Student Records

Policy Number: 
III.05.04
Reason for Policy: 

This policy outlines various institutional matters pertaining to student records, including information that is not required to be provided and how a student may petition for a change in their personal record.

Entities Affected by this Policy: 

All students as well as UO employees who work with, maintain or have access to student records.

Responsible Office: 

For questions about this policy, please contact the Office of Student Life at 541-346-3216 or the Office of the Registrar at 541-346-2935.

Enactment & Revision History: 

Policy number changed from 580.013 (former OAR) to UO Policy III.05.04 on November 2, 2016.

Technical revisions enacted by the University Secretary on September 2, 2015.

Sections 25, 30, 35, 36, 45 and 50 of OAR 580 Division 13 were repealed by the President upon recommendation of the Senate on March 22, 2014.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon Administrative Rule Chapter 580 Division 13.

Policy: 

A. Certain Information Not Required To Be Provided By Students

No student shall be required to provide, except voluntarily, information as to race, religion, political affiliation or preferences, or personal values, except as required by state statute, federal law or valid federal rules, regulations or orders.

B. Petition by Student for Change in Personal Record

The student shall have the right to review with appropriate University personnel any information contained in the student's records and to petition appropriate University officials as defined in University policies for additions or deletions to the record where the accuracy of the information in the file is in question, except in the following instances:

(1) Records created or maintained by a physician, psychiatrist, psychologist or other recognized professional or paraprofessional acting in a professional or paraprofessional capacity or assisting in that capacity.

(2) Records created, maintained or used only in connection with the provision of treatment to the student and not disclosed to anyone other than individuals providing the treatment; provided, that the records can be personally reviewed by a physician or other appropriate professional of the student's choice.

(3) Records relating exclusively to an individual in that individual's capacity as an employee.

(4) Financial records and statements of the parents of students or any information contained therein.

(5) Confidential letters and confidential statements of recommendation that were placed in the educational records of a student prior to January 1, 1975, provided that the letters and statements were solicited with the written assurance of confidentiality or sent and retained with a documented understanding of confidentiality and were used only for the purposes for which they were specifically intended.

(6) Confidential letters of recommendation and confidential statements of recommendation that were placed in the educational records of the student after January 1, 1975, respecting admission to an educational institution, respecting an application for employment or respecting the receipt of an honor or honorary recognition, provided that the student has waived rights to inspect and review letters and statements of recommendation.

Chapter/Volume: 
  • Volume III: Administration of Student Affairs
  • Chapter 5: Student Records
Original Source: 
Oregon Administrative Rule

Student Health Services

Policy Number: 
III.04.01
Reason for Policy: 

This policy contains matters pertaining to student health and mental services provided by the University Health Center and University Counseling and Testing Center.

Entities Affected by this Policy: 

All students; employees who interact with the above mentioned matters

Responsible Office: 

For questions about this policy, please contact the University Health Center at 541-346-8393 or the University Counseling and Testing Center at 541-346-3227.

Enactment & Revision History: 

Revisions enacted by the President and policy renumbered on September 20, 2017.

Technical revisions enacted by the University Secretary on September 2, 2015.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon Administrative Rule Chapter 580 Division 11, Section 0005.

Former Oregon Administrative Rule Chapter 580 Division 11, Section 0005.

Policy: 

(1) The University of Oregon (University) shall operate or provide student health services to safeguard the health of students through health and mental health education, medical treatment of injuries and diseases, and limited psychological services.

(2) Student health and mental health services supported by student fees shall be made available to full-time and part-time students who are enrolled in courses taught by University faculty and who have paid the health service fee adopted by the Board.

(3) The University may also provide health and mental health services to:

(a) Participants in on-campus, workshops and programs sponsored by the University or under a lease or contract with an off-campus organization;

(b) Persons, who are eligible for stop-out services between academic terms and during the summer, according to University Health Center or University Counseling and Testing Center department policies.

(c) Limited follow-up visits, as defined by the University Health Center or University Counseling and Testing Center, for continuity of care for students transitioning out of the University.

(d) Faculty and staff (including pre-employment testing for new hires prior their first day of employment), on a full-cost-reimbursement basis. These services are limited and will be defined by the University Health Center or University Counseling Center. They must not interfere with the provision of health or mental health services to students.

(e) Other persons on an emergency basis, as defined by the University Health Center or University Counseling and Testing Center.

(4) Except as provided for above, no other health care services will be provided.

(5) Health service fees charged to these categories of users shall not be less than the current fees charged full-time and part-time students prorated according to the period of use.

 

(6) Charges may be made for prescriptions, laboratory services, immunizations, psychological or educational testing, alcohol and other drug assessment and intervention, and other special services in accordance with regulations adopted by the University.

(7) The University Health Center and the University Counseling Center will neither pay for nor be responsible for bills from private physicians or private hospitals, except in cases of advance contractual arrangements made by the University.

(8) This policy has the force of law and may be appealed by students and staff through the applicable grievance procedures.  Community members seeking to appeal this policy may file an appeal with the Executive Director of the University Health Center or the Director of the University Counseling and Testing Center, as appropriate. 

Chapter/Volume: 
  • Volume III: Administration of Student Affairs
  • Chapter 4: Student health services
Original Source: 
Oregon Administrative Rule

Use of Student Building Fees

Policy Number: 
III.03.03
Reason for Policy: 

This policy contains matters pertaining to student fees for capital construction projects. 

Entities Affected by this Policy: 

All students, as well as employees whose work relates to the above matters.

Responsible Office: 

For questions about this policy, please contact the Office of Student Life at 541-346-3216

Enactment & Revision History: 

Revisions enacted by the President, and policy renumbered to III.03.03 and renamed (formerly “Student Building Fee Project Process”) on September 20, 2017.

Technical revisions enacted by the University Secretary on September 2, 2015.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon Administrative Rule Chapter 580 Division 10, Sections 0100 through 0140. 

Policy: 

 

The Associated Students of the University of Oregon (ASUO) shall establish and convene a Student Planning and Construction Committee (SPCC), to review proposals and make recommendations on capital projects proposed to be funded, in whole or in part, from income from the student building fee and on projects impacting a facility in which operations are or will be funded, in whole or in part, from Incidental Fee income.

 

The University of Oregon shall recognize the role of the SPCC and will incorporate the SPCC’s recommendations into the approval process before decisions are made on capital construction projects funded, in whole or in part, from Student Building Fee income and any major renovations and new construction projects in which operations are or will be funded, in whole or in part, from Incidental Fee income, insofar as these projects might require an increased appropriation of operational funds. Any SPCC decision impacting the appropriation of the Incidental Fee shall require ASUO consideration and recommendation, in accordance with the Incidental Fee Authorization policy.

 

Specifically, the SPCC shall review capital projects presented by the university and recommend whether each such project should be approved and the relative priority of each such project. The committee may also request consideration of additional projects or project modifications that the committee or student government identifies independently.

 

The SPCC shall be comprised of seven members: three (3) students appointed by the ASUO President no later than September 1 of each year; one (1) representative of the Student Senate, to be designated by the Student Senate no later than October 1 of each year; one (1) graduate student representative, to be appointed by the ASUO President no later than September 1 of each year; one (1) at-large member elected by the student body during the prior year’s regular spring ASUO elections, and; the ASUO Vice President, who shall serve as an ex-officio non-voting member, except in case of a tie, when the ASUO Vice President shall cast the tie-breaking vote. In the event the seat of the at-large elected representative becomes vacant, the ASUO President shall appoint a replacement in accordance with the ASUO governing documents. The ASUO President (or designee) shall provide a list of SPCC members to the University President (or designee) no later than October 15 each year. 

 

The SPCC shall be responsible for formulating and revising its own operating bylaws, in accordance with ASUO governance documents, University policy, and applicable law. These bylaws must not conflict with or impede the university’s capital construction process. All student projects will follow university processes and procedures, including Campus Planning Committee, Design Review Board, and any other formal parts of the capital project process.

 

The ASUO President shall convey the recommendations of the SPCC in writing to the University President (or designee). The University President shall review the recommendation(s) of the SPCC with the ASUO President prior to the deadline for submitting recommendation(s) to the University’s Board of Trustees. If the University President does not agree with the recommendations of the SPCC, the University President and ASUO President shall make good a faith effort to reach an agreement. This agreement may be conveyed in the form of a memorandum of understanding or other form of written communication deemed appropriate. If agreement is not reached, the University President and the ASUO President may submit their recommendations for the allocation of the Student Building Fee to the Board of Trustees separately. The University President shall disclose that agreement has not been reached with the ASUO President.

 

Nothing in this policy is intended to preclude the University President from submitting capital construction projects to the Board of Trustees or limit any of the authority the Board reserved for itself in PRDA § 1.7.4 (i.e. capital projects exceeding $5 million).

Chapter/Volume: 
  • Volume III: Administration of Student Affairs
  • Chapter 3: Tuition and student fees
Original Source: 
Oregon Administrative Rule

Residence Classification

Policy Number: 
III.08.01
Reason for Policy: 

This policy contains matters pertaining to classification of residency. 

Entities Affected by this Policy: 

All students and employees who interact with the above mentioned matters

Responsible Office: 

For questions about this policy, please contact the Office of Admissions at 541-346-3201

Enactment & Revision History: 

Revisions approved by University President Michael Schill on March 3, 2017.

Technical revisions enacted by the University Secretary on September 2, 2015.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon Administrative Rule Chapter 580 Division 10, Sections 0029 through 0047

Policy: 

A. Definitions

(1) "Domicile" is a person's true, fixed, and permanent home and place of habitation. It is the place where a person intends to remain and to which the person expects to return when the person leaves without intending to establish a new domicile elsewhere. In order to establish a domicile in Oregon, a person must maintain a predominant physical presence in Oregon for 12 consecutive months after moving to the state.

(2) A "financially independent person" is a person who, at the time of application for residency status: (a) declares himself or herself to be financially independent; (b) has not been claimed as a dependent during the immediately preceding tax year, and will not be claimed as a dependent during the current tax year, on the federal or state income tax returns of any other person; and (c) has not received in the immediately preceding calendar year, and will not receive during the current calendar year, one-half or more of his or her support, in cash or in kind, from another person or persons, except for support received from his or her spouse.

(3) A "financially dependent person" is a person who, at the time of application for residency status: (a) declares himself or herself to be financially dependent; and (b) has been claimed as a dependent on the federal and state income tax returns of another person during the immediately preceding tax year.

B. Determination of Residence

(1) For purposes of admission and instruction fee assessment, the University shall classify a student as Oregon resident or nonresident. In determining resident or nonresident classification, the primary issue is a person's intent in coming to Oregon. Intent is inferred from a person's conduct and history as they relate to the requirements of these residency policies. If a person is in Oregon primarily for the purpose of obtaining an education, that person will be considered a nonresident. It is possible for an individual to qualify as a resident of Oregon for purposes of voting or obtaining an Oregon driver's license and not meet the residency requirements established by this policy.

(2) An Oregon resident is a financially independent person who, prior to the term for which Oregon resident classification is requested, has both: (a) established and maintained a domicile in Oregon as provided under Section A  12 consecutive months; and (b) during that period, has been primarily engaged in activities other than those of being a college student.

(3) A student may be considered primarily engaged in educational activities regardless of the number of hours for which the student is enrolled. However, a student who is enrolled for more than 8 hours in any semester or quarter during the 12-month period referred to in Section B(2) of this policy shall be presumed to be in Oregon for primarily educational purposes. Such period of enrollment shall not be counted toward the establishment of a bona fide domicile of 12 consecutive months in this state unless the student proves, in fact, establishment of a bona fide domicile in this state primarily for purposes other than educational.

(4) An Oregon resident is also a financially dependent person who is claimed as a dependent by another person who has both: (a) established and maintained an Oregon domicile as provided under Section A(1) for 12 consecutive months; and (b) during that period, has been primarily engaged in activities other than those of being a college student.

(5) A financially dependent person who is claimed as a dependent by another person who has not established and maintained an Oregon domicile shall be presumed to be a non-resident. This presumption may be overcome by evidence of the student's long-standing presence in Oregon and demonstration of other factors under Section C.

(6) The criteria for determining Oregon resident classification shall also be used to determine whether a person who has moved from Oregon has established a non-Oregon residence.

(7) If University records show that the residence of a student or the person upon whom the student is dependent is outside of Oregon, the student shall continue to be classified as a nonresident until entitlement to resident classification is shown. The burden of showing that the residence classification should be changed is on the student requesting the change.

(8) Notwithstanding Section B(4) of this policy, a student who is financially dependent on a non-Oregon resident may nonetheless be considered an Oregon resident if the student resides in Oregon for at least 12 consecutive months with a parent or legal guardian who has both: (a) established and maintained an Oregon domicile under Section A(1) for 12 consecutive months; and (b) during that period, has been primarily engaged in activities other than those of being a college student.

C. Residency Consideration Factors

(1) The following factors, although not necessarily conclusive or exclusive, have probative value in support of a claim for Oregon resident classification:

(a) Reside in Oregon for 12 consecutive months prior to the beginning of the term for which resident classification is sought and during that period be primarily engaged in activities other than those of a college student;

(b) Reliance upon Oregon resources for financial support;

(c) Domicile in Oregon of persons legally responsible for the student;

(d) Acceptance of an offer of permanent employment in Oregon; and

(e) Ownership by the person of his or her living quarters in Oregon.

 

(2) The following factors, standing alone, do not constitute sufficient evidence to effect classification as an Oregon resident:

(a) Voting or registration to vote;

(b) Employment in any position normally filled by a student;

(c) The lease of living quarters;

(d) Admission to a licensed practicing profession in Oregon;

(e) Automobile registration;

(f) Public records, for example, birth and marriage records, Oregon driver's license;

(g) Continuous presence in Oregon during periods when not enrolled in school;

(h) Ownership of property in Oregon or the payment of Oregon income or other Oregon taxes; or

(i) Domicile in Oregon of the student's spouse;.

 

(3) Reliance upon non-Oregon resources for financial support is an inference of residency in another state.

 

D. Evidence of Financial Dependency

(1) In determining whether a student is financially dependent, a student must provide:

(a) Evidence of established domicile as provided under Section A(1) of the person claiming the student as a dependent; and

(b) The identification of the student as a dependent on the federal and state income tax returns of the person claiming the student as a dependent. Additional documentation to substantiate dependency during the current calendar year may be required at a later time if deemed necessary by the institution.

(2) A student who provides evidence that he or she is a financially dependent person under these rules shall not be required to establish a 12-month domicile prior to classification of resident status, provided such a student may not be classified as a resident while receiving financial assistance from another state or state agency for educational purposes.

E. Residence Classification of Armed Forces Personnel

(1) For purposes of this policy, members of the armed forces means officers and enlisted personnel of:

(a) The Army, Navy, Air Force, Marine Corps, and Coast Guard of the United States;

(b) Reserve components of the Army, Navy, Air Force, Marine Corps, and Coast Guard of the United States;

(c) The National Guard of the United States and the Oregon National Guard.

 

(2) Notwithstanding Section B, active members of the armed forces and their spouses and dependent children shall be considered residents for purposes of the instructional fee if the members:

(a) Reside in this state while assigned to duty at any base, station, shore establishment, or other facility in this state;

(b) Reside in this state while serving as members of the crew of a ship that has an Oregon port of shore establishment as its home port or permanent station; or

(c) Reside in another state or a foreign country and file Oregon state income taxes no later than 12 months before leaving active duty.

(3) An Oregon resident entering the armed forces retains Oregon residence classification until it is voluntarily relinquished.

(4) An Oregon resident who has been in the armed forces and assigned on duty outside of Oregon, including a person who establishes residency under Section E(2)(c) of this policy, must, within a reasonable time, demonstrate an intent to retain classification as an Oregon resident. Such intent may be shown by returning to Oregon within six months after completing service in the armed forces.

(5) A person who continues to reside in Oregon after separation from the armed forces may count the time spent in the state while in the armed forces to support a claim for classification as an Oregon resident.

(6) The dependent child and spouse of a person who is a resident under Section (E)(2) of this policy shall be considered an Oregon resident. "Dependent child" includes any child of a member of the armed forces who:

(a) Is under 18 years of age and not married, otherwise emancipated or self-supporting; or

(b) Is under 23 years of age, unmarried, enrolled in a full-time course of study in an institution of higher learning, and dependent on the member for over one-half of his/her support.

F. Residence Classification of Members of Oregon Tribes

(1) Students who are enrolled members of federally recognized tribes of Oregon or who are enrolled members of a Native American tribe which had traditional and customary tribal boundaries that included parts of the state of Oregon or which had ceded or reserved lands within the state of Oregon shall be assessed resident tuition regardless of their state of residence.

(2) For purposes of this policy, the federally recognized tribes of Oregon are:

(a) Burns Paiute Tribe;

(b) Confederated Tribes of Coos, Lower Umpqua and Siuslaw;

(c) Confederated Tribes of Grand Ronde Community of Oregon;

(d) Confederated Tribes of Siletz Indians of Oregon;

(e) Confederated Tribes of the Umatilla Indian Reservation;

(f) Confederated Tribes of the Warm Springs Indian Reservation;

(g) Coquille Indian Tribe;

(h) Cow Creek Band of Umpqua Indians;

(i) Klamath Tribes.

(3) For purposes of this policy, the Native American tribes which had traditional and customary tribal boundaries that included parts of the state of Oregon or which had ceded or reserved lands within the state of Oregon are:

(a) CALIFORNIA:

(A) Benton Paiute Tribe;

(B) Big Bend Rancheria;

(C) Big Lagoon Rancheria;

(D) Blue Lake Rancheria;

(E) Bridgeport Indian Colony;

(F) Cedarville Rancheria;

(G) Fort Bidwell Indian Tribe;

(H) Hoopa Valley Tribe;

(I) Karuk Tribe of California;

(J) Likely Rancheria;

(K) Lookout Rancheria;

(L) Lytton Rancheria;

(M) Melochundum Band of Tolowa Indians;

(N) Montgomery Creek Rancheria;

(O) Pit River Tribe;

(P) Quartz Valley Indian Community;

(Q) Redding Rancheria;

(R) Roaring Creek Rancheria;

(S) Smith River Rancheria;

(T) Susanville Rancheria;

(U) Tolowa-Tututni Tribe;

(V) Winnemucca Colony;

(W) XL Ranch.;

(X) Yurok Tribe.

(b) IDAHO:

(A) Nez Perce Tribe of Idaho;

(B) Shoshoni-Bannock Tribes.

(c) NEVADA:

(A) Duck Valley Shoshone-Paiute Tribes;

(B) Fallon Paiute-Shoshone Tribe;

(C) Fort McDermitt Paiute-Shoshone Tribe;

(D) Lovelock Paiute Tribe;

(E) Pyramid Lake Paiute Tribe;

(F) Reno-Sparks Indian Colony;

(G) Summit Lake Paiute Tribe;

(H) Walker River Paiute Tribe;

(I) Winnemucca Indian Colony;

(J) Yerington Paiute Tribe.

(d) OKLAHOMA: Modoc Tribe of Oklahoma.

(e) WASHINGTON:

(A) Chehalis Community Council;

(B) Colville Confederated Tribes;

(C) Quinault Indian Nation;

(D) Shoalwater Bay Tribe;

(E) Yakama Indian Nation.

(4) A student seeking to be assessed resident tuition under the provisions of this policy shall submit, following procedures prescribed by the University, a photocopy of tribal enrollment which documents tribal membership.

G. Residence Classification of Non-Citizens

A person who is not a citizen of the United States may be considered an Oregon resident if the person qualifies as a resident under Section B and is one of the following:

(1) A lawful permanent resident. The date of approval of lawful permanent residency shall be the earliest date upon which the 12-month residency requirements under Section B may begin to accrue.

(2) An immigrant granted refugee or political asylum in the United States. The date of approval of political asylum or refugee status shall be the earliest date upon which the 12-month residency requirements under Section B may begin to accrue.

(3) A person holding one of the following non-immigrant visa classifications: A, E, G, H-1B, H-1C, the spouse or child of a person holding an H-1B or H-1C visa, I, K, L, NATO, O, R, S, T, TN, U, or V. The date of the issuance of a visa for one of these classifications shall be the earliest date upon which the 12-month residency requirements under Section B may begin to accrue. A person possessing a non-immigrant or temporary visa that is not identified under this policy shall not be considered an Oregon resident.

H. Changes in Residence Classification

(1) If an Oregon resident student enrolls in an institution outside of Oregon and later seeks to re-enroll in the University, the residence classification of that student shall be re-examined and determined on the same basis as for any other person.

(2) A financially dependent student who is dependent on a person who establishes a permanent Oregon residence as defined Section B(2) during a term when the dependent student is enrolled at the University may register as a resident at the beginning of the next term.

(3) Once established, classification as a resident continues so long as the student remains in continuous academic year enrollment in the University.

(4) A person who seeks classification as a resident under these rules shall complete and submit a notarized Residence Information Affidavit. The affidavit and all required supportive documents and materials must be submitted by the last day to register for the term in which resident status is sought.

(5) The University is not bound by any determination of residency except by duly authorized officials under procedures prescribed by this policy including timely submittal of the notarized affidavit.

I. Review of Residence Classification Decisions by IRC

(1) An interinstitutional residency committee (IRC) is established consisting of the officers determining student residence classification at Eastern Oregon University, Southern Oregon University, Oregon State University, Oregon Tech, Portland State University, Western Oregon University and the University of Oregon. A majority of the members of the Committee shall constitute a quorum. A majority of a quorum may make decisions.

(2) Residence cases of unusual complexity, especially where there may be conflict of rules, may be referred by an institution residence classification officer to the IRC for decision.

(3) Any person who is aggrieved by the institution residence classification may, within ten days of the date of mailing or other service of classification decision, appeal the classification to the IRC. The appeal must be in writing and shall be filed with the institution. An aggrieved person may supply written statements to the IRC for consideration in reviewing the case and may also make an oral presentation to the IRC on a date to be scheduled by the IRC. The decision of the IRC shall be final unless appealed.

(4) A person dissatisfied with the IRC decision may, within ten days of the date of the mailing or other service of the IRC decision, appeal the IRC decision to the president or designee of the originating University. An appeal to the president shall be in writing only. The decision of the president or the president’s designee shall be final.

(5) A person granted a meritorious hardship exception to residency under this rule prior to July 1, 1990, shall not lose the exception solely because of the repeal of the exception authorization.

Chapter/Volume: 
  • Volume III: Administration of Student Affairs
  • Chapter 8: Admissions, Oregon residency
Original Source: 
Oregon Administrative Rule

Admission Requirements

Reason for Policy: 

This policy contains matters pertaining to standards for admission and other admission requirements. 

Entities Affected by this Policy: 

All students and employees who interact with the above mentioned matters

Responsible Office: 

For questions about this policy, please contact the Office of Admissions at 541-346-3201.

Enactment & Revision History: 

Technical revisions enacted by the University Secretary on September 2, 2015.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon Administrative Rule Chapter 580 Division 10, Sections 0001 through 0005.

Policy: 

A. Standards for Admission

(1) The University sets standards for admission to freshman and advanced undergraduate standing at the University. Standards may include but need not be limited to high school graduation, subject requirements, prior college-level coursework, standardized test scores and grades.

(2) Standards may vary by residency classification.

(3) The University may establish alternatives and exceptions to the standards.

(4) The Board may delegate authority to establish enrollment limitations and to set higher and additional standards for admission to academic courses and programs.

(5) The University shall periodically review admission standards and provide at least one year's notice of any change in standards used in determining admissibility.

B. Affirmative Action Goals: Enrollment

(1) The University President shall establish affirmative action goals and procedures for the purpose of increasing the proportion of minorities and women enrolled in programs where minorities or women are underrepresented. The University shall be sensitive to the need for effective support for such students.

(2) For purposes of this policy, "minority" refers to Black African Americans, Hispanic Americans, Asian/Pacific-Island Americans and American Indians/Alaskan Natives.

(3) The goals and procedures established under this policy shall be reviewed by the President for adequacy and effectiveness at the end of each biennium and modified accordingly. A report of this biennial review shall be submitted to the Board.

C. Compulsory Pre-Entrance Physical Examination and Immunizations

(1) For the protection of the public health and benefit of the student, the University requires a physical examination of all students or, at the discretion of the University, a completed health history questionnaire on a form supplied by the institution, as a condition of enrollment.

(2) A report from a private physician may be required in certain instances by the University using a health history questionnaire. Cases justifying use of a private physician's report include students participating in varsity athletics and students requiring clearance for participation in physical education.

(3) All students must present appropriate proof of immunizations and tests required by policies established by the University. These requirements shall be set forth in University catalogs. The University shall notify the Board whenever these requirements change.

(4) Students declining immunization on medical grounds may be enrolled, but students declining immunization on the basis of religious conviction may be enrolled only if:

(a) They provide a statement from their church or religious organization attesting to their membership and to the fact that immunization is contrary to the religious beliefs of the church or religious organization to which they belong;

(b) They, and in the case of minor or dependent students, their parents or guardians with them, agree in writing to assume all expenses in connection with their care and isolation should they acquire, while students at the University, a disease for which immunization is required of other students.

Chapter/Volume: 
Original Source: 
Oregon Administrative Rule

Intercollegiate Athletics

Enactment & Revision History: 

Became a University of Oregon policy by operation of law on July 1, 2014. 

Former OUS Internal Management Directive Section 8.

Policy: 

SECTION 8 - INTERCOLLEGIATE ATHLETICS

8.001 Role of Athletics in a College or University

Intercollegiate athletic programs are considered by the Board to assist the colleges and universities in achieving their goals. They:

(1) Contribute to the instructional programs by providing highly competitive opportunities for those students who excel in the various athletic activities.

(2) Enable the institutions to prepare graduates to serve the schools and colleges as athletic coaches, physical education teachers, athletic trainers, and athletic program administrators.

(3) Provide students, alumni, and other members of the public with spectator satisfaction and with an opportunity to identify with their institutions outside the classroom and laboratories.

(4) Enable the institutions to involve the public, not otherwise related to the institutions, in support of our colleges and universities.

(5) Provide opportunities for a few students, especially in football, basketball, and baseball, to prepare for careers in professional sports.

8.006 Categories of Intercollegiate Athletic Activities

For the purposes of establishing financial policy and determining equality of opportunity, two categories of intercollegiate athletic activities are established. They are:

(1) Major revenue-producing athletic activities.

(2) All other athletic activities.

Major revenue-producing athletic activities are defined as those which, in the judgment of the president of the institution and concurred in by the Board, are anticipated collectively to be capable of producing revenue equaling or exceeding operating and capital expenditures.

Equality of Opportunity

Equality of opportunity shall be established and judged within each of the two categories of intercollegiate athletics, "major revenue-producing" and "other."

If the institution identifies any athletic activity as major revenue-producing, it must also identify at least one such activity for men and one for women even though one of the activities may not satisfy the definition of major revenue-producing.

Provision must be made for an activity to move from one category to the other.

8.016 Financing

Major Revenue-Producing Athletic Activities

Major revenue-producing athletic activities are those that, by definition, are estimated to be self-supporting from gate receipts, television and radio income, conference income, contributions, and other revenues generated through the operation of those activities. Any incidental fees used to support major revenue-producing athletic activities will be deemed to be for the purpose of financing student admissions. No state tax funds, appropriated for educa­tion and general purposes, are to be used either for operating or capital expenditures, except as provided in (3) below. "Operating expenses" include both salaries and applicable physical plant costs.

Other Athletic Activities

Other athletic activities are to be financed from student incidental fees, gate receipts, and contributions. State funds appropriated for Education and General purposes may be used only to fund the salaries of coaches at the regional universities and Oregon Institute of Technology.

Proportionate Financing of Joint Use Facilities

State funds are used and may continue to be used for physical plant and other operating costs applicable to spaces within athletic facilities that are utilized for Educational and General purposes, such as lectures, convocations, physical education activity classes, concerts, and commencement exercises.

Resources for Capital Construction and Improvements

Expenditures for capital construction and capital improvements for athletics are to be financed from resources available for auxiliary enterprises such as gifts, bond borrowings under the provisions of Article XI-F(1) of the Oregon Constitution, and excess sinking fund reserves from commingled student building fees.

8.021 Levels of Competition

Institutions should seek the highest feasible level of competition for each activity, recognizing that financial and/or ethical considerations may force reductions in the competitive levels.

8.026 Cost Containment

The presidents of Oregon State University and the University of Oregon are instructed to work with each other and to pursue within the Northwest region, the Pac-10, and the NCAA appropriate cost containment measures such as grants based only on need, fewer grants, reduced recruiting efforts, smaller coaching staffs, and other appropriate measures.

If such efforts, over a five-year period, are unsuccessful, the Board will reassess its position and instruct the University of Oregon and Oregon State University whether or not to implement those cost containment policies even in the absence of Pac-10, NCAA, and regional action.

Portland State University, Oregon Institute of Technology, and the three regional universities are instructed to adopt similar cost containment measures, as appropriate.

8.031 Academic Progress and Degree Attainment

The presidents of institutions having intercollegiate athletics programs are instructed to establish policies and procedures that commit student athletes, counselors, coaches, and athletic program administrators to pursuing the dual student athlete goals of maintaining normal progress toward completion of the baccalaureate degree and attainment thereof, usually in not more than five years after the date of initial registration. Such policies shall require:

(1) Minimum academic term carrying loads of 12 hours during seasons of competition, in prescribed courses leading to a baccalaureate degree selected by the student athlete; and compliance with normal progress rules established by the institution; and

(2) Development and use of continuing academic progress monitoring systems which, when necessary, activate appropriate corrective measures by the student athlete, counselor, coaches, and athletic program administrator.

(3) Each institution president to submit annually to the Board a report on the success of student athletes in pursuing the goals of academic progress and degree attainment.

8.036 Code of Ethics

Each institution offering a program of intercollegiate athletics shall comply with the following code of ethics. Violation of the code of ethics shall be considered an adequate basis for sanctions for cause.

(1) Purpose

The purpose of this code of ethics is to prescribe standards of conduct for student athletes participating in the intercollegiate athletic programs of the institution, coaches, intercollegiate athletic administrators, and other personnel associated with intercollegiate athletics. It is also the purpose of this code of ethics to identify the responsibilities of coaches, intercollegiate athletic administrators, and other personnel in the institution's department of intercollegiate athletics.

(2) Designation of Institution Officers

The institution president shall assign in writing to the director of athletics the responsibility for implementing the provisions of this policy, except that the Faculty Athletic Representative shall retain the sole prerogative for determining the athletic eligibility of student athletes participating in the intercollegiate athletic program of the institution.

(3) Directives

(a) The intercollegiate athletic program of the institution shall reflect high standards of scholarship, sportsmanship, fair play, integrity, and concern for the individual.

(b) The intercollegiate athletic program of the institution shall be conducted in accordance with the constitution and bylaws of the alliances and/or conferences of which the institution is a member, and the rules, policies, and directives of the Board of Higher Education and institution.

(c) Student athletes participating in the intercollegiate athletic program of the institution shall be required to:

(i) Maintain such academic standards as established by the institution for all students;

(ii) Comply with the eligibility require­ments of the institution as a prerequisite for participation in its intercollegiate athletic programs;

(iii) Demonstrate high standards of sportsmanship and fair play, while participating in an intercollegiate athletic program of the institution;

(iv) Refrain from participation in an intercollegiate athletic program of the institution when existing injuries and/or physical impairments would jeopardize the student athlete's health and welfare; and

(v) Deport themselves in a manner which brings credit to themselves, their teammates, and the institution.

(d) A head coach of an intercollegiate athletic program is required to maintain such discipline as necessary to assure that student athletes and coaches in that sport maintain high standards of sportsmanship, fair play, and integrity; encourage high standards of scholarship for student athletes; establish and maintain high standards regarding the welfare of student athletes; and adhere to the principles of nondiscrimination.

(e) Coaches in the intercollegiate athletic program of the institution are required to maintain high standards of sportsmanship, fair play, and professional integrity; encourage high stan­dards of scholarship for student athletes; and adhere to principles of nondiscrimination.

(f) Each individual performing administrative, promotional, public relations, or related functions in the intercollegiate athletic program of the institution is required to demonstrate high standards of professional conduct; encourage high standards of sportsmanship, fair play, professional integrity and scholarship; establish high standards regarding the welfare of student athletes; and adhere to the principles of nondiscrimination.

(g) The following is proscribed conduct for each head coach, assistant coach, and individual performing administrative, promotional, public relations, or related functions in the intercollegiate athletic program of the institution:

(i) Using the position with the institution to obtain financial gain, other than official institution salary or reimbursement of expenses and honoraria from either institution or non-institution sources, unless prior approval is obtained from the institution president;

(ii) Using the position with the institution to obtain financial gain for any member of the household or for any business with which the employee or any member of the employee's household is associated;

(iii) Engaging in any outside activity which substantially interferes with the employee's responsibilities in the intercollegiate athletic program of the institution;

(iv) Accepting any employment outside the institution involving time or honorarium without the prior approval of the institution president;

(v) Accepting gifts, as defined in ORS 244.020(5), from any source, including but not limited to, professional sports organizations, private businesses, or athletic "boosters";

(vi) Receiving, or influencing directly or indirectly, awards of prizes of value from any institution-operated or affiliated promotional activity asso­ciated with the intercollegiate athletic program of the institution;

(vii) Using institution buildings, facilities, services, or grounds for personal or private gain, without the prior written authorization of the institution president;

(viii) Using, or permitting the use of the name of the institution or any emblem of the institution in commercial or personal promotional activities, except by the prior written authorization of the institution president;

(ix) Violating the constitution and bylaws of an alliance or conference in which the institution holds membership, particularly those provisions pertaining to recruiting of student athletes, financial aid for student athletes, eligibility of student athletes, and extra benefits for student athletes;

(x) Engaging in, encouraging, or permitting the physical or mental abuse or harassment of student athletes;

(xi) Permitting student athletes who have not been certified for competition by a medical physician prior to a sports season to participate in the intercollegiate athletic program of the institution;

(xii) Permitting, requiring, or encouraging a student athlete who is injured, or otherwise physically or mentally impaired, to participate in the intercollegiate athletic program of the institution without authorization from a physician or authorized athletic trainer;

(xiii) Permitting, encouraging, or engaging in abuse or harassment of game officials, game opponents, or spectators while participating in an intercollegiate athletic program of the institution;

(xiv) Encouraging, aiding, or abetting, including acts of omission, any individual, including non-institution persons, to engage in conduct proscribed by the alliance or conference in which the institution holds membership and the Administrative Rules, policies, and Internal Management Directives of the Oregon State Board of Higher Education and the institution.

(h) Any coach, head coach, or individual performing administrative, promotional, public relations, or related functions in the intercollegiate athletic program of the institution should strive to be perceived as an ethical leader, and, therefore, should avoid the appearance as well as the fact of impropriety.

(i) Waivers

The institution president retains the sole prerogative and authority for authorizing exceptions in writing to the provisions contained herein.

(j) Compliance and Sanctions for Violations

Individuals violating the provisions of this code of ethics may be subject to sanctions for cause.

For student athletes participating in the intercollegiate athletic program of the institution who violate the provisions contained herein, the sanctions for cause may include loss of eligibility for a period of time prescribed by the institution Faculty Athletic Representative. The institution may impose sanctions in addition to loss of eligibility pursuant to the provisions of the student conduct code of the institution.

For coaches or for intercollegiate athletic administrators, sanctions for cause include but are not limited to oral or written reprimand, suspension with pay, suspension without pay, or termination, as determined by the institution president.

(k) Contract and Policy Distribution

This policy for intercollegiate athletics, in­cluding the Code of Ethics, shall be attached to the Notice of Appointment for coaches, athletic administrators, and other personnel associated with the intercollegiate athletics program as well as distributed to and dis­cussed with all student athletes.

Chapter/Volume: 
Original Source: 
Internal Management Directive

Finance and Business Affairs

Responsible Office: 

For questions about this policy, please contact the Office of the Vice President for Finance and Administration at (541) 346-3003 or vpfa@uoregon.edu.

Enactment & Revision History: 

Became a University of Oregon policy by operation of law on July 1, 2014. 

Former OUS Internal Management Directive Section 6.

Policy: 

SECTION 6 - FINANCE AND BUSINESS AFFAIRS

Accounting Policies

6.001 Assignment of Responsibility

Subject to review and modification by the Chancellor or the Board, the Vice Chancellor for Finance and Administra­tion shall be responsible for:

(1) Developing detailed regulations applicable to creation and maintenance of accounting policies, records, and reports.

(2) Providing central fiscal and accounting services, including payroll accounting, property accounting, and disbursement of state, federal, and all other funds under Board control.

(3) Auditing and reviewing institutional and other unit accounting procedures and records to assure conformity with statutes, Administrative Rules, Board policies, and accepted accounting principles and procedures.

(4) Preparing accounting and other financial reports, including a comprehensive, annual report of Department assets, liabilities, reserves, income, expenditures, and balances.

6.002 Institutional Responsibility

The institutions and other Department administrative units shall maintain accounting records and related documentation in such form and detail as required by the Office of Administration and may maintain additional records deemed essential to effective institutional administration.

6.003 System of Accounting Records and Reports

Department accounting records and reports shall be in conformity with generally accepted accounting principles for higher education institutions and hospitals and shall be designed to meet institutional requirements for information to facilitate effective management and to discharge the Department's fiduciary responsibility to the people of the state.

6.004 Cash Funds (Repealed 06/18/14)

6.005 Cash Receipts

Cash receipts shall be deposited promptly in accordance with requirements established by the Vice Chancellor for Finance and Administration.

6.006 Working Funds

The Vice Chancellor for Finance and Administration must authorize the use of revolving funds and petty cash funds, as necessary, for Department activities. Prior approval for deposit of such funds in commercial banks must be obtained from the Vice Chancellor for Finance and Administration.

6.008 Disbursements

The Vice Chancellor for Finance and Administration shall establish procedures to assure that Department funds are paid out only for lawful purposes and in accordance with Board policies.

Budget Policies

6.050 Institutional Responsibility

In accordance with instructions from the Vice Chancellor for Finance and Administration or a designee, the institutions, divisions, and statewide services shall provide detailed descriptions of their biennial plans and programs and the resources required for them.

6.051 Special Requirements

(1) All auxiliary enterprise and service activities shall be budgeted separately from Education and General activities and shall receive no subsidy from state funds, except as otherwise permitted by Board Administrative Rule or established by Board's Office fiscal directives. However, joint use of auxiliary facilities for instruction and related activities may be accounted for by means of proportionately funded support from Education and General Services resources.

(2) Alumni associations may be subsidized only to the extent of providing office space and funds to maintain alumni records necessary for Department requirements.

6.052 Budget Development Process

The Chancellor shall review the biennial budget requests developed by the institutions, divisions, and statewide services, conferring with other Department personnel as necessary, before submitting recommendations for Board consideration.

6.053 Annual Operating Budget--Board Approval

(1) No funds appropriated or limited in their expenditure by the Legislature may be authorized for disbursement by an institution, division, or statewide service, unless approved by the Board as a part of the annual budget plan, except as delegated to the institution or public service executives or the Chancellor.

(2) Transfers between funds or institutions not anticipated in the budget require Board approval unless otherwise delegated to the Chancellor for approval.

6.054 Annual Operating Budget Planning

(1) Consistent with legislative appropriations and Executive Department allotments, the Vice Chancellor for Finance and Administration shall develop plans for the annual operating budget pursuant to Board policy and the Chancellor's instructions.

(2) Institutions, divisions, and statewide services shall provide such assistance in developing the annual operating budget as the Executive Vice Chancellor deems necessary.

6.056 Annual Budget Adjustments

(1) Each president, division head, or statewide service executive is personally responsible for maintaining expenditures within limits established by the annual operating budget approved by the Board.

(2) Presidents, division heads, and statewide service executives may make transfers within budget accounts.

(3) Presidents, division heads, and statewide service executives may make transfers between budget accounts provided that such transfers do not exceed the total budget authorization of the institutions and divisions and provided that they conform to budget limitations.

(4) The Chancellor is authorized to:

(a) Determine the distribution of unallocated Board funds reserved for designated purposes.

(b) Reallocate budgeted allocations among institutions when required to accommodate changes in accounting processes, implement revised fiscal policies, make corrections, or other such adjustments which contain no policy or program decisions requiring Board consideration.

(c) Allocate adjustments in the appropriations and expenditure limitations approved by legislative authority.

(d) Approve reductions in budget plans when resources are projected to be inadequate to support authorized expenditure levels.

6.057 Balances in Budget Accounts (Repealed on 12/10/14)

6.058 Equipment Replacement Account (Repealed on 12/10/14)

6.060 Education and General Facilities Maintenance and Repair—Guidelines

Beginning with fiscal year 1987-88, and for each year thereafter if the Legislature provides the funds, each institution shall budget in its annual operating budget, in a separate -050- account entitled Facilities Maintenance and Repair, an amount no less than three-quarters of 1 percent of its Education and General Building replacement value as reported for Restoration Fund purposes. The funds so budgeted cannot be transferred from this account or expended for any purpose other than facilities maintenance and repair without prior approval by the Board. Unobligated budget balances remaining at the close of a fiscal year may be carried forward for facilities maintenance purposes to the next fiscal year; however, any balance carried forward cannot be considered as a part of the three-quarters of 1 percent maintenance and repair requirement for that fiscal year.

Investment Management

6.105 Assignment of Responsibility (Repealed 06/18/14)

6.110 Voting Stock Ownership (Repealed 06/18/14)

6.115 Custody of Board Securities (Repealed 06/18/14)

6.125 Delegation of Investment Authority (Repealed 06/18/14)

6.130 Reports on Investments (Repealed 06/18/14)

6.140 Endowment Fund Investments (Repealed 06/18/14)

6.141 Accounting (Repealed 06/18/14)

Licensing, Patent, Educational, and Professional Materials Development, and Copyright Policies and Procedures

6.205 Application of Policies and Procedures

The policies for licensing, patents, educational and professional materials development, and registration of copyrights apply to all Department of Higher Education employees whose work-related assignments, regardless of location, might enable them to develop new knowledge which was conceived purposely or fortuitously. The policies also apply to other persons using institutional facilities, personnel, or other resources.

6.210 Definitions

(1) Inventions or technological improvements to which these policies apply include any new and useful process, machine, device, manufacture, or composition of matter, and any new and useful improvements.

(2) Educational and professional materials to which these policies and procedures apply are those used or distributed primarily for the formal or informal instruction or education of professional or general students. Such materials may result from the instructional, research, or public service activities of employees.

(3) Materials to which these policies and procedures apply are exemplified by:

(a) Writings, lectures, study guides, books, text­books, journal articles, glossaries, laboratory manuals, proposals, musical or dramatic compositions, listings, tables, charts, graphs, fig­ures, manuals, codes, software, unpublished scripts, and programmed instructional materials.

(b) Video and audio recordings, live video and audio broadcasts, cassettes, tapes, films, filmstrips, slides, transparencies, and other reproductions and visual aids.

(c) Computer programs and computer-assisted courseware.

(4) Inventor(s) means the individual(s) who first conceived the idea, invention, or technological improvement.

(5) Author(s) means the individual(s) responsible for primary subject-matter guidance and development of educational and professional materials.

(6) Material is said to be in the public domain if it is not protected by common law or statutory copyright and, therefore, is available for copying without infringement.

(7) Publication occurs when by consent of the copyright owner, the original or tangible copies or phonorecords of a work are sold, leased, loaned, given away, or otherwise made available to the general public, or when an authorized offer is made to dispose of the work in any such manner, even if a sale or other disposition does not in fact occur.

(8) The term "owner" refers to the party who owns or controls the copyright and who has the right to sell, assign, distribute, or license the use of such material.

(9) Board- and institution-assisted effort is individual effort that involves institution and Board support in the form of significant personnel time, facilities, or other resources.

(10) Sponsored effort is institution-assigned effort, and assignment, among others, to conduct research and to develop materials, with substantial or all of the personnel time, facilities, or other resources for the assignment being provided by the institution and Board, or an outside sponsor such as a federal agency or private corporation.

6.215 Rights to Inventions, Technological Improvements, Educational, and Professional Materials

(1) The Board reserves the ownership rights to all institutional work‑related inventions, and to educational and professional materials developed with institutional resources, including the right to a free and irrevocable license for usage, and if desired, the licensing for use by others. The foregoing does not preclude an institution employee from granting copyright privileges to the publisher of a scholarly or professional journal when no compensation or royalty is involved.

(2) Educational and professional materials shall be considered as having been developed in the course of employment in those cases when the individual was employed for the specific purpose of preparing or producing the material, or was specifically directed to develop the material as part of general employment duties and responsibilities.

(3) Lecture notes and other materials prepared by academic staff in connection with a teaching assignment and with only incidental use of institutional facilities, funds, staff, and other resources normally shall be viewed as flowing from individual effort and initiative and shall not be construed as having been produced in the course of discharging the obligations of employment.

(4) Funds and facilities provided by governmental, commercial, industrial, or other public or private organizations, but administered and controlled by the institution and Board, shall be considered to be funds and facilities provided by or through the institution and Board.

(5) If it is determined that inventions or materials developed are not related to work or to an assigned project and that development involved no or minimal use of institutional funds or facilities, or that the material developed is incidental to the individual's work assignment, or that the institution and Board have no right, vested interest, or claim in an invention, and the institution decides to forego the licensing or patenting of an invention or the publishing and copyrighting of the material, the president or designee may recommend to the Vice Chancellor for Finance and Administration or a designee that the Board's interest and rights be waived, and that a statement be issued which waives any institution or Board claim. Such a waiver may be granted only if pre-existing commitments to sponsoring agencies have been cleared. Upon receipt of such waiver, the inventor or author shall be free to take such further steps as desired. In the case of an invention, however, the institution has usually provided substantial laboratory, supply and equipment support. Therefore, the president or designee will normally recommend the execution of a limited release only after the institution has exhausted efforts to license or patent the invention. This release enables the inventor to exploit the invention and recover reasonable exploitation, licensing, and patenting costs related thereto and a sum up to $10,000 out of the royalty income receipts, with the inventor and the Board sharing equally in the balance of the net royalty income.

(6) Except as provided above, the ownership rights to all forms of educational and professional material in the form of books, musical or dramatic composition, architectural designs, paintings, sculptures, or other works of comparable type developed by institution and Board employees, either in conjunction with or aside from their employment, shall accrue to the author, unless the material is prepared in compliance with contractual provisions or as a specific work assignment, or significant institutional and Board resources were utilized. An academic staff person's general obligation to produce scholarly works does not constitute such a specific institution or Board assignment.

6.220 Research and Development of Inventions and Materials with Outside Organizations

(1) In accepting grant and research funds from governmental, nonprofit and commercial agencies, the institution and researcher shall agree to the conditions in the agreement with the sponsoring agency pertaining to licensing, patent policies, and ownership of all copyrightable material conceived and developed in the course of work required by the agreement. Such agreements shall normally include provisions enabling the institution to publish the findings of research and rights to take title to patentable inventions, discoveries, and educational and professional materials arising from the work performed. In the absence of such agreement or terms, the products shall be the property of the institution and Board.

(2) At the time any sponsored assignment is made and when inventions, new technology, or materials subject to copyright may be expected to be produced, affected institutional staff are to be advised of copyright limitations and rights to inventions imposed by extramural sponsors as well as institutional and Board policies and procedures regarding the same.

(3) In cases where it appears in the interest of the Board, institution, inventor, and sponsor, and upon the recommendation of the president or designated administrator, the Vice Chancellor for Finance and Administration or designee may grant rights to the sponsor, including the right to acquire a proprietary interest in and to any invention or patent developed during the sponsored research project.

(4) When an invention is developed in the course of sponsored research, the sponsor may be granted a non-exclusive license for its own use and, only if appropriate, an option to acquire a limited term, royalty-bearing, exclusive license to such invention.

6.225 Disclosure of Inventions and Copyrightable Materials

(1) Employees and any other persons who conceive or develop inventions or technological improvements while engaged in activities utilizing institutional resources shall report the findings on a Department of Higher Education standard disclosure form to, and confer with, the institutional committee, or person designated by the president to administer licensing, patent, educational and professional materials development and copyright policies and procedures. The purpose of the disclosure of an invention or materials developed is to enable the institution to determine potential for licensing, patenting, publishing, and registering of copyright, and the equities of the inventor, author, institution, and Board. Disclosure of details of an invention that might jeopardize the licensing or patent potential may be delayed until the committee or president designee has acted.

(2) If it is determined that the Board and institution have vested interest and claim in an invention, the inventor shall enter into a standard Department of Higher Education Licensing and Patent Assignment Agreement. The agreement shall be prepared initially at the institution.

6.230 Agreement To Assign Rights

(1) As part of the acceptance of the Notice of Appointment, each academic employee is obligated to comply with conditions of employment including agreement to assign rights to inventions conceived and materials developed while employed by the institution.

(2) In cases where a Notice of Appointment is not used, and the employee's work involves potential for discovery or invention, the employee shall execute a standard Department of Higher Education Agreement to Assign Invention, Licensing, and Patent Rights prepared at the institution.

6.235 Administration of Policies and Procedures

(1) The Board delegates to the Vice Chancellor for Finance and Administration or designee authority to work with each president or designated administrator to obtain licensing, production, and publishing agreements and patents, develop and approve forms used in administering licensing and patent policies, and execute all types of agreements, waivers, releases, and net royalty distribution agreements.

(2) Each institution and the Board reserve the sole right to make agreements with sponsoring agencies and to include therein provisions regarding ownership and disposition of rights in inventions and materials deemed to be in the interest of the institution, Board, and public.

(3) The president is responsible for informing employees regarding Board licensing, patent, educational, and professional materials development, and copyright policies and procedures. The president may delegate this responsibility to a committee or an administrator.

(4) The duties of the president, committee or a designated administrator shall be:

(a) To protect confidentiality of the inventor's or author's disclosure.

(b) To counsel with the inventor or author, examine the invention or materials disclosure, and appraise the equities of all concerned parties. If it is determined that the institution and Board have no rights, vested interest, or claim, the committee or administrator shall recommend that the president seek a release or waiver for the inventor or author.

(c) To counsel with the inventor or author concerning Board policies and procedures applicable to the invention or material, and with policies of sponsoring agencies, if any, and to assist with compliance.

(d) To recommend to the president options for maximizing public, Board, institution, and inventor or author benefits when seeking licenses, patents, and publishing agreements. Such action shall be preceded by the execution by an inventor of a Licensing and Patent Assignment Agreement initiated at the institution.

(e) To recommend to the president appropriate action pertaining to the invention or material within 60 days after its disclosure.

(5) When institutional facilities are utilized on a reimbursable basis to develop educational or professional materials or to conduct research on an invention, an agreement shall be prepared and recommended by the president or designee to the Vice Chancellor for Finance and Administration or designee. Such agreement shall be executed in advance of use of the facilities and shall set forth the understanding regarding the use of facilities, ownership rights, and financial arrangements.

6.240 Determination of Equities

In determining equities relating to ownership rights in an invention or material, institutional personnel and the Vice Chancellor for Finance and Administration or designee shall follow these guidelines:

(1) Consideration shall be given to the equity of all parties in light of circumstances surrounding the development of the new knowledge.

(2) If an invention or material is deemed to be the result of joint efforts, an agreement shall be reached among the inventors or authors, institution, and Board for distribution of any royalties. The total of net royalty income paid to all inventors or authors shall not exceed the maximum percentage of net royalty income that Board policy allows to be distributed to a single inventor or author.

(3) In the event an agreement cannot be reached regarding the amount of equity of each party and subsequent distribution of net royalty income, the president shall recommend resolution to the Vice Chancellor for Finance and Administration after having taken affirmative steps to assure thorough consideration of the equities of all parties.

6.245 Commercialization of Inventions

(1) The Board encourages the president to assist the invention commercialization process to the extent that the invention contributes toward fulfillment of the institution's mission. Resource allocation for licensing, patenting, and technology transfer, however, is the responsibility of the president.

(2) The president, designee, or appointed committee shall counsel with inventors to determine how to make the invention available to industry and the public in an effective and non-discriminatory manner, to obtain reasonable royalties for use in furthering institutional education and research objectives, and to reward the inventor through participation in net royalty income received.

(3) When feasible, the president or designated adminis­trator shall recommend that the Vice Chancellor for Finance and Administration grant non-exclusive, royalty-bearing licenses to all qualified organizations. Exclusive licenses may be recommended if it is determined that such a license is required in the best interest of the public, Board, institution, and inventor in order to encourage marketing and eventual public use of the invention.

(4) Before granting an exclusive license, a bona fide effort shall be made by the institution to apprise qualified organizations known to be interested in the subject matter of the invention and in developing the invention through a non-exclusive license.

(5) When it is deemed appropriate to grant an exclusive license, the length of exclusivity shall be limited to that time deemed necessary to provide the licensee with the necessary incentive and opportunity to market the product and recover developmental costs, usually not more than five years from the date of first commercialization of the invention, or the issuance of a patent, whichever comes first, and a non-exclusive license for the life of the patent. Exclusive licenses may include the right of the licensee to sublicense others. The Vice Chancellor for Finance and Administration and the Chancellor may approve exceptions to the length of exclusivity, when justified and recommended by the institution.

(6) Licensing and sponsored research agreements shall include provisions:

(a) Prohibiting the use of the name of the researcher, institution, and Board, either directly or implied, in any advertising relating to the commercialization of the product or process or in supporting evidence provided in prospectus literature, and the use of any statements which imply approval of the licensee's or sponsoring agency's marketing techniques, business objectives, or relationships with wholesalers, retailers, or consumers. Exceptions to this policy require Board approval.

(b) Indemnifying the institution against any and all claims, demands, damages, costs, and other related items arising from the manufacture, use, or sale of the licensed invention or process, and, whenever possible, from any liability for damages resulting from a final judicial determination that such commercial utilization of the invention constitutes an infringement of any third party patent.

(c) Allowing the institution to produce and use the invention or process for its own educational or research purposes.

(d) Allowing the institution and inventor to publish the findings of research and to continue with research related to the process or invention including publication of future findings.

(e) For receiving or examining accounting records maintained by the licensee and any sub-licensees.

(f) For removing licensing rights and terminating the agreement should the licensee fail to develop and market the product within a reasonable time.

6.250 Distribution of Royalties

(1) The Vice Chancellor for Finance and Administration or designee, upon the recommendation of the president, shall act on behalf of the Board to conclude agreements to share net royalty income accruing to the Board from licensing and patent agreements, and from the sale, lease, or licensing of materials outside the institution.

(2) Agreements involving the sharing of net royalty income shall be initiated in writing at the institution and recommended by the president or designee to the Vice Chancellor for Finance and Administration or designee for review and approval. In determining disposition of income, due consideration shall be given to the equity of all parties in the light of all circumstances surrounding the development of the invention or material.

(3) Prior to distribution of any royalty income, the Vice Chancellor for Finance and Administration or designee shall require deduction from gross royalty income, of all institutional expenses and reasonable costs incurred in developing the invention or material, expenses incurred in enforcing or defending any patent, copyright litigation, licensing, interference, and marketing costs attributable to the invention or material, as well as any other expenses deemed necessary to recoup.

Gross royalty income minus all such costs and expenses constitutes net royalty income.

(4) The maximum net royalty income that may be distributed to the inventor shall be 40 percent of the first $50,000 of net royalty income received by the Board, 35 percent of the next $50,000, and 30 percent of all additional net royalty income.

(5) The maximum net royalty income that may be distributed to the author shall be 50 percent of the net royalty income received by the Board.

(6) Net royalty income received by the Board, less the amount distributed, if any, shall be dedicated to the institution of the inventor, or author, subject to the limitation of ORS 351.250. The use made of such net income shall be at the discretion of the president, subject to Board-established budget policy.

(7) If the originator and developer of an invention or author of material cannot be determined, or if the inventor or author waives any claim to net royalty income, the percent share of royalties intended for such person may be distributed, upon recommendation of the president or designee, to the originating department, laboratory, or center at the institution.

6.255 Copyright Registration Procedures

In establishing copyright registration procedures, institutional personnel and the Vice Chancellor for Finance and Administration or designee shall follow these guidelines:

(1) All educational and professional materials developed with significant Board and institution-assisted effort shall be registered for copyright, at the option of the institution and Board, in the name of the institution and Board. The institution and Board shall provide for disclosure of appropriate credits and shall counsel with participating employees regarding presentation of materials.

(2) Educational and professional materials developed with minimal Board- or institution-assisted effort should be registered for copyright, if at all, in the name of the author. The author and the president or his designated representative will agree upon the cost of institutional support for such effort, and the author will reimburse the institution for such costs out of royalties received from the registered materials.

(3) Materials developed under sponsored assignments should be registered for copyright, if at all, in the name of the institution and the Board, with appropriate acknowledgment to the author. The institution and author are obligated to adhere to any publication rights included in agreements made with grant or contract sponsors.

(4) Educational and professional materials developed solely by individual effort shall be registered for copyright, if at all, in the name of the author. All rights, including those to royalties, reside with the author.

Financing Reserves for Repair or Replacement of Depreciable Assets of Auxiliary Enterprise and Other Self-Liquidating Activities

6.350 Building/IOTB Repair and Equipment Replacement Reserves for Auxiliary Enterprises and Other Self-Liquidating Activities

(1) Auxiliary enterprises and other self-liquidating activities shall maintain building/IOTB repair and equipment replacement reserves for the purpose of funding the cost of repairs or replacement of depreciable assets. Such reserves should be sufficient to promote the efficient and effective operation of the related operating unit, avoid significant fluctuations in fees charged for services, and minimize the potential for unanticipated financial shortfalls that may impact the other funds of the institution.

(2) Each auxiliary enterprise and other self-liquidating activity shall determine the appropriate level of repair reserves for buildings and improvements other than buildings (IOTBs) and equipment replacement reserves based on a capital asset management plan (Plan) that is prepared/updated at least annually and approved by the institution’s vice president for finance and administration or designee. The Plan required under this provision will be based on a minimum five-year planning horizon and will assess the repair or replacement needs of each asset or asset class and include an analysis of the annual funding necessary to accumulate the funds required to execute the plan. When preparing/updating the Plan, consideration should be given to the availability of interest earnings on reserves of auxiliary enterprises in order to maximize the benefits of setting aside reserve funds. The Plan required under this section must be retained for audit purposes.

(3) Each auxiliary enterprise and self-liquidating activity with capital assets of $150,000 (recorded cost) or more will prepare and retain the capital asset management plan (Plan) referred to in section (2) above. Should the Plan indicate the need for building/IOTB repair and/or equipment replacement reserves, a fund should be established for those purposes (if not already established) and funded accordingly. Institution-specific policies will determine whether activities with less than $150,000 (recorded cost) of capital assets will prepare a Plan and establish and fund any reserves.

(4) Generally, building/IOTB repair and equipment replacement reserves may not be used for any other purpose than to repair or replace capital assets used in the operation of the related auxiliary enterprise or other self-liquidating activity. Consideration should be given to statutory requirements (see section (6) below), applicable federal cost requirements, and the source of funding before authorizing the use of building/IOTB repair and equipment replacement reserves for any other purpose. Authorization for such other use may only be granted by the institution’s vice president for finance and administration or designee and must be documented and retained for audit purposes.

(5) Pursuant to ORS 351.615, only building repair and equipment replacement reserves of auxiliary enterprises may be credited to the Higher Education Auxiliary Enterprise Building Repair and Equipment Replacement Fund (Fund). Reserves for the repair or replacement of other depreciable assets (IOTBs) of auxiliary enterprises may not be credited to the Fund. Monies deposited in the Fund may not be used for any other purpose than for the repair and alteration of auxiliary enterprise buildings and the replacement of auxiliary enterprise equipment. No repair/replacement reserves of service departments or any other self-liquidating activities may be credited to the Fund.

(6) Except as otherwise provided, exceptions to the requirements of sections (1) through (5) may be granted by the Vice Chancellor for Finance and Administration or designee.

Fiscal Management of Auxiliary Enterprises and Other Self-Liquidating Activities

6.500 Policy for Education-Related Business Activities

The primary mission of the institutions within the Oregon University System is the creation and dissemination of knowledge. To carry out this mission, institutions do engage in education-related business activities, i.e., activities which enhance, promote, or support instruction, research, public service, or other education-related activities where goods or services being sold or rented are directly and substantially related to an educational or research program.

The Board affirms that all institution education-related business activities shall meet the following conditions:

A. The activity is deemed to be an integral part of, and directly and substantially related to, the fulfillment of an institution's instructional, research, public service, or other education-related mission.

B. The activity is operated for the primary benefit of the students, staff, and faculty associated with and served by the institution or its affiliated units. The activity is needed to provide goods or services at a reasonable price, on reasonable terms, and at a convenient time and location. Sales or rental of services and products to on-campus visitors and campus conference participants are considered incidental to the purpose of these activities.

Some typical products, services, and facilities provided at or in close proximity to an institution to meet the needs of its constituents are instruction-related materials; housing and food services; student health services; and athletic, cultural, and recreational activities; including the facilities where such products and services are provided.

In furtherance of education-related business activities, institutions shall provide for the following:

(1) When determining whether any particular education-related business activity should be provided by an institution, institutional presidents or their designees shall consider whether the activity is currently and adequately provided by private businesses. If the services of private businesses are considered adequate but the activity is nevertheless deemed important to be provided by the institution, the institution president or designee shall state in writing its justifications for providing the activity. A copy of the statement shall be submitted for review to the Vice Chancellor for Finance and Administration or designee.

(2) To ensure recovery of direct costs of engaging in the education-related business activities, institutions shall charge students, faculty, staff, campus conference participants, and the public to participate in institutional events, for the purchase of the goods or services, and for the rental of any facilities. An institution president may waive charges for selected education-related business activities.

(3) An institution may make its services and facilities available to nonprofit or community organizations without recovering all direct costs, provided there is sufficient inventory or capacity. An institution may also make its services and facilities available to for-profit community businesses and organizations provided there is sufficient capacity and availability. Charges to profit-making organizations shall cover the direct and indirect costs of the use of the facilities and services provided. Services, products, and facilities may similarly be provided to federal, state, and political subdivisions, subject to negotiated charges, terms, and conditions.

(4) An institution may promote and market in off-campus public media only those services and events which are of interest to the general public, such as cultural presentations, intercollegiate athletics contests, and educational programs.

(5) Following approval by the institution president to provide goods, services, and facilities referenced above, the institution shall adopt a fee schedule or, in cases where prices fluctuate, a pricing markup policy for those services, products, and facilities.

6.510  Responsibilities and Authorities

(1) The Vice Chancellor for Finance and Administration, or designee, is responsible for establishing and maintaining Systemwide fiscal policies and monitoring and reporting processes; and reporting to the Board as needed regarding compliance with fiscal policies and fiscal results.

(2) Each institution president, or designee, is responsible for establishing and maintaining institution-specific fiscal policies and monitoring and reporting processes; reporting to institutional management and the Chancellor’s Office as required regarding compliance with fiscal policies and fiscal results; and strategic planning and operational management.

6.520 Budgeting for Auxiliary Enterprises and Other Self-Liquidating Activities

(1) Each institution shall prepare and submit budgets for auxiliary enterprise and other self-liquidating activities (housing, student centers, intercollegiate athletics, health services, parking, bookstores, other rentals, other auxiliaries, service departments, designated operations) as a part of the annual operating budget development process.

(2) The budgets shall be prepared based on the flow of economic resources measurement focus as required for financial reporting by the Governmental Accounting Standards Board.

(3) The budgets shall conservatively anticipate income from user fees and other sources to provide for all operating expenses (including depreciation) and for the establishment and maintenance of bond sinking funds, including the repayment of any outstanding obligations, the establishment and maintenance of building/IOTB repair and equipment replacement reserves, and the elimination of prior year cash overdrafts and/or negative net asset balances, subject to policies governing service departments approved by the institution’s federal cognizant agency. If income has been or appears likely to be insufficient for these purposes, the proposed budget shall identify the sources from which needed resources are required to eliminate such deficiencies

(4) If any auxiliary enterprise or other self-liquidating activity ends a fiscal year with a cash overdraft, a negative working capital position, or a negative net asset balance, the institution will submit a revised budget plan for eliminating the cash overdraft(s), the negative working capital position, and/or the negative net asset balance(s) to the Vice Chancellor for Finance and Administration or designee for approval. If the Vice Chancellor for Finance and Administration or designee determines that the cash overdraft(s), negative working capital position, and/or negative net asset balance(s) are material, the revised budget plan will be submitted to the Board for approval after consultation with institution management.

(5) Exceptions to the requirements of sections (1) through (4) may be granted by the Vice Chancellor for Finance and Administration or designee.

Chapter/Volume: 
Original Source: 
Internal Management Directive

Career Support Program for Unclassified Employees

Responsible Office: 

For questions about this policy, please contact the Office of the Vice President for Finance and Administration at vpfa@uoregon.edu.

Enactment & Revision History: 

Became a University of Oregon policy by operation of law on July 1, 2014. 

Former OUS Internal Management Directive 4.003.

Policy: 

Each institution should develop and maintain a career support program for unclassified employees. The plan should provide for periodic evaluation including consideration of appropriate performance indicators. The plan should also include the manner in which unclassified compensation is related to the results of the periodic evaluation and career support needs of individual unclassified employees.

Chapter/Volume: 
Original Source: 
Internal Management Directive

Faculty Career Support Program

Responsible Office: 

For questions about this policy, please contact the Office of the Senior Vice President and Provost at (541) 346-3186 provost@uoregon.edu.

Enactment & Revision History: 

Became a University of Oregon policy by operation of law on July 1, 2014. 

Former OUS Internal Management Directive 4.001.

Policy: 

(1) Each institution shall develop and maintain a faculty career support plan through appropriate institutional procedures that provide for input from appropriate faculty and institutional bodies.

(2) Institution programs shall include:

(a) Objectives;

(b) Periodic evaluation of faculty, including consideration of appropriate performance indicators;

(c) Specific delegations of responsibilities to academic administrators, peer groups, and individual faculty members;

(d) Specific steps that will be taken to provide career support for faculty members, taking into account stage in career, career development needs, identified performance strengths, and any areas identified for improvement;

(e) The manner in which faculty compensation is related to the results of the periodic evaluation and career support needs of individual faculty members.

Chapter/Volume: 
Original Source: 
Internal Management Directive

Internal Controls

Policy Number: 
IV.02.02
Reason for Policy: 

This policy is intended to ensure that the university has a strong system of accountability for and oversight of its operations.

Entities Affected by this Policy: 

All areas of the University of Oregon.                                                                                                              

Responsible Office: 

For questions about this policy, please contact the Office of the Vice President for Finance and Administration at (541) 346-3003 or vpfa@uoregon.edu.

Enactment & Revision History: 

Revisions approved by President Michael Schill on July 11, 2016.

Technical revisions enacted by the University Secretary on August 3, 2015.

Became a University of Oregon Policy by operation of law on July 1, 2014.

Former Oregon State board of Higher Education Policy.

Policy: 

The University of Oregon (UO) shall establish and maintain an effective system of internal controls. Internal controls are designed to reasonably assure that the UO meets its mission, promotes performance leading to effective accomplishment of objectives and goals, safeguards assets, provides accurate and reliable financial and other key data, promotes operational efficiency and economy, and encourages adherence to applicable laws, regulations and prescribed management policies and practices. Control activities, which occur throughout the organization at all levels and functions, help ensure that necessary actions are taken to address risks while achieving the institution’s objectives. The control model for the UO is the Integrated Framework of Internal Control as promulgated by the congressionally established Committee of Sponsoring Organizations (COSO).

GUIDING PRINCIPLES

The UO’s internal control and risk assessment practices shall help ensure that:

  1. University activities and operations function effectively and efficiently;
  2. University activities and operations comply with laws, regulations, policies, and standards;
  3. University processes result in accurate and reliable financial information and reports;
  4. University resources are adequately protected;
  5. Risks facing the university, including, but not limited to, strategic, operational, financial, compliance, and reputational, are routinely identified and assessed, and effectively managed;
  6. Control activities and other mechanisms are proactively designed to address and manage significant risks;
  7. Information critical to identifying risks and meeting the university’s mission and strategic objectives is communicated through established channels throughout the UO; and,
  8. Controls are monitored and identified problems are addressed in a timely manner.

DEFINITION OF INTERNAL CONTROL

A process, effected by the Board, president, leadership, and other personnel, designed to provide reasonable assurance regarding the achievement of objectives in the following categories:

  • Effectiveness and efficiency of operations
  • Reliability of financial reporting
  • Compliance with applicable laws and regulations

The components of internal control are:

  • Control Environment
  • Risk Assessment
  • Control Activities
  • Information and Communication
  • Monitoring

Further information about the control model used by the University, including information on the integrated framework and definitions, is available from the COSO website.

RESPONSIBILITIES

The President, through directed leadership, shared values, and a culture that emphasizes accountability, is ultimately responsible for ensuring that an effective control system is in place.  However, the execution and use of that control system is a shared responsibility and obligation.  All university employees are expected to maintain the control environment of the university by understanding and following all university policies, processes, and procedures.

Chapter/Volume: 
  • Volume IV: Finance, Administration and Infrastructure
  • Chapter 2: Audits

Pages

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