312 Faculty Duties and Responsibilities
Broadly defined, faculty fulfill three primary functions at Georgia State University: teaching, research, and service.
Faculty members are expected to provide instruction and student advising as assigned by the departmental chairman. Other activities which fall within the broad category of "teaching" include professional librarianship for faculty appointed as librarians and counseling for faculty appointed as counselors. Classroom instruction responsibilities include holding class for the entire period for which the class is scheduled (including the final examination period) and evaluating students' work and assigning grades within the policies of the University and Board of Regents to students officially enrolled in the class.
When any class-related activity beyond normal activities is planned which has a risk of liability, faculty should use Release and Covenant Not to Sue forms. These are particularly necessary for field trips and out-of-state activities. See Appendix L for the full policy statement. Forms may be obtained from the Office of the Dean or from the Assistant Vice President for Legal Affairs.
A. Teaching Load
The policies of the Board of Regents state that it is the proper function of the academic authorities of each system institution to prescribe the teaching load to be carried by each member of the faculty. (BOR Policy Section 301)
[Replaced 20 February 1997] Workload is a concept with both organizational and individual dimensions. The organizational dimension of workload refers to the collective effort required for any unit to accomplish the goals it has established in relation to the University's mission and strategic plan. The individual dimension of workload refers to the mix of teaching, research/reative, and service activities required from any individual as part of her/his contribution to a unit's goals and the institution's mission. In order for both of these dimensions of workload to be integrated, units should have carefully articulated programmatic goals, and individual assignments should correspond to the accomplishment of both unit goals and individual career goals, as well as the performance of individual faculty.
Once unit goals are identified, the assignment of faculty to accomplish these goals should be equitable. Depending on unit needs and the distribution of faculty talents, individual faculty may be engaged in different mixes of teaching, research/creative, and service activities at any one point in time; individual faculty may be engaged in different mixes of teaching, research and service activities across their careers; and faculty from one unit to the next may be engaged in different mixes of teaching, research/creative, and service activities. Within this context, the intention of a general workload policy is that faculty members contribute comparable levels of effort to their unit's collective work and that they be rewarded on the basis of their performance of the specified contributions.
Because Georgia State University is one of the System research universities, up to a 4-course teacing load or equivalent per academic year is a reasonable goal for faculty members with substantial, demonstrated, and active records of research/creative activity and of service activity. Faculty members whose activity is primarily teaching may expect a course load of up to 8 courses or equivalent per academic year.
Each college or school must have a workload policy statement that explicitly 1) specifies how teaching, research/creative, and service activities contribute to the assignment of workload for individual faculty; 2) specifies those activities that constitute a course equivalent; 3) specifies how workload assignments are linked to the goals of the unit; 4) specifies how workload assignments are linked to the performance of the individual faculty member; and 5) specifies a mechanism for reporting each year's workload distributions to the department's or school's faculty. The workload policy statement for each unit must be reviewed and approved by the faculty of the unit, by the dean of the unit, and by the provost of the univeristy.
(Source: Approved by the University Senate: 2-20-97; amended by University Senate 12-15-98)
Teaching, research, and administrative assignments in summer term are at the discretion of the departmental chairman and the appropriate dean. Faculty may not be compensated more than 33.3% of the previous year's academic rate for such work (BOR Policy, Section 803.1403).
C. Academic Advisement
Academic advisement concerning program requirements and related courses is one of the responsibilities of the faculty of the colleges. Each college has established an Office of Academic Assistance to coordinate advisement and each department has organized its advisement activities (BOR Policy, Section 308). In addition, there is a Student Advisement Center that advises incoming freshmen, tranfer students who have fewer than 42 semester hours of credit, students undecided on a major, and students on supervision or suspension. Links to the Student Advisement Center and to all of the college advisement offices can be found here.
The mentoring relationship between faculty members and their students is a valued and integral part of graduate education at Georgia State University. Faculty members advise graduate students in various capacities: as thesis or dissertation advisors, as research and/or teaching advisors (including GRAs and GTAs), and as program and curriculum advisors. In many cases, a single faculty member will advise a particular graduate student in more than one of the capacities. Guidelines for graduate student-faculty advisor relationships were approved by the University Senate on March 14, 2002.
D. Curriculum Development
The faculty of the colleges have the responsibility "to prescribe and define courses of study for (their students)" ( Statutes, Article IX, Section 1).
In order to avoid duplication of courses, the following procedure (adopted by the University Senate, March 26, 1981, amended by the Provost, October 10, 1990, and amended and adopted by the Senate APACE committee, July 18, 1995) governs the approval of new courses:
Step 1: Prior to the approval of the addition or deletion of a course by a college curriculum committee and/or a unit faculty, the chairman of the curriculum committee will communicate the proposed changes to the Provost for information and/or comments, allowing a minimum of fourteen (14) calendar days for responses. Distribution of curriculum proposals is handled by the Chair of the Associate Deans' Group.
Step 2: If any written responses are received from deans or departmental chairs/directors, a college curriculum committee may respond if it desires. After its recommendations have been formulated on the particular course at issue, they will be communicated University-wide through deans and/or departmental chairs/directors.
Step 3: A departmental chair or director, through the appropriate dean, may appeal a college curriculum committee's recommendation to the Provost, who, after receiving appropriate advice from the University Senate Committee on Academic Programs and Continuing Education, will render a final decision as to whether or not a college may proceed with the proposed changes.
E. Academic Program Review
The "Procedures for Academic Program Review" were adopted by the Senate Committee on Academic Programs and Continuing Education (APACE) on March 12, 1996. The most current information pertaining to Academic Program Review is housed in the Office of the Associate Provost for Academic Programs and can be found here.
F. Course Duplication Review
The following procedures were developed by the Associate Deans' Group, July 1995, and adopted by the University Senate, August 1995, for implementation of a resolution on course duplication approved by the University Senate in March 1991.
Timing: The Associate Deans' Group (ADG) representative is responsible for distributing to ADG members, either directly or through the ADG chair, all proposals from the representative's college curriculum committee(s) for additions of new courses and revisions or deletions of current courses. Such proposals should be distributed within ADG as soon as possible after being reported out of the curriculum committee.
Materials to be distributed: In order to provide adequate information for review but avoid excessive copying of materials, the information to be distributed to ADG members will be comprised of the course number and prefix, course title and course catalog description. Specifically, course syllabi will not be distributed but will be available if needed for discussion of course duplication issues.
Review process: Each ADG member is responsible for determining how these curricular proposal materials are distributed and reviewed in their respective colleges. If a potential course duplication conflict is identified, the ADG representative in the college identifying the conflict is responsible for contacting the ADG representative of the college from which the proposal originated for purposes of identifying the appropriate parties to be involved in discussing and, hopefully, resolving the issue.
Appeals: For those issues that do not get resolved by the ADG review process, the department chair that raised the issue, through that chair's dean, may appeal a college curriculum committee proposal to the Provost, who, after receiving appropriate advice from the Academic Programs and Continuing Education Committee of the University Senate, will render a final decision as to whether or not a college may proceed with the proposed curriculum changes.
Faculty members are expected to participate in scholarly and research activities which enhance
their professional development and contribute to their disciplines. An assessment of these
activities will be included in the annual review of the faculty member.
312.02.01 Policy Recommendations on Research
Research is an investigative activity oriented toward the development of new knowledge, creative cultural and artistic expressions, or innovative scholarship.
Whereas research is one of the primary functions of Georgia State University and is necessary for support of the instructional and service programs at GSU, the Research Committee makes the following policy recommendations.
A. Elevation of the administrative position for research to a higher level in the administrative structure.
B. Allocation of a defined percent effort for research. It is recommended that faculty active in scholarship and research be assigned a minimum of 1/3 effort in the scholarship and research area. Measures should be taken to ensure that other activities do not encroach on the time assigned for research.
C. Establishment of a University Research Foundation dedicated for support of research and scholarship.
D. 1. Allocation of increased funds for graduate research assistantships.
2. Establishment of an ad hoc senate committee to define the various categories of graduate assistantships at GSU needed and to recommend funding levels.
E. Allocation of increased funds for support of faculty research during summer. Each college should expand these funds and the college faculty should establish procedures for allocation of summer research funds.
F. Increased allocation of funds for equipment, including departmental based computing equipment.
(Source: University Senate Resolution, May 21, 1987)
312.02.02 Copyright Policy
312.02.03 Intellectual Property Policy
312.02.04 Human Subjects Protection
The Georgia State University Institutional Review Board (IRB) is the official review board for university projects that involve the use of humans as research subjects. It is the policy of the IRB to ensure protection of the rights and welfare of human subjects in research, in accordance with GSU rules and with federal regulations in Title 45, Code of Federal Regulations (CFR), Part 46, "Protection of Human Subjects."
This policy applies to:
1. Research conducted by or under the direction of any employee or agent of Georgia State University in connection with his or her institutional responsibilities (regardless of the location of the project);
2. Research using any property or facility of Georgia State University;
3. Research involving the use of GSU's non-public information to identify or contact human research subjects or perspective subjects;
4. Research that satisfies a requirement imposed by the University for a degree program or for the completion of a course of study;
5. Is certified by a dean or department head to satisfy an obligation of a faculty appointment at the University, including clinical or adjunct appointments.
This policy applies only to research with human subjects, defined as follows (45 CFR 46.102):
1. "research" is a systematic investigation designed to develop or contribute to generalizable knowledge; and
2. "human subjects" are live individuals about whom the researcher obtains:
a. data through intervention or interaction, or
b. identifiable private information.
In reviewing proposals under this policy, the IRB will consider the following (45 CFR 46.111):
1. Risks to subjects are minimized.
2. Risks to subjects are reasonable in relation to anticipatee benefits, if any , to subjects and the importance of the knowledge that may be expected as a result.
3. Selection of subjects is equitable.
4. Informed consent will be sought from each prospective subject or the subject's legally authorized representative in accordance with and to the extent required by 45 CFR 46.116.
5. Informed consent will be appropriately documents in accordance with and to the extent required by 45 CFR 46.117.
6. When appropriate, the research plan makes adequate provisions for monitoring the data collected to ensure the safety of subjects.
7. When appropriate, there are adequate provisions to protect the privacy of subjects and to maintain the confidentiality of the data.
B. Procedures for Researchers
1. Submitting proposals for review.
b. Continuing research projects must be reviewed at least once a year. For continuing review the renewal application must be completed in the IRB's electronic submission program.
c. A study closure application must be submitted once the study and data analysis are complete. The study closure can be completed through the IRB's electronic submission program.
2. Informed consent.
ii. a description of reasonably foreweeable risks or discomforts;
iii. a description of benefits that the subject or others might reasonably expect;
iv. a disclosure of appropriate alternative procedures or treatments, if any, that might be advantageous to the subject;
v. a statement describing the extent to which confidentiality will be maintained;
vi. for research involving more thatn minimal reisk, an explanation as to whether any compensation or medical treatments are available if injury occurs and, if so, what this consists of or where further information can be obtained;
vii. an explanation of whom to contact for answers to pertinent questions about the research and research subject's rights, and whom to contact in the event of a research-related injury to the subject; and
viii. a statement that participation is voluntary, refusal to participate will involve no penalty or loss of benefits to which the subject is otherwise entitled, and the subject may discontinue participation at any time without penalty or loss of benefits to which the subject is otherwise entitled.
b. The IRB may waive or modify the above elements of informed consent (CFR 46.116(d)).
c. Subjects usually sign concent forms, but written consent is not always required. The IRB may waive the requirement of signed consent. Waiving the requirement for written consent does not waive the requirement for consent itself. If a consent form will not be used, the research must explain to the IRB how infomred consent will be obtained. The IRB may wiave the requirement for signed consent form if (CFR 46.117)):
ii. the research presents no more than minimal risk and involves no procedures for which written consent is normally required outside the research context.
d. With children, parental permission must be obtained from a parent or parents, and assent must be obtained from the child. "Children" are defined as persons who have not attained the legal age for consent to treatments or procedures involved in the research. "Assent" is defined as an affirmative agreement to participate; (mere failure to object is not enough). With older children, assent is usually written; with younger children, assent is usually oral.
(Source: Vice President for Research, October 24, 2006)
312.02.05 Review and Approval Procedures for Sponsored Grants and Contracts
A formal proposal to conduct a research, public service, or training project with support from a external agency represents an offer by the Georgia State University acting as an agency of the State of Georgia. It is necessary, therefore, that any such proposal have the endorsement of those individuals responsible for carrying out the project as well as those individuals authorized to commit the University to a legal offer. A review and routing procedure has been established in order to ensure that each proposal or application for sponsored research or training has been reviewed and endorsed by the various responsible persons and that there is compliance with both sponsor, University, and State policies. All proposals must be submitted to the Office of Sponsored Programs.
A. Internal Routing and Review
Each proposal must be accompanied by a Routing Form (available at the Office of Sponsored Programs). The Routing Form will bear appropriate endorsement signatures before submission to the Office of Sponsored Programs. In the case of a proposal which involves faculty members from different departments and/or colleges, it is necessary to secure signatures from each area. Proposals are routed from the principal investigator to the department chair, the dean, and finally to the Office of Sponsored Programs. Most sponsors require a specific number of copies of the formal proposal to be submitted along with one or more signed copies. If more than one original signed copy is required, please notify the Office of Sponsored Programs staff at the time the proposal is submitted. The Office of Sponsored Programs must receive all copies of the proposal that are required by the agency to contain original signatures and two additional copies for the Office of Sponsored Programs' files.
The individuals and/or offices involved in the internal review and processing are as follows:
B. Lead Time Requirement
Lead time required for review of a proposal varies with its size, complexity, completeness, accuracy and care taken in its preparation and prior review. It also depends upon the amount of work already in the Office of Sponsored Programs and the staff available when it is received. To allow for necessary corrections and revisions and for greater assurance that sponsor deadline will be met, allow at least five working days for the Office of Sponsored Programs to review the proposal. Proposals which contain unconventional or unique features including cost sharing commitments, conditions that necessitate legal review, etc., may require additional lead time.
C. Project Personnel
All appropriate University guidelines and procedures must be followed in the development of percent effort and time commitments of personnel listed in grant and contract proposals. Particular attention should be given to restrictions related to affirmative action regulations, job titles, and wage and salary ranges. Detailed information is available from the Office of Human Resources, the Office of Grants and Contracts and the Office of Sponsored Programs.
The budget serves to identify the cost of the project to the sponsor and it is an indicator of the magnitude of the project. The budget also serves as a further measure of the project director's capabilities since there must be a reasonable correlation between the project as described and the principal investigator's assessment of the various cost elements. The budget must always include a listing of all the direct costs and indirect costs. Examples of budgets and appropriate forms may be obtained from the Office of Sponsored Programs.
E. Direct Cost, Fringe Benefit Rates and Indirect Costs
Direct costs are costs that can be distinctly identified as benefitting the project, such as salaries and fringe benefits, equipment, supplies, travel, and computer time. Fringe benefits require a separate category in the budget and should not be combined with salaries. The rate includes the University's contribution to Social Security, retirement programs and health insurance. Allowable indirect costs and fringe benefits are established yearly.
Indirect costs or overhead costs are those expenses that are incurred by the University through the
cost of facilities maintenance and operation, and research administration expenses. The rates vary
and are subject to change. Additional Information is available from the Office of Grants and
Contracts and/or the Office of Sponsored Programs.
(Source: Vice President for Research, August 6, 1996)
Indirect costs recovered from external grants or contracts at the fixed or maximum rate allowed by the sponsor will be evenly divided by the University and the Department/Institute generating the funds. Required cost sharing will not be deducted from the indirect.
If a department/institute negotiates a lower rate with a sponsor, for other than required cost sharing purposes, the University's share will remain 50% of the maximum rate allowed by the sponsor.
There will be a minimum of $1000 annually in the indirect cost recovery to the department/institute for the unit to receive its share. [Approved by the University Senate: 12/5/02]
312.02.06 Research and Scholarly Misconduct
A. Purpose of this Policy
This policy is adopted in compliance with various federal laws, regulations and policies dealing with misconduct in research. (For example, the Health Research Extension Act of 1985 (42 U.S.C. 289b) and Public Health Service (PHS) regulations to be promulgated pursuant to that Act. Also see Nati onal Science Foundation regulation at 45 CFR Part 689.) These laws, regulations and policies require universities receiving federal funds to establish administrative procedures for reviewing allegations of misconduct in connection with research. This policy pertains to all research (including federally funded research) conducted at Georgia State University (hereinafter "research"). The Office of the Vice President for Research is responsible for implementing this policy and for acting as liaison with external agencies and/or individuals making allegations.
Georgia State University pursues knowledge through research and transmits knowledge through teaching, publication and public service. A spirit of mutual respect and a broad trust that all faculty members, staff members, and students share in this dedication are essential to the functioning of the University.
Nevertheless, from time to time, a member of the University community may appear to have disregarded the accepted norms of professional behavior. The integrity of the program of the University requires that faculty, staff, and students demand high standards of conduct for themselves and others, and that appropriate sanctions will be imposed when misconduct has occurred. The reputations of those ultimately cleared of charges will be restored to the fullest extent possible. Allegations of misconduct must be resolved in a prompt and just manner, assuring no recriminations will befall a person making allegations in good faith.
B. Definition of Misconduct
For purposes of this policy, "Misconduct in Research" means the commitment of fraud in research. It includes: fabrication, falsification, plagiarism of research publications, theft of research data from others, or other practices which seriously deviate from those that are commonly accepted within the research community for proposing, conducting, or reporting research. It does not include honest errors or honest differences in interpretation or judgments of data. (42 CFR 50.102).
Furthermore, this definition includes violations of University policy pertaining to research, including: the failure to obtain proper review and approval by the university committees responsible for research involving human subjects, animal subjects, radioactive materials, or other biohazards as well as the failure to comply with rules and guidelines set forth by the committees responsible for these areas.
This definition is not intended to stifle creativity, to hinder the development of new empirical techniques, or to impede attempts to validate unconventional or revolutionary theories, nor is it intended to bring within the policy those aspects of research that may form a basis for legitimate disagreement. In short, the definition is not intended, nor should it be construed, as an attempt to institutionalize scientific conformity. Rather, it aims to discourage those practices which are specifically antithetical to the ideals of research.
This policy applies to every faculty member, staff member, employee, subcontractor, consultant or student engaged in research. Other sorts of reprehensible behavior (such as sexual harassment or misappropriation of funds) not uniquely related to research are considered outside the purview of this policy but may be covered by other policies of Georgia State University or by state or federal laws.
D. Filing An Allegation or Seeking Informal Advice
Any individual may consult with the Vice President for Research about possible misconduct in research. Such consultation shall be kept confidential to the extent permissible by law. Individuals who observe misconduct in research are required to file a written complaint, and submit it to the Vice President for Research. Upon receiving a complaint, the Vice President for Research shall have the following options:
1. Determine that the complaint is insufficient, and take no action
2. Refer the matter to the student judicial process, if appropriate
3. Refer the matter to the Office of Human Resources, if appropriate
4. Conduct a review of the complaint
E. Review of the Complaint
The Review of the Complaint shall be conducted by the Vice President for Research, and shall consist of the following:
1. Initial Inquiry: The Vice President for Research shall review the written complaint and determine whether probable cause exists to conduct a formal investigation. If the Vice President for Research agrees that probable cause has been established, then a formal investigation shall be conducted. If the Vice President for Research determines that no probable cause exists, he shall communicate this in writing to the accuser and the matter shall be closed.
2. Formal Investigation: If the Vice President for Research elects to conduct a formal investigation, he shall ask the President of the University to appoint a three-member ad hoc committee to conduct the formal investigation. The Vice President for Research will be a member of the committee, and will serve as Chairperson. The committee shall follow the procedures section of this policy as it conducts its investigation.
The following procedures shall be used in conducting the formal investigation. The formal investigation committee shall:
1. Inquire immediately into an allegation or other evidence of possible misconduct. An inquiry must be completed within sixty (60) calendar days of its initiation unless circumstances clearly warrant a longer period. A written report shall be prepared which describes the evidence reviewed, summarizes relevant interviews, and includes the conclusions of the investigation. The individual or individuals against whom the allegation was made shall be given a copy of the report of the inquiry. If the accused comments on that report, those comments may be included as part of the record. If the investigation requires longer than sixty (60) days to complete, the record of the inquiry shall include documentation of the reasons for exceeding the sixty (60) day period. (42 CFR 50.103(d)(1))
2. Protect, to the maximum extent possible, the privacy of those who in good faith report apparent misconduct. (42 CFR 50.103(d)(2))
3. Afford the affected individual(s) confidential treatment to the maximum extent possible, a prompt and thorough investigation, and an opportunity to comment on allegations and findings of the inquiry and/or the investigation (42 CFR 50.103(d)(3)(d))
4. Notify the Director of the Office of Scientific Integrity (OSI), a component of the Office of the Director of the National Institutes of Health, (NIH), when, on the basis of the initial inquiry, the institution determines that an investigation is warranted, or prior to the decision to initiate an investigation if the conditions listed below exist:
a. there is an immediate hazard involved;
b. there is an immediate need to protect federal funds or equipment;
c. there is an immediate need to protect the interest of the person(s) making the allegation or of the individual(s) who is the subject of the allegations as well as his/her co-investigators and associates, if any;
d. it is probable that the alleged incident is going to be reported publicly;
e. there is a reasonable indication of possible criminal violation. In that instance, the institution must inform OSI within twenty-four (24) hours of obtaining that information. OSI will immediately notify the Office the Inspector General. (42 CFR 50 103 (d)(4)(5))
At a minimum, the notification should include the names of the person(s) against whom the allegations have been made, the general nature of the allegation, and the Public Health Service (PHS) application or grant number(s) involved. (42 CFR 50.104(a)(1))
5. Maintain sufficiently detailed documentation of inquiries to permit a later assessment of the reasons for determining that an investigation was not warranted, if necessary.
6. Begin the formal investigation within thirty (30) days of the completion of the initial inquiry, if probable cause is found. The formal investigation normally will include examination of all documentation, including but not necessarily limited to relevant research data and proposals, publications, correspondence and memoranda of telephone calls. Whenever possible, interviews should be conducted with all individuals involved in making the allegation and against whom the allegation is made, as well as other individuals who might have information regarding key aspects of the allegation. Complete summaries of these interviews should be prepared, provided to the interviewed parties for comment or revision, and included as part of the investigatory file. (42 CFR 50.103(d)(7))
7. Secure necessary and appropriate expertise to carry out a thorough and authoritative evaluation of the relevant evidence and any inquiry or investigation. (42 CFR 50.103(d)(8))
8. Take precautions against real or apparent conflicts of interest on the part of those involved in the inquiry or investigation. (42 CFR 50.103(d)(9))
9. Prepare and maintain the documentation to substantiate the investigation's findings. This documentation is to be made available to the Director of the Office of Scientific Integrity of the National Institutes of Heath, who will decide whether that office will either proceed with its own investigation or will act on the institution's findings.
10. Take interim administrative actions, as appropriate, to protect federal funds and ensure that the purposes of the federal financial assistance are carried out. (42 CFR 50.103(d)(11))
11. Keep the OSI apprised of any developments during the course of the investigation which disclose facts which may affect current or potential PHS funding for the individual(s) under investigation or that the PHS needs to know to ensure appropriate use of Federal funds and otherwise protect the public interest. (42 CFR 50.103(d)(12))
12. Undertake diligent efforts, as appropriate, to restore the reputations of persons alleged to have engaged in misconduct when allegations are not confirmed, and also undertake diligent efforts to protect the positions and reputations of those persons who, in good faith, make allegations. (42 CFR 50.103(d)(13))
13. Complete the formal investigation within one hundred and twenty (120) days of the initial inquiry. Completion of the investigation shall include conducting the investigation, preparing the report of the finding, making the report available for comment by the subjects of the investigation, and submitting the report to the OSI. If they can be identified, the person(s) who raised the allegation should be provided with those portions of the report that address their role and opinions in the investigation. (42 (CFR 50.104.(d)(14))
14. Impose appropriate sanctions on individuals when the allegation of misconduct has been substantiated. ( 41 CFR 50.103(d)(14))
15. Notify the OSI of the final outcome of the investigation. (42 CFR 50.103(d)(15)) If the University plans to terminate an inquiry or investigation for any reason without completing all requirements outlined above, a report of such planned termination, including a description of the reasons for such termination, shall be prepared. Such report shall be supplied to the relevant funding agency in accordance with federal regulations. (42 CFR 50.104(a)(3))
A report of any investigation conducted shall be prepared which shall describe the policies and procedures under which the investigation was conducted, how and from whom information was obtained relevant to the investigation, the findings, and the basis for the findings, and it shall include the actual text or an accurate summary of the views of any individual(s) found to have engaged in misconduct, as well as a description of any sanctions taken by the institution. The report shall be submitted to any federal agency as required by law. (42 CFR 50.104(a)(4))
If it is determined that a formal investigation can not be completed in one hundred and twenty (120) days and the formal investigation pertains to research conducted under federal sponsorship, the University shall comply with pertinent regulations in submitting a request for an extension of time to complete the investigation. (42 CFR 50.104(a)(5))
The University shall cooperate with any funding agency when an allegation pertains to misconduct which occurred during the course of a project funded by the agency.
The formal investigation may result in a determination of guilt or innocence. If appropriate, the imposition of sanctions may include, but are not limited to, one or more of the following:
1. Formal reprimand which is filed in the employee or faculty member's personnel file;
2. Mandated restitution of funds that were used to conduct the research in which the misconduct occurred;
3. Mandated actions to redress the consequences of misconduct;
4. Partial or total suspension from duties for a specified time with or without concomitant loss of pay;
5. Reassignment of academic duties;
6. Reduction in salary;
7. Non-reappointment at the end of a specified term of employment;
8. Removal from a special position of privilege or prestige (such as a titled professorship or an endowed chair);
9. Immediate severance of employment with the University;
10. Disbarment from future contractual relationship with the University for a specified or indefinite period.
In the case of students, permissible sanctions are set forth in the "Student Code of Conduct and Policies" but one or more of the sanctions set forth above as to faculty may also pertain to students.
Appeals of the decisions of the formal investigation committee may be made in writing to the Provost within five (5) days after the decision is made. Appeals of the decisions of the Provost may be made to the President within five (5) days after the decision is made. Sanctions will take effect when University level appeals are exhausted.
Should the accused be dissatisfied with the decision of the President, the accused may appeal to the Board of Regents of the University System of Georgia for a review of the decision. Such appeal must be submitted in writing within twenty (20) days following the decision of the President. The decision of the Board shall be final and binding for all purposes.
(Source: Vice President for Research, August 8, 1996)
312.02.07 - Animal Care and Use
A. Institutional Policy
Georgia State University strictly adheres to the Public Health Service policy on the care and use of animals in research. This policy applies to all procedures involving live animals, whether classroom, research laboratory, funded or unfunded and conducted at this institution, or at another institution as a consequence of subgranting or subcontracting arrangements. The university has established an Institutional Animal Care and Use Committee (IACUC) to oversee research involving animals.
B. Research Protocols
The Office of Sponsored Programs coordinates the review and approval of applications/protocols for research involving vertebrate animals. Requests for approval should be submitted to the Office of Sponsored Programs at least two weeks in advance of the grant deadline and must include a copy of the complete scientific portion of the grant and a completed application for approval of research using animals. If the complete scientific portion of a protocol is not available at the time the request for approval is submitted to the IACUC, the investigator must submit sufficient information in a rough draft, including an abstract, so that the committee can knowledgeably review the protocol. When the grant application is complete, the investigator must send a copy of the final application to the IACUC via the Office of Sponsored Programs.
A full committee review will always be conducted. The investigator will be notified in writing of the review decision. If approval is withheld or contingent upon modifications, the reasons will be fully stated. The committee may approve the protocol as submitted, approve the protocol with modifications, or reject the protocol. A letter announcing the committee's decision will be sent to the investigator. If the protocol is approved with modifications, the investigator will be notified and must indicate in a letter to the Chairman of the committee that the modifications will be incorporated into the protocol. After the changes are reviewed, a letter will be sent to the investigator indicating that the protocol is approved as modified.
All protocols must be reviewed yearly and must be resubmitted to the IACUC every three years even if there are no changes. Requests to amend and/or continue research with approved protocols must be submitted to the Office of Sponsored Programs for IACUC review. Amendments must be reviewed and approved by the committee before any changes are implemented. Changes might include, but are not limited to, changes in species, changes in the number of animals needed, changes in anesthetic, addition of a period of prolonged restraint, a new surgical procedure, or use of a different infectious agent, etc.
C. Instructional Protocols
All instructional activity using live vertebrate animals must be approved by the IACUC. An instructional protocol is one that is used in the laboratory component of a class offered at Georgia State University. Instruction/Training protocols must be submitted to the Office of Sponsored Programs. Training includes students preparing an Honors thesis, undergraduate research, thesis research or dissertation research. If part of an ongoing research project, student training should be included under a faculty investigator's protocol. If this training is not part of an ongoing research project, the student must request approval. Proposed new courses using live vertebrate animals must be submitted to the IACUC for approval prior to their submission to the College Curriculum Committee. If a laboratory course carrying the same number is taught by more than one faculty member during the quarter or the year, only one protocol should be submitte, listing as principal investigators all faculty members involved in the course and designating a faculty member responsible for insuring that all guidelines are observed. All laboratory exercises and student training must be carried out under the direct supervision of a person experienced in the care and use of laboratory animals. A narrative description of the project must be submitted along with a completed application.
The IACUC will meet as necessary during the academic year to review protocols and changes in the operation of the animal facilities. IACUC members may not review or vote on applications in which they are personally involved, nor contribute to the constitution of a quorum. Consultants without voting privilege may be invited to assist in the review of complex issues.
Further information may be obtained from the Office of Sponsored Programs.
(Source: Vice President for Research, August 5, 1996)
Faculty are to serve, as appropriate, on departmental, college, and University committees. In addition, they make discipline-related contributions to professional organizations or to the community. Faculty members perform University-related public service by conducting continuing education courses, by providing consultation, and conducting applied research. These contributions are assessed each year in the annual review. Guidelines for institutional support for conference sponsorship/hosting is included in Appendix KK.
312.04 Outside Activity
Faculty responsibilities to the institution and to the State of Georgia with regard to outside activities are specified below. Board of Regents' policies governing outside activities are included in Appendix R.
312.04.01 Board of Regents Policies on Outside Activities
1. An employee of the University System shall not engage in any occupation, pursuit, or endeavor which will interfere with the regular and punctual discharge of official duties.
2. All full-time faculty, administrators, and other professional staff members employed by a unit of the University System are expected to give full professional effort to their assignments of teaching, research, and service.
3. Professional employees are encouraged to participate in professional activity that does not interfere with the regular and punctual discharge of official duties provided the activity meets one of the following criteria: (1) is a means of personal professional development; (2) serves the community, state, or nation; or (3) is consistent with the objectives of the institution.
4. For all activities, except single-occasion activities, the employee shall report in writing through official channels the proposed arrangements and secure the approval of the President or his designee prior to engaging in the activities. Such activities include consulting, teaching, speaking, and participating in business or service enterprises.
(Source: BOR Policy, Section 802.1601)
Recognizing that teaching, research, and public service are the primary responsibilities of faculty members in the University System of Georgia, it shall be considered reasonable and desirable for faculty members to engage in consulting activities which are defined for purposes of this policy as any additional activity beyond duties assigned by the institution, professional in nature, and based in the appropriate discipline for which the individual receives additional compensation during the contract year.
Each unit of the University System shall adopt guidelines governing consulting activities of faculty members which shall include the following:
1. a plan for reimbursing the institution for use of the institution's personnel, facilities, equipment and/or materials consistent with rates charged outside groups or persons;
2. a procedure for obtaining prior approval of the president or his designee; and
3. a procedure for defining and prohibiting conflicts of interest.
(Source: BOR Policy, Section 802.1602)
As responsible and interested citizens in a democratic society employees of the University System are encouraged to fulfill their civic obligations and otherwise engage in the normal political processes of society. Nevertheless, it is inappropriate for System personnel to manage or enter political campaigns while on duty to perform services for the System or to hold elective political office at the state or federal level while employed by the System. Therefore, the following policies governing political activities are hereby adopted:
1. employees may not manage or take an active part in a political campaign which interferes with the performance of duties or services for which he or she receives compensation from the System;
2. employees may not hold elective political office at the state or federal level;
3. employees seeking elective political office at the state or federal level must first request a leave of absence without pay beginning prior to qualification as a candidate in a primary or general election and ending after the general or final election. If elected to state or federal office such person must resign prior to assuming office; and
4. employees may seek and hold elective office at other than the state or federal level, or appointive office, when such candidacy for or holding of the office does not conflict or interfere with the employee's duties and responsibilities to the institution or the System.
(Source: BOR Policy, Section 802.1603)
312.04.02 Consultancies with Non-State Agencies
No member of the faculty of the University shall engage in any outside work or activity if it interferes with the regular and punctual discharge of his/her official University duties and responsibilities.
Prior to engaging in remunerative outside work or activity, a faculty member must file a description of the nature and extent of the outside work or activity with the dean of the appropriate college or school, and shall not continue or undertake such employment if notified of the disapproval of such undertaking. A copy of the appropriate form for receiving approval is available from the offices of the deans.
Practical considerations necessitate a limit of not more than one day a week average for any calendar term during those portions of the year when the employee is on full-time duty.
312.04.03 Consultancies with State Agencies
As stipulated by state law, while a full-time employee of the University, no one may be employed by any other University System institution or State of Georgia agency, board, or department prior to the negotiation of an agreement between the University and the employing organization. A prerequisite for such agreement is the certification of the chief executive officer of a university that the person to be employed is available to perform such services, and that the performance of such services will not detract or have a detrimental effect on the performance of said person's full-time employment, and, where appropriate, that the part-time employment of such person by the employing organization will be in the best interest of the State.
The chief executive officer of the department, agency, commission, authority, college, or university which desires to obtain the services of a full-time faculty member at Georgia State University shall certify in writing the need for the services and set forth why the best interest of the state will be served by obtaining the part-time services of such a person in lieu of obtaining such services from a person not presently employed by the State.
312.04.04 Business Activity with the State
With certain exceptions, Georgia State University employees are forbidden, under state law, from transacting any business with the University System of Georgia either on their own behalf, or on behalf of any business in which the employee or a member of his or her family has a substantial interest. Furthermore, if an employee of Georgia State University is to be employed by any other state agency, department, or commission, then an agreement authorizing such employment must be entered into between the agency for whom the University employee will work and the University.
Any University employee who transacts any business with the state or any agency of the state, or if an employee's family has a substantial interest in a business which transacts business with the state (substantial interest means the direct or indirect ownership of more than 25 percent of the assets or stock of a business), then such University employee must file a disclosure report. This report is due on January 31st in the Office of the Secretary of State and must list each transaction and the dollar amounts involved. The failure to file disclosure forms when required could subject an employee to a $10,000 fine and termination of employment. These disclosure forms do not have to be filed if a single transaction does not exceed $250 and the total of all transactions in the calendar year does not exceed $9,000. Further information and disclosure forms may be obtained by contacting the Assistant Vice President for Legal Affairs.
312.04.05 Political Activity
While Board of Regents' policy encourages "responsible and interested" citizenship, it holds that it is "inappropriate for System personnel to manage or enter political campaigns while on duty to perform services for the System or to hold elective political office at the state or federal level while employed by the System." Further delineation of this policy is included in BOR Policy, Section 802.1603.
The president of each institution may authorize the use of institution facilities for political speeches. However, such use shall be limited to meetings sponsored by recognized organizations of the institution and shall be held only at places designated by the president. The use of System materials, equipment, machinery, or vehicles in political campaigns is prohibited.
312.04.06 Policy Regarding Employment with Other State Agencies
Under Georgia law, full-time employees of Georgia State University are generally prohibited from transacting business with other state agencies. However, if an individual holds a doctoral or master's degree from an accredited college or university and the chief executive officer of the department or agency requesting the services of the Georgia State University employee and the President of Georgia State University agree, then the University employee may do work for another state agency or for another unit of the University System of Georgia. (O.C.G.A. 45-10-20, et. seq.)
A. It is the policy of Georgia State University that no request for employment of an eligible Georgia State University employee by another state agency or unit of the University System shall be approved unless the agreement or letter requesting such employment contains the following information:
1. the nature of the activity to be performed;
2. the maximum amount of funds which will be paid to the University employee as part of this arrangement;
3. the maximum number of hours for such employment;
4. the dates when such employment will take place.
B. The dean of the college or director of the school in which the University employee works must approve the employment, taking into consideration the nature of the activity and the time involved. Subsequent to the approval by the dean or director, the vice president of the area in which the University employee is employed must also approve this activity before the President will execute the letter agreement with the state agency which requested the employment.
C. A copy of the letter agreement authorizing employment shall be maintained in the Office of Legal Affairs.