Department of Internal Audit and Compliance

Visiting Scholar Procedures

See Frequently Asked Questions for Hosting Visiting Scholars.

 

SUMMARIZED PROCEDURES

Visiting Scholars Present for Less Than Fourteen (14) Consecutive Days 

When an eligible UToledo employee wishes to host a Visiting Scholar for less than fourteen (14) consecutive days, they, as the Individual Host, and the Administrative Host must ensure compliance with the following, if applicable:

1. 1. Criteria for Designation as a proposed Visiting Scholar (Section I.B below)
   2. Submission of a fully executed External Financial Interest Disclosure Form by the proposed Visiting Scholar in the event the Visiting Scholar will be involved in the design, conduct, or reporting of sponsored projects or human subject research, whether funded or unfunded by an external sponsor.
   3. Submission of a Visiting Scholar Agreement
   4. International Visiting Scholars on a J-1 visa sponsored by UToledo cannot be hosted for less than three weeks
   5. Consultation with the UToledo Export Control Compliance Officer for all proposed international Visiting Scholars who are not on a J-1 visa sponsored by UToledo
   6. Responsibilities of Individual and Administrative Hosts and Applicable UToledo Departments (Section II) and
   7. Responsibilities and Privileges of Visiting Scholars (Section III)
   8. Submit completed requests for visiting scholars to AcademicFinanceandFacultyAdmin@utoledo.edu for final review and approval by the Provost’s Office. Along with sufficient information describing the visiting scholar experience and the host, please also attach the following information in a single message: (1) fully executed External Financial Interest Disclosure Form by the proposed Visiting Scholar in the event the Visiting Scholar will be involved in the design, conduct, or reporting of sponsored projects or human subject research, whether funded or unfunded by an external sponsor; and (2) Visiting Scholar Agreement. 

Visiting Scholars Present for Fourteen (14) Consecutive Days or More

When a UToledo employee wishes to host a Visiting Scholar for fourteen (14) consecutive days or more, the Individual Host and the Administrative Host must ensure compliance with the following:

1. 1. Criteria for Designation for the proposed Visiting Scholar (Section I.B)
   2. Joint issuance of a letter of invitation (a link to an example/template for an international Visiting Scholar can be found here and on the OISSS website). The Individual Host and the Administrative Host must jointly issue a letter of visitation to the proposed Visiting Scholar. All letters of visitation must comply with the Visiting Scholar letter of visitation requirements. A template for the letter of invitation and its required attachments (the Visiting Scholar Agreement and the External Financial Interest Disclosure Form) are contained in the subject links.
   3. Submission of a fully executed Visiting Scholar Agreement by the proposed Visiting Scholar
   4. Submission of a fully executed External Financial Interest Disclosure Form by the proposed Visiting Scholar in the event the Visiting Scholar will be involved in the design, conduct, or reporting of sponsored projects or human subjects research, whether funded or unfunded by an external sponsor during the visit
   5. Consultation with the Assistant Director of OISSS for all proposed international Visiting Scholars on a J-1 visa sponsored by UToledo
   6. Consultation with the UToledo Export Control Compliance office for all proposed international Visiting Scholars who are not on a J-1 visa sponsored by UToledo
   7. Responsibilities of Individual and Administrative Hosts and Applicable UToledo Departments (Section II) and
   8. Responsibilities and Privileges of Visiting Scholars (Section III)
   9. Submit completed requests for visiting scholars to AcademicFinanceandFacultyAdmin@utoledo.edu for final review and approval by the Provost’s Office. Along with sufficient information describing the visiting scholar experience and the host, please also attach the following information in a single message: (1) joint issuance of a letter of invitation (joint between the Individual Host and the Administrative Host); (2) Visiting Scholar Agreement by the proposed Visiting Scholar; and (3) fully executed External Financial Interest Disclosure Form by the proposed Visiting Scholar in the event the Visiting Scholar will be involved in the design, conduct, or reporting of sponsored projects or human subject research, whether funded or unfunded by an external sponsor.

 

DETAILED PROCEDURES

SECTION I – VISITING SCHOLAR DESIGNATION

A. VISITING SCHOLAR OVERVIEW

Individuals from other universities, institutions, or businesses who are granted access to UToledo facilities to provide instruction that is supervised by appropriate UToledo Personnel, to conduct collaborative research, or to observe UToledo instruction, administration or research including those who do not receive financial support from UToledo for their efforts beyond travel and/or expense reimbursement and/or an honorarium, where appropriate and applicable, must be recommended by an Individual Host. This would include, but not be limited to, personnel participating in clinical or other medical observations at UTMC or the Health Science Campus for an extended period.  These proposed visits must be approved by the Office of the Provost – for the designation of Visiting Scholars or the Dean of the applicable College, when requested for visits of fourteen (14) consecutive days or more.

B. CRITERIA FOR DESIGNATION

The designation of Visiting Scholar is appropriate for faculty from other academic institutions who are invited to UToledo during a period of sabbatical at their home institution. In addition, this designation is appropriate for qualified personnel from industry, government, or other organizations.

The following are the minimum eligibility criteria for a Visiting Scholar designation at UToledo:

1. 1. The proposed Visiting Scholar must be visiting from, and affiliated with, an external (U.S. or foreign) university, institution, or business.
   2. The proposed Visiting Scholar must have a minimum of a bachelor’s degree or equivalent.
   3. The Individual Host and the Administrative Host must agree to serve as the hosts of the proposed Visiting Scholar.  Section II of these procedures outline the responsibilities of the Individual and Administrative hosts.

Exclusions (Complete listing is in the Visiting Scholar’s Policy, 3364-xx-xxxx)

1. 1. University students (whether registered as degree or non-degree with their home institution)
   2. University postdoctoral scholars or fellows
   3. UToledo employees
   4. UToledo emeritus faculty
   5. Undergraduate students from other institutions

The following are the requirements once the individual is approved as a Visiting Scholar by the Office of the Provost:

1. 1. If the proposed Visiting Scholar intends to visit for fourteen (14) consecutive days or more, the individual must undergo a successful background check. (UToledo Policy 3364-25-47 Criminal background check). The background check must be completed prior to granting such Visiting Scholars access to UToledo facilities.
   2. If the proposed Visiting Scholar is intending to arrive on a J-1 visa sponsored by UToledo, additional criteria must be met. Please consult with the Assistant Director of the Office of International Students and Scholars (OISSS) to learn more about the minimum requirements for a J-1 visa.
   3. As a condition of their visit, Visiting Scholars may be required to obtain personal health insurance.  The Administrative Host is responsible for determining when personal health insurance is required for the Visiting Scholar and coordinating with the Scholar.  Information on student health insurance is accessible here.
   4. Completion of fully executed Visiting Scholar’s Agreement form.  A Visiting Scholar Agreement is a basic risk and liability contract for facilities users who are not UToledo employees or students.  This form can be required when personnel are to be trained to operate the equipment in UToledo user facilities.  The Visiting Scholar Agreement contains terms and conditions regarding background, status of user employees/agents, user safety, liability, insurance, warranties of user, confidentiality, and intellectual property.
   5. Consultation with the Office of Research & Sponsored Programs for screening for export control and other potential compliance concerns (International Visiting Scholars must conduct fundamental research only)

Requests for exceptions to the minimum eligibility criteria must be made in writing and submitted to the Office of the Provost for approval.

C. DURATION OF DESIGNATION

Visiting Scholar designations are usually for a maximum period of one year if the Visiting Scholar is not sponsored for a J-1 visa by UToledo.  Consistent with their responsibility for task-level coordination with the Visiting Scholar, upon recommendation of the Individual Host and approval by the Office of the Provost, Visiting Scholar designations may be renewed up to a full second year, although shorter extensions are possible. An extension beyond two years must be approved by the Dean of the College, where applicable, and the Office of the Provost and will be granted only for extraordinary and compelling reasons.

Visiting Scholar designations for those on a J-1 visa sponsored by UToledo are subject to the durational limits of their DS-2019 which can be for a minimum period of three weeks and a maximum period of five years.  Additional/Specific information on extending or renewing J-1 visas is accessible here.  The Visiting Scholar will need to contact OISSS at (419) 530-4229 to schedule a consultation regarding status extensions or visa renewals.

D. APPLICATION AND APPROVAL PROCESS FOR VISITING SCHOLARS

Upon review of all applicable documents and consultation with the applicable UToledo departments (e.g., Export Control Compliance, Office of Research and Sponsored Programs), the Office of the Provost will determine final eligibility of the proposed Visiting Scholar. If a proposed Visiting Scholar does not meet the requirements for approval, the Office of the Provost will notify the Individual Host and the Administrative Host.

If approved by the Office of the Provost, UToledo will designate the visitor a Visiting Scholar. The Office of the Provost will provide notice of final approval of the Visiting Scholar to the Individual Host, the Administrative Host, and any necessary and appropriate UToledo units. All Visiting Scholars accepted by UToledo for a period of fourteen (14) days or more must successfully complete UToledo background check before commencing the visit.

Extension of international visiting scholar employment:  Hiring departments must work with Human Resources (HR) when preparing to extend J-1 Visiting Scholar employment beyond the original appointment period. Departments must receive the appropriate appointing authority approval in writing based on unit structure before an extension of the DS-2019 may be considered by OISSS. Once appropriate approvals are obtained, the J-1 Visiting Scholar will be responsible for working with OISSS to obtain the DS-2019 extension.

E. DOCUMENTATION OF DESIGNATION

Regardless of the duration of the visit, all Visiting Scholar designations will be entered and maintained as part of the UToledo affiliate management process, as well as by the Administrative Host. The Office of the Provost also will maintain record of Visiting Scholar designations for visits to UToledo fourteen (14) consecutive days or more.

F. TERMINATION OF INTERNATIONAL VISITING SCHOLAR EMPLOYMENT

Termination of J-1 Visiting Scholar employment before end of original appointment period must receive appointing authority approval. It is necessary for the department to consult with Human Resources to ensure that appropriate protocols are followed and approvals are obtained, and must inform the Scholar and OISSS of Visiting Scholar termination in a timely manner (after all approvals are obtained).

SECTION II – RESPONSIBILITIES OF INDIVIDUAL AND ADMINISTRATIVE HOSTS AND APPLICABLE UTOLEDO DEPARTMENTS

A. INDIVIDUAL HOST

Regardless of the duration of the visit, the Individual Host is responsible for overseeing and facilitating the visit and ensuring that the visit concludes satisfactorily. The Individual Host must agree to provide ongoing oversight in conjunction with the Administrative Host for the full duration of the visit. For the purposes of this document, “oversight” includes (but are not limited to) coordinating with the Visiting Scholar, documenting Visiting Scholar tasks, determining whether those activities match what was intended by the Visiting Scholar visit, etc.  At the conclusion of the visit, the Individual Host is responsible for notifying the Administrative Host, the Assistant Director of OISSS (for those on J-1 visas), the Export Control Compliance Officer (for international visiting scholars not on J-1 visas) and/or the Provost's Office (for those visiting fourteen days or more) of the Visiting Scholar’s departure from UToledo. Failure to comply with these responsibilities may impact the ability of the Individual Host to host future Visiting Scholars.

Guidelines for hosting Visiting Scholars can be found here.

B. ADMINISTRATIVE HOST

The Administrative Host or their designee is responsible for obtaining the signature of the proposed Visiting Scholar on any required agreements or documents (e.g., Visiting Scholar Agreement or the External Financial Interest Disclosure form) for all Visiting Scholars and must ensure that all required documentation, if necessary, is prepared and submitted to the appropriate offices.

The Administrative Host is responsible for providing office and laboratory space for the Visiting Scholar, if appropriate, and for orienting the Visiting Scholar to applicable UToledo policies and UToledo resources.

The Administrative Host must ensure that authority for use of UToledo facilities or access to UToledo facilities is appropriate and issue the appropriate authorization letters, if applicable.  The Administrative Host will issue the authorization letters, or obtaining them from the various facilities, etc. that have the authority to authorize.  Also, the Administrative Host determines and obtains an electronic mail address if candidate’s visit will be 14 days or greater and determines an email account is necessary.

In addition, the Administrative Host is responsible for ensuring that the Visiting Scholar:

1. 1. Is familiar with the policies relevant to his/her area of study
   2. Receives all required UToledo training (e.g., health and safety for the facilities and equipment, if any, data security and privacy, and mandatory HIPAA training for Scholars with access to the University of Toledo Medical Center or clinical education)
   3. Understands that proprietary work for his or her home organization -- important, possibly sensitive information that his or her home organization owns, usually giving the home organization competitive advantage(s) in its market. (example:  co-authored papers with UToledo faculty members) -- may not be carried out in UToledo facilities during the visit, unless UToledo has entered into a written agreement with the visiting scholar and/or the visiting scholar’s home institution to perform such work (i.e., Visiting Scholar Agreement); and
   4. Obtains and returns all issued office or laboratory keys, the Rocket ID card (if one is issued – Section III), and all credentials upon completion of the visit (i.e., outstanding debts, exit interviews, library fees, University property, incomplete projects, release of access to personal network drive, etc.)

The Administrative Host is also responsible for ensuring that any concerns expressed about the Visiting Scholar or by the Visiting Scholar regarding the conduct of UToledo Personnel, student(s), or other Visiting Scholars are addressed in accordance with UToledo policies and procedures.

Guidelines for hosting Visiting Scholars can be found here.

C. GLOBAL PROGRAMS

Regardless of the duration or purpose of the visit, OISSS is responsible for reviewing all requests for any J-1 visa documents. Under the approval of the U.S. Department of Homeland Security, only the Responsible Officer or Alternate Responsible Officers within OISSS are authorized to issue DS-2019 documents for foreign nationals to obtain their J-1 visa.  This office is also responsible for enforcing compliance with federal rules and regulations. Please contact the Assistant Director of OISSS for details.

D. EXPORT COMPLIANCE OFFICE

Regardless of the duration or purpose of the visit, to comply with federal export control laws and regulations, and to comply with the provisions documented on the UToledo Export Control Compliance website, all proposed international Visiting Scholars are subject to an export review prior to arrival if they are not participating in fundamental research only.

The required export review will occur in one of the following two ways:

• • International Visiting Scholar on a J-1 Visa Sponsored by UToledo - For proposed international Visiting Scholars who will require and receive visa support or sponsorship from UToledo, the required export review will be completed as part of the established internal UToledo review process for such visa support or sponsorship.
  • International Visiting Scholar Not Requiring Visa Support from UToledo - All proposed international Visiting Scholars not requiring J-1 visas must request an international visiting scholar export review from the UToledo Export Control Compliance office at least thirty (30) days prior to arrival at UToledo facilities.

If, in the determination of the UToledo Compliance Analyst, Export Control, any proposed international Visiting Scholar covered under this policy creates a significant export compliance risk, the Compliance Analyst, Export Control, may, at his/her sole discretion, require internal approvals and assurances from the Individual and/or Administrative Hosts prior to approving such visits. The  Compliance Analyst, Export Control, reserves the right to withhold approval for any proposed international Visiting Scholar covered under this policy if, in his/her opinion, the visit would result in any violations or significant risk of any violations of U.S. export control laws or regulations or the proposed visit requires any license or approval which s/he determines is unlikely to be issued timely due to the nature of the applicable controls and/or limited time available to seek such license or approval. For more information about export reviews for proposed international visitors, please see the Export Control Compliance. website.

E. OFFICE OF RESEARCH AND SPONSORED PROGRAMS

Regardless of the duration of the visit, the Administrative Host for any proposed Visiting Scholar must ensure that the proposed Visiting Scholar complies with the requirements of UToledo Policy 3364-70-01, Financial Conflict of Interest, which includes submitting an External Financial Interest Disclosure Form to the Conflict of Interest Program in the Office of Research and Sponsored Programs in the event that the Visiting Scholar will be involved in the design, conduct, or reporting of sponsored projects or human subjects research, whether funded or unfunded by an external sponsor. The Office of Research and Sponsored Programs will notify the Office of the Provost on the review of disclosures submitted by Visiting Scholars, whether the disclosures have been determined to be financial conflicts of interest, and if so, details of documented management plans to mitigate the conflicts.  

SECTION III – RESPONSIBILITIES AND PRIVILEGES OF VISITING SCHOLARS

Regardless of the duration or purpose of the visit, a Visiting Scholar is subject to and required to observe all rules, regulations, and requirements of UToledo, and all applicable State and Federal laws, including, but not limited to, conduct, confidentiality, conflicts of interest, ethical behavior, responsible conduct of research, equal opportunity, compliance, safety, and health.

Visiting Scholar status is a privilege, not a right, and an individual holds this status at the discretion of UToledo. The status may be revoked at any time without cause (even during the term of the designated status) by UToledo in its sole discretion. Similarly, there is no right to a renewal of the status at the end of the visit’s term.  Note that appointment as a Visiting Scholar does not provide assurance or commitment of UToledo or the host department/college to subsequently provide opportunity for future employment, including instructional teaching, staff, or faculty positions.

The Visiting Scholar designation does not permit the use of UToledo resources, except in compliance with all UToledo policies, including, but not limited to, UToledo Policy on Research data and responsible conduct of scholarship and research (3364-70-02) and UToledo policy on Faculty consulting (3364-72-50).

Visiting Scholars who are not in J-1 status, are not employees of UToledo and, therefore, are not entitled to financial support, compensation, or other benefits (including discounts or health insurance, except as required by law for international Visiting Scholars only) available to UToledo personnel. Visiting Scholars, however, may be eligible for travel reimbursement, an honorarium, where appropriate and applicable, and/or expense reimbursement (but not direct payment of expenses by UToledo).

Visiting Scholars also are eligible for the following:

• • Access to UToledo facilities and resources (e.g., libraries, laboratories, etc.), as deemed appropriate by the Administrative Host and in accordance with UToledo policies. The Administrative Host is responsible for informing the Visiting Scholar prior to arrival about the approved access to UToledo facilities and resources.  Note that library access is only available to those with Rocket ID Cards (i.e., Visiting Scholars accepted at UToledo for a period longer than 30 days).
  • Office space, if deemed appropriate by the Administrative Host. The Administrative Host is responsible for issuing the appropriate office or laboratory key(s) and should be cognizant of the need to be cautious about issuing such access.  Upon the completion of the Visiting Scholar’s term at UToledo, the Administrative Host must collect all keys issued to the Visiting Scholar.  Administrative Hosts must also consider the effects of export control, conflict of interest, and other factors in its planning.
  • UToledo email address and IT Access, available only to those Visiting Scholars whose visits to UToledo are fourteen (14) consecutive days or more, the primary purpose of which is to enable Visiting Scholars to send and receive electronic UToledo correspondence. Upon completion of the Visiting Scholar’s term at UToledo, UToledo will disable the UToledo email address and all UToledo IT access assigned to the Visiting Scholar.
  • Rocket Identification Card (ID card) purchased by the Administrative Host, will be issued via the Rocket ID office to all Visiting Scholars whose visit to UToledo is at least thirty (30) calendar days. The primary purpose of the ID card is to enable Visiting Scholars to use UToledo publicly accessible facilities, such as the library. Upon completion of the Visiting Scholar’s term at UToledo, the Administrative Host or their designee must collect the Rocket ID card from the Visiting Scholar.

SECTION IV – OTHER PROCEDURES

If you want to invite a Visiting Scholar for less than fourteen (14) consecutive days, you will need to add a Contingent Worker – All Visiting Scholars who will be present at UToledo must have a profile in Banner.  The Individual and/or Administrative Host (or their designee) is responsible for working with their business manager or Human Resources consultant/specialist in submitting the appropriate form to add a contingent worker to Human Resources. 

If you want to invite a Visiting Scholar for less than fourteen (14) consecutive days, international Visiting Scholars require an Export Review.   – Regardless of the duration or purpose of the visit, all international Visiting Scholars not on a J-1 visa sponsored by UToledo are subject to an export review prior to arrival, per the UToledo Export Control Compliance office website.  All proposed international Visiting Scholars covered under the Visiting Scholar Policy who are not processed under established OISSS processes, such as those not requiring UToledo visa support or sponsorship (click here for information regarding the international Visiting Scholars that require UToledo visa support or sponsorship), should be submitted to the UToledo Export Control Compliance office for export review at least thirty (30) days prior to arrival at UToledo facilities using the online Acknowledgement of Briefing and Handling of Export Controlled Information available at the UToledo Export Control Compliance office website.  Per the form, export-controlled information means “activities, items and information related to the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, operation, modification, demilitarization, destruction, processing or use of items with a capacity for military utility.” Acknowledging that many Visiting Scholars will not be involved in this type of research, they would not have to complete this form if the situation does not apply to them.

There are many different UToledo units potentially involved in the Visiting Scholar designation process.  As such, Administrative Hosts should allow plenty of lead time in anticipation of submitting the proper documents for appropriate review.  Administrative Hosts should plan to submit all the required documentation for your proposed Visiting Scholar as soon as possible.  The UToledo system designed for Visiting Scholars allows for the submission of supporting documents on a rolling basis, so as soon as you have a required document completed (for example, the External Financial Interest Disclosure Form or the letter of invitation or the Visiting Scholar Agreement for Visiting Scholars here for fourteen (14) consecutive days or more) from your proposed Visiting Scholar, please feel free to upload it to the system immediately.

For international visiting scholars on a J-1 visa sponsored by UToledo, we strongly recommend that you build in additional time for proper review by both the Office of the Provost and OISSS.  For instance, for all International Visiting Scholars who require a J-1 visa interview at an American embassy or consulate, we strongly suggest, at a minimum, ninety (90) days before the proposed start of the visit to initiate all established processes in OISSS’ i-Rocket system.  We also recommend that you upload the joint letter of invitation from the Individual Host and Administrative Host to the proposed International Visiting Scholar who will be here for fourteen (14) consecutive days or more upon issuance.

Regardless of the duration of the visit and regardless of whether the Visiting Scholar needs a J-1 visa sponsored by UToledo, all International Visiting Scholars are subject to an export review prior to arrival. Documents for all proposed International Visiting Scholars covered under the Visiting Scholars Policy who are not reviewed under established OISSS processes, such as those not requiring UToledo visa support or sponsorship, should be submitted to the UToledo Export Control Office for export review at least thirty (30) days prior to arrival at UToledo facilities.  For activities with a capacity for military utility, the online Acknowledgement of Briefing and Handling of Export Controlled Information form available at the UToledo Export Control Compliance website should be submitted.

Once all approvals are completed, please allow an additional ten (10) business days for Human Resources to process the request to add a contingent worker and complete the background check process. During this time, you can be working with the Information Technology office to simultaneously obtain the Visiting Scholar’s Affiliate Access and/or email address.

CROSS-REFERENCES

A link to the UToledo Policy website can be accessed here. Policies on the website that are most relevant to these procedures include:

3364-72-50 – Faculty consulting
3364-70-01 – Financial conflict of interest
3364-25-01 – Standards of conduct
3364-40-15 – Procurement policy
3364-70-02 – Research data and responsible conduct of scholarship and research
3364-25-62 – Appointment and classification
3364-25-18 – Conflict of interest and nepotism
3364-25-47 – Criminal background check
3364-70-12 – Material transfer policy
3364-70-04 – Patent policy
3364-70-15 – Commercialization policy
3364-70-22 – Principal investigator’s responsibilities on sponsored projects
https://www.utoledo.edu/research/exportcontrol/ – UToledo Export Compliance Website