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Research Policies & Procedures Handbook CHAPTER IV Laws, Regulations, Policies, and Procedures Laws, Regulations, Policies, and Procedures Governing Research Federal/State Laws and Regulations Animal
Care and Use University Policies and Procedures Consulting
for Remuneration
The UGA is subect to the policies of the Board of Regents of the University System of Georgia. Faculty and staff are expected to be familiar with and adhere to federal, state and University regulations and policies that govern research. Failure to comply may jeopardize not only the individual research project, but also the entire UGA research program. Because the scope of this handbook is limited to research, it is suggested that each reader review a copy of the UGA statutes and become familiar with policy matters not covered in this handbook. Additional policies also are published in the University of Georgia Aministrative Policies and Procedures Manual.
Faculty who use animals in research or teaching must to do so in accordance with UGA policies. The UGA has a formal process to assure federal agencies that applicable laws and guidelines are followed. Prior to initiating an animal requisition, an Animal Use Proposal Form must be submitted, including plans for appropriate animal care, to the Associate Vice President for Research responsible for UGA's Animal Care and Use Program. Information on procedures for submission of animal use proposals and compliance with the UGA policy is available from the Animal Care and Use program, Boyd Graduate Studies Research Center, jtb@ovpr.uga.edu, or (706) 542-5933. Animal care activities are coordinated by veterinary
personnel who are joint-staffed within academic units and the OVPR.
These specialists in laboratory animal medicine provide veterinary
care and consultation for projects that require the use of animals. It is important for faculty, staff, and administrators to avoid conflicts of interest between or among research obligations, outside interests, and other UGA obligations. A number of laws, rules, regulations, and policies already address conflicts of interest. The University of Georgia Conflicts of Interest Policy supplements these existing laws and policies by providing guidelines and administrative procedures to prevent and resolve potential conflicts that may exist in relation to sponsored instruction, research and service activities with federal agencies. This policy requires a disclosure of external interests and activities by faculty members to be provided with each proposal submitted to a federal agency. Faculty members must comply with all applicable state and federal regulations pertaining to conflicts of interest. For assistance with specific concerns, contact either the Assistant Vice President for UGARF, jko@ovpr.uga.edu (706) 542-4750, or the Associate Vice President for Research, ras@ovpr.uga.edu (706) 583-0443. Rights to data and biological materials produced during the course of sponsored research are determined in accordance with the applicable grant or contract. Federal regulations provide for the UGA or the UGARF to register and hold copyright to scientific and technical publications based on or containing data first produced in the performance of a research contract and published in academic, technical, or professional journals, symposia proceedings, or similar works. Additional rights may be obtained from the federal government upon petition to the appropriate agency. In addition, the University of Georgia Intellectual Property Policy provides that research notes, research data reports, research notebooks, and software created during research are included within the definition of copyrighted materials and thus ownership is determined by the Intellectual Property Policy. Rights in notes or data generated in the course the performance of duties of employment with the University vest in the University of Georgia Research Foundation, Inc. For questions or assistance regarding data rights, contact the Legal Advisor to the Office of the Vice President for Research, Boyd Graduate Studies Research Center, jko@ovpr.uga.edu, or (706) 542-4750. Debarment and suspension guidelines, published in 1988, are designed to protect the federal government against fraudulent and unethical contractors. Should the UGA fail to comply, it would be unable to receive or request federal funds. UGA personnel are responsible for ensuring that contracts are not made with persons or agencies that are presently debarred, proposed for debarment, suspended, or declared ineligible for covered transactions by any federal agency or department. Contracts cannot be made with persons or agencies that within the past three years have been convicted of or have had civil judgement rendered against them for a fraudulent contract or transaction, violation of federal or state antitrust laws, or the commission of embezzlement, theft, forgery, bribery, falsifying or destroying records, receiving stolen property, or making false statements. For additional information, consult Appendix IV-A, or contact the Office for Sponsored Programs, sponprog@ovpr.uga.edu, or (706) 542-5939. As a recipient of federal funds, the UGA supports and complies with provisions of the Federal Drug-Free Workplace Act of 1988. All UGA faculty and staff are expected to meet appropriate standards of performance, to observe basic rules of conduct, and to comply with institutional personnel policies and procedures. The unlawful manufacture, distribution, dispensation, possession, or use of illegal drugs in the workplace by UGA employees is prohibited by institutional policy. Violation of this policy, including felony and/or misdemeanor conviction of any criminal drug statute arising out of or in connection with activities at the workplace of a UGA employee, may result in appropriate disciplinary penalties being imposed upon the employee by the UGA. As a condition of employment, UGA faculty and staff agree to abide by the terms of this policy statement and to notify the UGA of any criminal drug statute conviction for a violation occurringin the workplace no later than five working days after the conviction. The UGA offers a drug abuse awareness program as part of its employee wellness program series. Periodic notification of availability of program sessions to all faculty and staff is made through appropriate UGA channels. Faculty and staff are encouraged to participate in these programs. A current list of available drug counseling, rehabilitation, or treatment centers is maintained by the Office of Human Resources, http://www.busfin.uga.edu/human_resources, or (706) 542-2621, and the University Health Services, (706) 542-8715. For more information on the UGA Drug-Free Workplace Policy see Appendix IV-B, memorandum from President Charles B. Knapp regarding the Drug-Free Workplace Act of 1988 and accompanying information. The Food and Drug Administration and the Environmental
Protection Agency are responsible for assuring that chemicals and microorganisms
are safe and effective for their intended purposes. Accordingly, the
agencies have formulated Good Laboratory Practice regulations for the
conduct of studies intended to be submitted for regulatory approval.
These regulations require stringent conditions of experimentation,
data collection, recording, and oversight that are not usually practiced
in academic research. Before planning or undertaking such studies,
please contact the UGA Quality Assurance Officer at mispagel.m@calc.vet.uga.edu,
or (706) 542-5875. Research that involves human subjects must comply with the federal regulations, state laws, and the policies of the University of Georgia. This protects researchers as well as participants. The Human Subjects Office staff oversees all research that uses human subjects as part of the data collection and provides a contact for participants concerned with their rights as subjects. Federal regulations and the University of Georgia policies,
apply to all research that involves human subjects, whether done by
students or faculty, and with or without external funding. Examples
of activities that include prior approval are surveys, interviews,
educational strategies, questionnaires, and review of medical or other
records. The UGA must report instances of noncompliance to the Office
for Protection from Research Risk (OPRA) at the NIH. The UGA Institutional
Review Board (IRB) is authorized to suspend or terminate non-compliant
activities. Direct Questions to the Human Subjects Office, caj@ovpr.uga.edu or (706) 542-9720. Congress enacted legislation on December 23, 1989, that placed restrictions on lobbying activities of institutions and their employees who receive federal contracts, grants, and loans. By accepting federal funds, the UGA and its faculty and staff must comply with the legislation, which applies to all federal contracts, grants, and cooperative agreements that exceed $100,000 and to all federal loans that exceed $150,000. Because many UGA employees are involved in federal grant applications and submissions, it is important they be aware of the restrictions this law may place on their activities. In essence, these restrictions prohibit UGA employees from communicating with a federal agency or Congress with the intent of influencing the making of a federal award. Under this law, recipients of federal awards in excess of these threshold amounts are prohibited from using the appropriated funds to lobby the federal government in connection with the making of any federal award. Consequently, the UGA is prohibited from using federal funds to pay its employees, or any other person, for influencing or attempting to influence a federal employee with regard to the awarding of a federal contract, grant, or loan. When requesting or receiving a federal award, the UGA is required to certify, in writing, that it has not used federal funds to pay its employees or others for prohibited lobbying activities. In addition, the UGA must disclose whether any non-federal funds were used to pay employees or others for lobbying activities that would be forbidden if federal funds were used. The law does not prohibit all forms of communication between contract or grant recipients and federal agencies. For example, the law does not prohibit recipients from providing information that has been specifically requested by a federal employee or member of Congress. Neither does it affect professional or technical services rendered during the preparation of a federal award that are necessary to meet requirements imposed as a condition of receiving an award. It only applies to communications intended to influence a federal agency or Congress in making an award. The UGA is responsible for submitting the required certification forms to federal agencies. However, all individuals involved with federal contracts and grants should be informed of this legislation so they will be aware that the law prohibits certain lobbying activities. For further information, contact the Office of Legal Affairs, sshew@arches.uga.edu, or (706) 542-0006. Policies pertaining to nepotism are set forth
in the Policy Manual of the Board of Regents of the University System
of Georgia,
Section 802.03 "Employment of Relatives," and the University
of Georgia Administrative Policies and Procedures Manual, Section 71.06-1 "Restrictions
on Employment." These policies prohibit a subordinate-superior
relationship between an individual and a relative. This prohibition
does not apply to temporary or part-time employment of children under
age 25, or a situation where an individual was employed as of February
14, 1990, and the relative holding a superior position is at least
one level of supervision removed from the individual, or where the
Board of Regents grants an exception under the policy. The policies
further provide that relationship by family or marriage shall constitute
neither an advantage nor a disadvantage in hiring. For further information, contact the Office of Legal
Affairs, sshew@arches.uga.edu,
or (706) 542-0006. In keeping with UGA policies, research units follow
an equal opportunity/affirmative action policy of non-discrimination
in employment. A copy of the policies regarding this issue is available
by contacting the Equal Opportunity Office, http://www.uga.edu/eoo/,
or (706) 542-7912. The Federal Procurement Policy Act is designed to prevent corrupt practices in the award of federal contracts. The Act does not apply to grants. In general, the Act prohibits competing contractors and federal government procurement officials from soliciting, promising, or discussing post-government employment or business opportunities, offering or accepting gifts, and soliciting, obtaining, or disclosing sensitive business information. The Act applies to all contracts with the federal government. For contracts over $100,000, the Act requires that, before the award of the contract, the contractor must certify in writing to the government contracting officer that the contractor has no information concerning any violation or possible violation of the law. Alternatively, the contractor must disclose all information concerning any violation and certify in writing that all information has been disclosed. The regulations which implement the Act further require that the contractor obtain a separate certification from all officers, employees, agents, representatives, and consultants who participate personally and substantially in the procurement process. The certification must ensure that such individuals are familiar with the Act, will comply with it, and will report any violation. For more information, see Appendix IV-D, Contractor’s Certificate of Procurement Integrity. The UGA possesses a broad license for the use of radioactive materials in teaching and research. The license is administered by the Georgia Department of Natural Resources. A state agreement with the Nuclear Regulatory Commission specifies that the state program will be compatible with federal regulations. The UGA license specifies that persons using radioactive materials must comply with UGA policy as well as state regulations. UGA faculty who use radioactive materials are individually licensed by the Radiation Safety Committee. Information concerning requirements and licensing procedures or assistance in the use and handling of radioactive materials may be obtained by calling the Radiation Safety Office at http://www.esd.uga.edu/rad/ , or (706) 542-5801. Responsible Conduct in Research A Responsible Conduct in Research policy has been adopted by the UGA in compliance with various federal laws, regulations, and policies that deal with misconduct in research. These laws, regulations, and policies require universities that receive federal funds to establish administrative procedures to review allegations of misconduct in connection with research. This policy pertains to all federally funded research conducted at the UGA. The Office of the Vice President for Research is responsible for implementing this policy, and the Associate Vice President for Research, has been appointed as the Research Integrity Officer for UGA. In this capacity, Dr. Smith will be responsible for (1) acting as liaison with external agencies and individuals making allegations, (2) overseeing the processes involved in administering this policy, and (3) designing/implementing training/orientation programs in research ethics. The integrity of UGA programs requires that faculty, staff, and students demand high standards of conduct of themselves and of others, that appropriate sanctions be imposed when misconduct has occurred, and that the reputations of those ultimately cleared of charges be restored to the extent possible. Allegations of misconduct must be resolved in a prompt and just manner, assuring that no recriminations will befall a person making allegations in good faith. For more information, contact ras@ovpr.uga.edu, or (706) 583-0443; or consult Appendix IV-C, Policies and Procedures for the University of Georgia policy on Responsible Conduct in Research and Scholarship. There are regulations under the Export Administration
Act that can have an impact on research. For example, computer, computer
products, and biologicals may require a license for export to certain
foreign countries. When in doubt, it is advisable to seek the advice
of the Legal Advisor to the Office of the Vice President for Research, jko@ovpr.uga.edu or
(706) 542-4750, or the Office of Legal Affairs, sshew@arches.uga.edu or (706)
542-0006.
Consulting is defined as external professional activities for pay, and includes any activity that: is performed on an individual contractual basis for any individual(s), firm or agency other than the UGA; is based on the professional knowledge, experience and abilities of the faculty member; is undertaken for personal compensation beyond the payment of a nominal honorarium and/or reimbursement of expenses; and clearly enhances the professional development and expertise of the faculty member. Appropriate consulting activities may be mutually beneficial to the faculty and the UGA and may result in improved teaching, research and/or service. Hence, reasonable participation in consulting is encouraged within the parameters described in Section 802.1602 of the Policy Manual of the Board of Regents of the University System of Georgia. Faculty should review the consulting policy of the respective school, college, or unit to ensure compliance with all policies and procedures, including prior approval of the appropriate official(s). Consulting does not include private business undertakings of faculty members nor those responsibilities that are part of their regular professional responsibilities to the UGA for which they are already being compensated. In some cases, there may appear to be a "gray area" between
a research agreement and a consulting agreement. All research agreements
must be submitted through the Office for Sponsored Programs. All consulting
agreements should be approved by the appropriate unit head. Faculty
are cautioned not to sign a conflicting patent agreement. For assistance
please contact the Legal Advisor to the Office of the Vice President
for Research, jcb@ovpr.uga.edu,
or (706) 542-4750. The UGA frequently is required to share in the cost of sponsored projects. Federal regulations require that when a department either has a contractual obligation to cost share or voluntarily agrees to cost share on a sponsored project, the UGA costs must be documented. Therefore, it is imperative that those UGA costs be budgeted separately and expended as outlined in the Handbook on Personnel Activity Reporting As Specified in Federal Regulations, originally issued in July 1980 and revised in February 1991. Failure to budget and spend in a timely manner in the appropriate cost-sharing account may result in federal audit disallowances for expenditures made from the related sponsored account. Since any disallowed cost is the responsibility of the benefiting department, it is important that each department follow procedures required by federal regulations to identify and document cost sharing expenditures. For more information, contact the Office for Sponsored Programs, (706) 542-5939, or the Department Manager, Department of Contracts and Grants. The University's policy and procedural documents regarding cost sharing can be found at http://www.budgets.uga.edu/manual/index_pandp.html (scroll down to Contracts and Grants procedure 6.1). Disclosure of Confidential Information in Proposals and Reports On occasion, a research proposal may disclose novel technology or an invention. Such information may be commercially valuable and may warrant protection. In general, proposals submitted to the United States Government are held in confidence unless awarded. If a grant or contract is awarded, relevant proposals and reports are subject to public inspection. The Freedom of Information Act includes provisions that protect commercially important information. Procedures vary at federal agencies with regard to the disclosure of such proposals and reports. Sometimes a federal agency will contact the UGARF prior to releasing such information. However, this practice is not always followed. Therefore, it is prudent to incorporate a notice on any proposal or report alerting the agency to the existence of commercially valuable information within the proposal or report. The Federal Acquisition Regulations (FAR) recommend use of the following legend for any proposal that incorporates valuable commercial information.
Individual pages should be marked with the following legend:
If a proposal containing commercially important information
is to be submitted to a private sponsor, the UGARF and the sponsor
should enter into a Restricted Disclosure Agreement prior to such submission.
Staff of the Office for Sponsored Programs, sponprog@ovpr.uga.edu,
or (706) 542-5939, and the Legal Advisor to the Office of the Vice President for Research, jko@ovpr.uga.edu,
or (706) 542-4750, are available to assist project directors with questions
regarding procedures that protect commercially important technical
information. The interdisciplinary nature of issues that confront a contemporary university requires organizational forms and operating policies that cross traditional academic boundaries. Those institutes and centers that are formed as part of the UGA structure are designed to facilitate collaborative research efforts among faculty in different departments, schools, and colleges. Institutes and centers should not duplicate the missions of departments, schools, or colleges; a key ingredient of an institute or center is its "value added." A memorandum dated May 11, 1990, from Vice President for Academic Affairs William F. Prokasy to the University Council Executive Committee outlines issues related to the establishment of an institute or center. The memorandum, approved by the University Council on May 31, 1990, defines institutes and centers and presents criteria for the formation, review, and termination processes, administrative location, and appointment of faculty. It is the responsibility of the UGA and the UGARF to retain and protect the right of researchers to publish all research results. When a contract for sponsored research is negotiated, the UGA or the UGARF can agree, under limited circumstances, to maintain the confidentiality of a sponsor's trade secret information provided to the UGA for performance of a research contract. When such a contract is negotiated, the UGA or the UGARF may also, under limited circumstances, agree to delay publication of research results for a short period of time to enable the UGARF or a sponsor to obtain patent protection for such results. For more information, contact the Legal Advisor to the
Office of the Vice President for Research, jko@ovpr.uga.edu or
(706) 542-4750. University Computing and Networking Services (UCNS)
operates and supports a variety of computer facilities and the campuswide
data networking facilities that provide access to campus, national,
and international computer networks – including the Internet.
UCNS is a service unit under the administration of the Office of the
Senior Vice President for Academic Affairs and Provost, through the
Associate Vice President for Computing and Networking. For more information,
see Chapter V, or consult http://www.uga.edu/~ucns/,
or contact UCNS at helpdesk@uga.cc.uga.edu,
or call (706) 542-3106. Appointment and promotion of full-time research professionals at the UGA are based on the scholarship of the candidates. Scholarship, both a science and an art, extends knowledge through a public demonstration of disciplined inquiry and creative effort. Persons in these positions are not eligible for tenure. Otherwise, research professionals enjoy the same privileges and status as tenured or tenure-track faculty. Evidence of excellence in research or other creative activity includes, but is not limited to: books, reviews, monographs, bulletins, articles, and other scholarly works published by reputable journals, scholarly presses, and publishing houses that accept works only after rigorous review and approval by peers in the discipline; success in competing for grants and contracts subjected to rigorous peer review and approval to finance the development of ideas; citations of research in scholarly publications; prizes and awards for excellence of work; and membership on important scientific expeditions or membership on teams making artistic recordings of important events or engaging in the delivery of technology through project development. Other supporting evidence may include professional activities within one's discipline, professional associations, and learned societies. Appointment to and promotion within the research professional ranks includes consideration of years in rank and levels of experience and accomplishment. To be eligible for a research professional appointment, a person must have obtained the terminal degree awarded in one's discipline. Full-time research professionals are usually supported from grants or contracts. Consequently, renewal of appointment and salary level usually depend on the successful renewal of outside support. Appointments and promotions require approval by the Board of Regents. For complete guidelines, see Guidelines for Appointment and Promotion of University Full-Time Research Professionals. Distinguished Research Professors The appointment of Distinguished Research Professors at the UGA is a UGA-wide honor intended to recognize outstanding research or other creative, scholarly accomplishments and to provide the impetus for continuing high achievement. The title of Distinguished Research Professor is awarded for a five-year period to those academicians recognized for creative and original contributions to knowledge and whose work promises to continue to foster significant new concepts and understandings. The Distinguished Research Professor's work shall be at the highest levels of creativity in a discipline's theoretical or applied sectors, and is affirmed by recognized national and/or international leaders in that discipline. Distinguished Research Professors are expected to serve the UGA through research, instruction, and service. The specific responsibilities of an individual holding a Distinguished Research Professorship shall be determined by the department head and the dean of the appropriate school or college. Appointment includes a one-time permanent increase in base pay of $7,000 plus a $5,000 account each year for a period of five years to be used in any appropriate way to support scholarship. There is no limit on the number of individuals from any department or other academic unit who might simultaneously hold the title of Distinguished Research Professor. For complete guidelines, see Guidelines for Appointment of Distinguished Research Professionals. A group of five tenured faculty members, a department head, or a dean may nominate an individual to become a Distinguished Research Professor. Nominees must have gained at least 10 years of experience beyond the date of the terminal academic degree and must have the endorsement of the appropriate department head and dean. For more information, contact jgc@ovpr.uga.edu ,or (706) 542-5929, or see Appendix IV-H, The University of Georgia Appointment Guidelines for Distunguished Research Professor. Based on the UGA mission to conduce UGA. To this end,
state money is used to pay a portion of a faculty member's salary for
engaging in research activities. A faculty member's research time is
determined by the appropriate unit head. Salary increases for research, faculty members can expect encouragement and assistance from UGA employees are normally permitted on an annual basis to become effective at the next authorized salary adjustment date, usually July 1st of each year. Mid-year staff increases are rare and are allowed only under certain conditions. The guidelines for salary increases set by the Board of Regents and the President of the UGA each year apply to all personnel, whether paid from sponsored or non-sponsored funds. The source or availability of funds is not the determining factor. Salary amounts shown on applications to sponsoring agencies are not firm commitments. They are estimates and should be submitted in line with regular UGA salaries for similar positions. For more specific information, consult http://www.busfin.uga.edu/human_resources, or contact the Office of Human Resources at mkirk@uga.cc.uga.edu, or (706) 542-2621. A limited amount of state money is usually available for salaries of those persons on nine-month appointments who wish to engage in research during the summer quarter. It is the responsibility of the appropriate unit head to determine which faculty members receive summer research money.
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