulations should
			 be reported internally to the anonymous reporting hotline (1-800-889-1547 or
			 online at https://secure.ethicspoint.com/domain/media/en/gui/22314/index.html),
			 to the office of the internal auditor (http://www.uc.edu/af/internal_audit) or
			 to the office of the general counsel (513) 556-3483.
(3) Confidentiality - Any
			 reports may be made confidentially, and even anonymously, although the more
			 information given, the easier it is to investigate the reports. Raising such
			 concerns is a service to the University and will not in itself jeopardize
			 employment (http://www.uc.edu/af/internal_audit/default.html).
(4) Cooperation - All
			 employees are expected to cooperate fully in the investigation of any
			 misconduct.
(5) No retaliation -
			 Employees making reports of suspected violations in good faith shall be
			 protected from any retaliation for making such reports.


Last updated June 6, 2021 at 8:22 AM