Faculty Handbook

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GEORGETOWN UNIVERSITY

FACULTY HANDBOOK

Mission Statement

Georgetown is a Catholic and Jesuit, student-centered research university.

Established in 1789 in the spirit of the new republic, the University was founded on the principle that serious and sustained discourse among people of different faiths, cultures, and beliefs promotes intellectual, ethical, and spiritual understanding. We embody this principle in the diversity of our students, faculty, and staff, our commitment to justice and the common good, our intellectual openness, and our international character.

An academic community dedicated to creating and communicating knowledge, Georgetown provides excellent undergraduate, graduate, and professional education in the Jesuit tradition for the glory of God and the well-being of humankind.

Georgetown educates women and men to be reflective lifelong learners, to be responsible and active participants in civic life, and to live generously in service to others.

Equal Opportunity and Non-Discrimination in Employment

Georgetown University provides equal opportunity in employment for all persons, and prohibits unlawful discrimination and harassment in all aspects of employment because of age, color, disability, family responsibilities, gender identity or expression, genetic information, marital status, matriculation, national origin, personal appearance, political affiliation, race, religion, sex, sexual orientation, veteran’s status or any other factor prohibited by law. Inquiries regarding Georgetown University’s non-discrimination policy may be addressed to Institutional Diversity, Equity & Affirmative Action, 37th and O Sts., N.W., Suite M36, Darnall Hall, Georgetown University, Washington, D.C. 20057.

Equal Opportunity and Non-Discrimination in Education

Georgetown University provides educational opportunities without regard to, and does not discriminate on the basis of, age, color, disability, family responsibilities, familial status, gender identity or expression, marital status, national origin, personal appearance, political affiliation, race, religion, sex, sexual orientation, source of income or any other factor prohibited by law in its educational programs and activities. Inquiries regarding Georgetown University’s non-discrimination policy may be addressed to Institutional Diversity, Equity & Affirmative Action, 37th and O Sts., N.W., Suite M36, Darnall Hall, Georgetown University, Washington, D.C. 20057.

Affirmative Action in Employment

Georgetown University is committed to promoting the full realization of equal employment opportunity through an affirmative action program, in compliance with applicable laws. A central premise underlying affirmative action is that, absent discrimination, over time our workforce generally should reflect the gender, racial and ethnic profile of the labor pools from which we recruit and select faculty and staff. The University conducts annual analyses designed to evaluate the composition of our workforce and compare it to the composition of our relevant labor pools. If women and minorities are not being employed at the rate expected given their availability in the relevant labor pool, we engage in specific, practical steps to address this underutilization. In addition, our annual analyses measure the effectiveness of our affirmative action program with respect to disabled individuals and veterans.

The University undertakes appropriate outreach and positive recruitment activities to effectively recruit women, minority members, disabled individuals and veterans. It is the practice of this University and its departments to advertise vigorously and to recruit and hire qualified candidates. To this end, the University will take affirmative action to ensure that all qualified applicants and employees receive fair consideration and treatment. The University recruits, hires, trains and promotes persons in all positions, and ensures that all personnel actions are administered, without regard to membership in a protected class. Employment decisions are based only on valid job requirements. The University takes affirmative action to treat all qualified individuals without discrimination in all employment practices, including advertising, recruitment, selection, rates of pay or compensation, benefits and selection for training, professional development, job classifications, job assignments, leaves of absence, retention, promotion, award of tenure, advancement, transfer, demotion, layoff and termination. The University makes reasonable accommodations for the known physical or mental limitations of otherwise qualified individuals with disabilities.

The University monitors and examines its employment decisions, job qualifications and classifications, personnel processes, and compensation systems to evaluate the impact of those systems on women, minorities, disabled individuals, and veterans.

The University’s approved Affirmative Action Plan provides faculty, staff, student employees and applicants for employment with access to grievance procedures for prompt, fair, and impartial consideration of all complaints of unlawful discrimination on employment matters. Employees and applicants shall not be subjected to harassment, intimidation, threats, coercion or discrimination for engaging in any of the following activities: (1) filing a complaint; (2) assisting or participating in an investigation, compliance evaluation, hearing, or other activity related to the enforcement of the University’s non-discrimination obligations; (3) opposing any unlawful employment act or practice; or (4) exercising any other protected rights.

In support of this policy, the University affirms its commitment to undertake programmatic initiatives to ensure that each member of its community understands the importance of the program and his/her individual responsibility to contribute toward its maximum fulfillment. This policy will be widely disseminated to all members of the University community.

Responsibility for implementing the University’s affirmative action policy lies with Institutional Diversity, Equity & Affirmative Action (IDEAA), 37th and O Sts., N.W., Suite M36, Darnall Hall, Georgetown University, Washington, D.C. 20057. Inquiries regarding the University's affirmative action policy should be addressed to IDEAA. 

Table of Contents

 

     Faculty Handbook 1999

I. Introduction

The faculty of Georgetown University stand among the world's leaders in their domains of research, service, and teaching. To secure that stature and to fulfill the University's mission, faculty must be guaranteed the academic freedom and the resources enabling them to shape the character and intellect of our students, to break new ground in research, and to render service of the greatest value to the public as well as the University. The Georgetown model of shared governance recognizes the special role of faculty and ensures that they will be consistently and appropriately involved in the formulation of University policies, especially but not only through the participation of the Faculty Senate and its leadership.

The policies collected here had an earlier life as the Faculty Handbook, conveniently printed for reference – hence the title that continues in this non-print version. They express the University's enunciation of the rights and responsibilities of faculty members, as approved by the Board of Directors. Faculty contracts make it explicit that those policies collected here form part of the contractual obligations of University and faculty.

In 1974, the Board of Directors accepted the core principles from the classic 1940 Statement of Principles on Academic Freedom and Tenure of the American Association of University Professors. The policies presented here constitute the University's implementation of the principles we draw from that and other sources. We commit to continuing in dialogue with the profession and its leading organizations nationally and internationally, to ensure that the highest standards of freedom and responsibility are met by the University and its faculty.

The last revision of the whole Handbook was completed in 1999, though individual policies have been revised since that time. We now (2007) present the policies in an integrated website, which will henceforth contain the authoritative version of current policies. In particular, Board-approved policies defining the rights and responsibilities of faculty members are published and will be updated on this site. Faculty members have additional rights and responsibilities set out in other policies approved by duly authorized administrative officers and faculty governance bodies. In case of conflict among policies and their implementation, Board-approved policies shall prevail. Other offices of the University wishing to inform faculty about Board-approved policies are expected to link to this site. There will also be published or linked here, for convenience and clarity of communication, a variety of other university-wide policies and documents that the faculty and administration judge important.

The Office of Provost has the responsibility for assuring the accuracy and currency of the website.

Table of Contents

II. University Governance and Organization

Contents

EDITOR'S NOTE

The information below regarding University governance and organization is original to the Faculty Handbook 1999. The complete section , which still serves pending revision as the most recent Board-approved policy, is available in the archives section of this website. While the general principles of governance and organization persist, some of the positions and titles of University administrators have changed. For current information, many University offices now have websites that can be searched at www.georgetown.edu .
 

A. THE BOARD OF DIRECTORS

The Board of Directors is the governing body of the University. It is a body of between ten and fifty members enjoying legal jurisdiction over the academic and business procedures of the University.

B. THE PRESIDENT OF THE UNIVERSITY

1. Appointment and Responsibilities
 

The University President is the chief academic and administrative officer of the University. The President is appointed by the Board of Directors. The President's responsibilities include but are not limited to:

1. The appointment with the concurrence of the Board of Directors, the Provost, [1] Executive Vice Presidents, Vice Presidents and Deans.
2. The appointment of all Departmental Chairs, Professors and Associate Professors.
3. The granting of tenure, and promotion above the assistant professorial level, generally upon the recommendation of the University Rank and Tenure Committee and with the concurrence of the appropriate campus Executive Vice President.
4. The conferral of all degrees in course as approved by the Board of Directors acting on the recommendation of the Deans and Faculties of the respective schools.
5. The conferral of honorary degrees and other awards with the approval of the Board of Directors.
6. The appointment of University committees and their members.
7. The conduct and direction of such matters which will in the President's judgment promote the University and its best interests.
8. The Senior Vice President, the Provost, the Executive Vice Presidents, the Senior Vice President and Secretary, the Vice President and Treasurer, the Vice President for Communications and Public Affairs, and the Vice President for Alumni and University Relations report to the President.

 

 

C. PROVOST AND EXECUTIVE VICE PRESIDENTS

1. Provost
 

The Provost is a line officer of the University administration with direct responsibility for all undergraduate and graduate programs not housed in the Medical or Law Centers. In addition, the Provost acts for the President in the President's absence and serves as a major advisor to the President on long-term plans, priorities, and directions for the University. The Provost has direct responsibility for the following areas:

1.   Coordinating academic programs: [5]
   1. GEORGETOWN COLLEGE AND THE FACULTY OF LANGUAGE AND LINGUISTICS
   2. GRADUATE SCHOOL OF ARTS AND SCIENCES
   3. SCHOOL OF FOREIGN SERVICE
   4. SCHOOL OF BUSINESS
   5. SCHOOL FOR SUMMER AND CONTINUING EDUCATION [6]
       
2.  Supervising and arranging University Academic Convocations, Main Campus Commencements, and general faculty meetings, and issuing all directives to the faculty for same.
3. Recommending, with the Department Chair and the Deans, appointments of full-time Main Campus faculty for the rank of Professor or Associate Professor and/or grants of tenure to the President.
4. Issuing, in the name of the University, formal letters of appointment for Main Campus faculty members engaged by the Deans upon the recommendation of the Department Chairs for the ranks of Assistant Professor, Instructor or Lecturer;
5. Preparation of budgets for presentation to the President of the University and ultimately to the Board of Directors.
6. The administration of University policy applicable to all Main Campus faculty personnel, with respect to faculty status and welfare. The Deans have immediate supervision of the instructional programs involving both faculty and students in their respective schools.
7. The supervision and direction of admissions, registrations, record procedures, Office of International Programs, Georgetown University Press, Army ROTC, and libraries, except at the Medical Center and Law Center.
8. Financial aid policy for Main Campus students.

The Provost is the Affirmative Action Officer for all academic areas (with the exception of the Medical Center and Law Center), is Chair of the Council of Deans, and an ex officio member of all Executive Councils of the Main Campus schools, and has multi-campus and University policy roles, including service in the President's Cabinet and Executive Committee of the Cabinet. The following officers report directly to the Provost:

2. The Executive Vice President for Health Sciences

The Office of the Executive Vice President for Health Sciences possesses line authority from the President and Board of Directors for all academic and administrative activities of the Medical Center. The Executive Vice President is responsible for the educational, research and service programs, for other functions and activities as they may exist now or arise, and for the recommendation and implementation of all policies and regulations established by the President and Board of Directors. The Executive Vice President has multi-campus and University policy roles, including service in the President's Cabinet; is the Affirmative Action Officer for the Medical Center Campus; and has direct responsibility for all Medical Center activities including:

1. Coordinating academic programs in the Medical Center Schools:
   1. THE SCHOOL OF MEDICINE.
   2. THE SCHOOL OF NURSING. [7]
       

3. The Executive Vice President and Chief Academic and Administrative Officer for Law Center Affairs

The Executive Vice President is the Chair of the law faculty (non-departmentalized) and chief academic officer of all Law Center full- and part-time divisions: the School of Law, the Graduate School of Law, the Continuing Legal Education division, the Law Library, the Institute of Criminal Law and Procedure, the Institute of Public Representation, the Anne Blaine Harrison Institute of Public Law, and the several clinics. In addition, the Executive Vice President serves as a member of the University administrative and policy bodies including the President's Cabinet and the Executive Committee of the Cabinet, and is the Affirmative Action Officer of the Law campus.

Deans of Schools

The Deans are the administrative heads of the Schools, and report to the Provost or Executive Vice President of their campus. They have the primary responsibility for the general effectiveness of the instructional programs of the Schools and have the obligation of carrying out all University policies and the regulations adopted by the Executive Councils in keeping with University policy.

A. Appointments

The Deans are appointed by the President of the University with the concurrence of the Board of Directors and after consultation with the Faculty Senate and the Provost or appropriate Executive Vice President.

B. Responsibilities

Deans are responsible to the President for the proper conduct and administration, and the constant development and improvement, of the Schools in all phases of their work and activity. The Dean of a School is the Chair of its Executive Council and an ex officio member of all School committees. In addition, the Dean:

1. Appoints faculty members to committees of the School, and to other administrative duties.
2. Gathers from the Chairs of the Departments assigned to the School all necessary data for the tentative budget.
3. Sees that significant data concerning the work and activities of the School, faculty, and student body are collected, evaluated, and recorded in permanent form.
4. Makes annual reports to the President through the Provost or appropriate Executive Vice President on the functioning of the School, and to other University officers such reports as may, from time to time, be requested.
5. Determines the assignment of faculty and schedule of courses in the School, through the Registrar.
6. Supervises the educational activity of the School, overseeing the curricula, courses, and methods of instruction, and supporting research.
7. Gives special attention and cooperation to the Departments assigned specifically to the School, conferring with their respective Chairs, and refers their needs and problems to the President through the Provost or appropriate Executive Vice President with comment and recommendation.
8. Endorses the appointment of faculty members on the recommendation of the Chairs of the Departments, with the formal letter of appointment being issued by the Provost or appropriate Executive Vice President.
9. Studies the problems of the School's educational and professional fields, keeps informed on trends and developments in them, and discusses, with the Executive Council, adjustments of curriculum, courses, and methods to keep abreast with general progress in such fields.
10. Recommends, in conjunction with the faculty, candidates for degrees to the President and Board of Directors of the University.
11. Instructs new faculty in the School on details of University policy and practice.

The Deans of the Main Campus schools serve on the Council of Deans.

 

III. Faculty Policies and Procedures

A. FACULTY GOVERNANCE BODIES

Contents

The University as a whole and its principal administrative units have faculty committees that determine academic policy and advise the academic administrators on a range of issues. These bodies are established to insure full faculty participation in matters of broad university interest by sharing responsibility with the Administration and Board of Directors in the conduct of university affairs.

1.  University Faculty Senate

The University Faculty Senate has members from all three campuses. It formulates academic policy at the University level, and advises the President and Board of Directors on central fiscal and administrative decisions that affect the mission of the University. The President and other officers of the Senate are elected by the Senate. The Constitution of the Faculty Senate is Section III. F. of the Faculty Handbook.

2.  Campus Executive Faculties

Each campus has an Executive Faculty which formulates academic policy for the campus as a whole. Their members are selected in different manners, according to their constitutions, from across the campuses they govern. All three advise the Provost or Executive Vice President for their campus on fiscal and administrative matters as well as academic policies. The Executive Vice Presidents of the Medical Center and the Law Center chair their respective Executive Faculties. The Chair of the Main Campus Executive Faculty is elected by its members.

3.  School Executive Councils

Each school on the Main Campus has an Executive Council that is the educational policy making body for that school. Members of the Executive Councils are selected from across the school they govern by the procedure specified in their constitution. The Dean of the School is the Chair of its Executive Council.

B. CHAIRS OF DEPARTMENTS

Contents

1.  Appointment

The Chair of a Department is appointed by the President, based on recommendations of the Department faculty (or a search committee including Department faculty) and the relevant academic officers.

2.  Responsibilities

The Chair consults regularly with the Dean(s) of the School(s), to whom he or she is responsible. The Chair is responsible for:

1. Ensuring that the Department conforms to all University, Campus, and School policies.
2. Establishing and administering all Departmental policies and procedures, and for acting in accordance with all established policies.
3. Supervising the members of the Department in academic and technical matters, and promoting the highest possible grade of research and instruction in the Department. The Chair or a designee may visit any class to monitor and ensure the quality of instruction.
4. Selecting the courses to be taught in the Department.
5. Recommending to the Dean changes in curricula in the light of trends and developments in the Department's area of study.
6. Calling and presiding at meetings of the Department, which are normally held monthly throughout the academic year, and seeing to it that minutes are prepared and put on record.
7. All expenditures by the Department, and preparing budgets for the next fiscal year.
8. All official correspondence of the Department.
9. Recommending, in accordance with the Department's procedures, annual merit increases to the Dean(s) for all faculty members and academic staff of the Department.
10. Communicating to the Dean(s) the Department's recommendations on faculty candidates for appointment, tenure or promotion.
11. The timely purchase and acquisition of textbooks and other educational materials for courses in the Department.
12. The purchase of all books, apparatus, equipment, and supplies for the Department, and for their maintenance, storage and inventory.
13. The allocation of office and research space.
14. In departments with graduate programs, the Chair or a designee recommends to the Graduate Dean all candidates to be admitted to the Department's masters or doctoral programs, as well as all degree candidates, fellowships and terminations.
15. The Chair is jointly responsible with the Department faculty and the Dean for the progress and welfare of all students enrolled in the Department. The Chair sees to it that students pursuing degrees in the Department receive adequate direction in their selection of courses and in their preparation for comprehensive exams, independent studies, practica and theses. In the clinical departments of the Medical Center, the Chair sees to it that residents and fellows receive proper direction and supervision.
16. The Chair is expected to be available as departmental needs shall require and to appoint an Acting Chair during any extended absence. Once appointed, the Acting Chair has all the powers and responsibilities of the Chair.

C. FACULTY RIGHTS AND RESPONSIBILITIES

Contents

The basic functions of the University are teaching, research and service. By accepting an appointment in this University, an individual assumes a responsibility to teach, pursue scholarly and professional activities, and participate in the academic life of the University. Faculty members have the rights and responsibilities set forth in this Faculty Handbook, in the Faculty Grievance Code (Section III. G.), in a faculty member's contract or in other appropriately authorized University documents approved by the Faculty Senate, similarly intended to establish faculty rights and responsibilities.

The responsibilities of Ordinary faculty members include teaching, research, and service.  The specific responsibilities of other faculty in these three areas are set out in their letters of appointment and applicable campus policies.  Faculty rights and responsibilities in these and related areas shall include but not be limited to the following:

1.  Academic Freedom

1. Academic freedom is essential to teaching and research. Such freedom requires free inquiry, free expression, intellectual honesty, respect for the academic rights of others, and openness to change. The rights and responsibilities exercised within the academic community must be compatible with these requirements. All members of the faculty, in common with all other members of the community, share the responsibility for maintaining a professional atmosphere in which violations of academic freedom and responsibility are unlikely to occur. The University endorses the American Association of University Professor's 1940 Statement of Principles on Academic Freedom and Tenure, with clarifications that place it in the Georgetown University context (see Section XXI).
2. A Faculty member has rights and responsibilities common to all citizens, free from institutional censorship. In furtherance of this principle, a Faculty member may be held accountable by the University for his or her private acts only as they substantially affect teaching, research or University service. However, in his or her private pursuits the services of the University shall not be used nor shall the University affiliation be used so as to indicate University approval. When speaking or writing in a controversial field, members of the Faculty should indicate that their viewpoints do not necessarily reflect the official position of the University authorities.

2.  Research

Research advances knowledge and understanding, and takes different forms in different fields. It includes scholarly inquiry, scientific investigation, and artistic expression that is published or otherwise disseminated.

a. Compliance with Applicable Regulations.

Faculty members have a responsibility to comply with all regulations governing research imposed by law or University policy, including but not limited to the Conflict of Interest Policy and the policies and procedures of the Institutional Review Board, the Radiation Safety Committee, and the Animal Care and Use Committee.

b. Sabbatical Leave

Sabbatical leave is granted by the University in order to allow tenured faculty the periodic opportunity to concentrate on research. With an approved application, eligible faculty may take a sabbatical leave after every six years or twelve semesters of counted service. See section III.C.10.b.
 

3.  Teaching

Members of the Faculty have the following specific responsibilities in connection with their teaching:

a.  To remain current in their subjects.

b.  To instruct assigned courses at the scheduled time, promptly beginning and ending each class.

c.  To complete in a professional, timely and responsible manner all other teaching and academic assignments which the faculty member has accepted as, or which are a normal part of, his or her duties.

d.  To avoid using his or her position improperly as a faculty member to coerce students to adopt or feign positions similar to the faculty member's, or to prevent the student from holding a view opposed to it.

e.  To give individual evaluations of student performance.

f.  To hold regular office hours adequate for advising and counseling students, including during the registration and pre-registration periods.

g.  To attend Commencements and Convocations.

h.  To notify the Department Chair of any plans to be absent in order to attend meetings. Members of the Faculty who must be absent because of illness or other emergency should inform the Chairs of the Departments and/or Deans of Schools as soon as possible. Arrangements must be made to cover or reschedule any classes missed. Absence to attend meetings is not sufficient reason for the cancellation of classes.

4. Grading

 

a. The grade submitted by a faculty member to the Registrar at the end of the course may be overruled only as the result of an appeal procedure approved by the faculty governance body responsible for academic policy in the campus or school governed by the policy.

i. Any such appeal procedure should be designed to protect students against evaluation in which the professor uses inappropriate criteria or ignores stated procedures and grading standards.

ii. Such procedures should provide for a faculty committee to review the appeal and authorize any resulting change in a grade.

iii Deans may resolve an appeal only if the faculty committee fails to act in the time specified.

iv. Faculty have a responsibility to cooperate fully with grade appeals conducted according to the approved procedures.

 

b. The faculty member’s ability to change a grade after it has been recorded by the Registrar is limited by School policy.

c.  School policies may also authorize the Registrar or Dean to record administrative Fs when faculty members fail to turn in grades, retroactively withdraw students from courses, and convert letter grades when a course is taken pass/fail.

5.  Service

 

Members of the Faculty have a responsibility to accept a reasonable number of assignments to committee work.

6.  Participation in Governance

Faculty members have the right to participate in the governance of the University, and to seek change of University policies by appropriate means and through appropriate channels provided within each part of the University. The principal governance bodies are the University Faculty Senate, the Campus Executive Faculties, and the School Executive Councils (see Section II. C.). In addition, there is a chapter of the American Association of University Professors on campus.

7. Outside Professional Activities

1. All members of the faculty are expected to belong to, and participate in the affairs of, the important professional and educational associations and societies in their respective fields.

2. To the extent possible, members of the faculty are expected to deliver papers at meetings of professional and educational organizations and to contribute to professional and educational journals and publications at reasonable intervals. Within the limits of the budget, the Chair of the Department may authorize such active participation of a full-time faculty member in the meetings of an important society. Requests for such travel must be made in due time and must be accompanied by an estimate of cost so that the Chair may have opportunity to consider the budget. All expense accounts for authorized trips, itemized and accompanied by receipts, should be submitted through the Chair to the appropriate University Office for payment. Similar approval must be obtained in cases of travel chargeable to grants or contracts.

3. A regular full-time faculty member shall not accept regular or part-time employment as a full- or part-time teacher during the academic year in another institution, without the approval of the Department Chair and the appropriate Dean(s).

4. While full-time status will not afford much extra time, faculty members may serve as consultants. Such consultation or other remunerative occupation outside the University, however, should not exceed an average of eight hours a week and must not be undertaken until the Chair of the Department is satisfied that teaching, research, mentoring, and committee and other school obligations will be met.

5. Occasional participation in traditional scholarly activities such as, but not limited to, service on study sections and review panels, delivery of academic seminars, the review, presentation or writing of scholarly papers, and service on editorial boards is considered part of the routine academic duty of faculty members. No advance review is required for activities of this type so long as they do not conflict with other faculty duties. Major and ongoing extramural academic commitments that are expected to require commitment of University resources and/or to conflict with other faculty duties do require advance consultation and agreement with the Department Chair, the Dean, or other appropriate administrative officer to assure that teaching, research, mentoring, and committee and other school obligations will be met.

6. When Faculty members use University equipment or facilities in professional work for clients outside the University, the University shall be compensated for the actual burden, including direct costs, borne by the University for such use, and such compensation shall be at a rate determined by the Chair of the Department and the Dean of the School in question, or by other officials of the University who are concerned with the matter.

 

8. Commencements and Convocations.

Faculty members have a responsibility to attend commencements and convocations as directed by their Executive Vice President, Dean, or Chair.

9.  The Academic Year

The Academic Year of the Main Campus, the Law Center, and the School of Nursing and Health Studies runs from the beginning of the fall semester to the end of the spring semester as defined by the annual academic calendar approved by the appropriate Executive Vice President. The Academic Year for the Medical Center (except for the School of Nursing and Health Studies) runs for 12 months from July 1 to June 30.

10.  Leaves

a. Leave Requests and Limits 

Requests for leave must be made in writing by the faculty member through the department chair or unit director and the appropriate dean to the EVP or Provost, whose final decision will be addressed to the faculty member in writing. The decision will take into account the proposed activity during the period of the requested leave and the impact of the faculty member's absence.

 

Leave approval will include a specified term of no more than four semesters (two academic or calendar years). Only in exceptional circumstances will an extended leave be approved for a consecutive period of more than four semesters up to maximum of four years. Such requests will be considered by the Provost or EVP.

Any request for consecutive leave and leave extension for a combined period of more than four years will be granted only if the proposed leave is recommended by the Provost or EVP and approved by the President. Such approval will be granted only in the most exceptional cases.

A faculty member who does not return from approved leave following the specified term will be terminated from his or her position and, as applicable, relinquish tenure.

b.  Sabbatical Leave

Tenured faculty are eligible for a sabbatical leave after accruing six years or twelve semesters of counted service. Rules regarding counted semesters of service are determined by campus policy.

An application setting forth a research proposal must be in writing and should be submitted by December 1 of the academic year preceding the year of absence. Sabbatical leaves will be granted when the research proposal is meritorious, the University will not suffer undue academic inconvenience by the absence, and the faculty member is eligible for a sabbatical. Applications will be reviewed by the department chair and deans, as appropriate. Their recommendations will be forwarded to the Provost or Executive Vice President for decision.

The purpose of a sabbatical leave is to promote research. Sabbatical leaves are usually devoted exclusively to carrying out a research project, but may also consist of a course of study designed to learn new research skills essential for future projects. Any teaching or other paid professional activity during the period of the sabbatical leave must be approved by the Provost or Executive Vice President in advance of the activity. Approval will be based on whether the activity complements the approved sabbatical project.

 

At the Main Campus and Law Center, the terms of sabbatical leave will be either one academic year at half base salary or one semester at full base salary. At the Medical Center, the terms are six months at full base salary or twelve months at half base salary. At the end of the leave period the faculty member is to report in writing on the progress of research or formal study during that time. This report is to be submitted to the Provost or appropriate Executive Vice President upon completion of the sabbatical.

Sabbatical leave is intended to benefit the University and the individual. By the acceptance of a sabbatical leave, faculty commit to resume their regular academic duties at Georgetown for at least one year. Faculty members who fail to honor this commitment will be required to return any salary received from Georgetown funds during their sabbatical.

 

11.  Fair Treatment

 

Every member of the University has the right to be treated fairly, courteously, and professionally by students, colleagues, the Department Chair and by all members of the University administration, and to be protected from arbitrary or capricious action on the part of any such persons.

1. Members of the Faculty are to be free from arbitrary or capricious action on the part of the University Administration with respect to the determination of his or her own individual annual compensation. In this regard, faculty members have the right to receive full information concerning all factors material to the determination of his or her own individual annual compensation, provided that an individual is not entitled to receive any information concerning the salaries or the factors material to the salaries of others, nor may the faculty member by this provision be entitled to receive any information received by the University in confidence relevant to initial appointment, the grant of tenure, promotion or retention.

2. Members of the Faculty must refrain from committing or inciting to acts of physical violence against individuals or property, or acts which interfere with the academic freedom of other persons within the University, or interfere with the freedom of speech or movement of such persons.

 

12.  Religious Tolerance

 

Members of the faculty have an obligation to recognize that Georgetown University is a Jesuit university committed therefore to Catholic principles and religious values. While this places no obligation on faculty members with regard to their personal beliefs or religious practices, it does require a respect, in their capacity as faculty members, for the basic religious commitment of Georgetown University.

 

13.  Confidentiality

 

 

Members of the faculty should make themselves aware of various confidentiality requirements imposed by the University and by federal laws, e.g., the University Faculty Grievance Code (Section III. G. infra), the University Procedures for Alleged Misconduct In Research (Section IV. D. infra), and The Family Educational Rights and Privacy Act of 1974. Members of the faculty are expected to use good judgment in determining which affairs of the University are confidential, and to make conservative decisions in case of doubt. University Counsel can be consulted for advice in this regard.

 

 

 

 

 

 

 

14. Financial Conflicts of Interest

Despite the frequency and complexity of the relationships of the University and its faculty and staff with industry, government and other entities, these relationships are governed by one basic principle--the full-time faculty and staff of Georgetown University recognize that their primary professional responsibility is to Georgetown University. They must not allow outside obligations, financial interests or employment relationships to compromise their objectivity as teachers, researchers, clinicians, and administrators. In addition, members of the Georgetown University community who are supported by public funds bear a special obligation to preserve the public trust. To further these ends, Georgetown University has developed a policy for the identification and prevention of financial conflicts of interest. The full text of this policy is set out in Section IV. C.

15. The University Policy Concerning Indemnification of Faculty Members

Georgetown University will defend, indemnify and hold harmless its faculty members from and against any and all expenses, including reasonable attorney's fees and disbursements, judgments or settlements, arising out of any act or failure to act by faculty members acting in good faith within the scope of their employment and in performance of their authorized or assigned duties. The University reserves the right not to defend or indemnify a faculty member where the injury or damage results from intentional wrongdoing, gross negligence, or willful violation or disregard of University policies and procedures. Nor will the University defend or indemnify a faculty member (1) in the event that the action or proceeding on a claim is brought by, on behalf of, or in the right of, the University, or (2) in the event that in the action or proceeding of the claim, the faculty member is aligned as a party adverse to the University. Acts or failures to act by faculty members rendering medical, nursing, legal, or other professional services not within the scope of their employment or not part of authorized or assigned duties are not included herein. In addition, indemnification shall not be available to a faculty member to the extent that any damage or loss is indemnifiable under other insurance covering the faculty member.

Defense and indemnification are conditional upon the delivery to the Office of the University Counsel of the original or a copy of any summons, complaint, process, notice, demand or pleading within 10 working days after service of such document. [8] Secondly, the University must be given the absolute and continuing right to take charge of the claim or litigation including the right to direct any litigation, to appoint counsel and to settle any and all claims in a manner deemed appropriate by the University. The University shall give prior notification to the faculty member of any settlement proposals and allow the faculty member the opportunity to comment upon the proposal and shall give reasonable consideration of such comments. To the extent that it is within its control the University shall maintain the confidentiality of all settlement proposals and agreements. Finally, the University and its counsel are to be given full assistance and continuous cooperation of the faculty member throughout the defense of any covered claim or litigation.

 

 

 

 

 

D. APPOINTMENTS, RANK, AND TENURE

Contents

1.  Faculty

All officers of instruction are members of the faculty [9] of the University although assigned to service in distinct schools. A faculty member has a primary appointment in only one department, but may have secondary appointments in one or more units (departments, programs or schools).  [10]

Those officers of instruction who by reason of their qualifications have been appointed to one of the four full-time tenure-eligible academic ranks (which in ascending order are Instructor, Assistant Professor, Associate Professor, and Professor) constitute the ORDINARY FACULTY of the University. 

The President, and by delegated authority, the Provost or campus Executive Vice President, appoint members of the faculty. Generally, the President makes appointments to the Ordinary Faculty at the ranks of Associate and Full Professor, and the Provost or campus Executive Vice President makes other faculty appointments.

Professional librarians share certain rights and privileges of the faculty specified in the Faculty Handbook. 

2.  General Norms for Appointment, Retention and Advancement

Those appointed to the faculty are expected to observe the professional standards and procedures set forth in this Faculty Handbook. Included within these standards is the expectation that all those appointed to the faculty will provide the University with full and accurate information about their credentials.

It is to be expected that all members of the faculty will perform satisfactorily their teaching and other duties. Satisfactory performance does not of itself constitute grounds for retention or advancement in academic rank however. With advancing levels of academic experience, it is expected that faculty members will demonstrate an increasing level of achievement in teaching, scholarship and service, as appropriate.

A faculty member who teaches is expected to have a thorough knowledge of the subject(s) being taught, a demonstrated ability to communicate that knowledge to students, and the skill to stimulate students to reach their potential.

A faculty member whose responsibilities include research is expected to have a wide and critical command of the field of his or her study. The highest indication of scholarship is the ability to make original contributions in one’s field of knowledge. Scholarship is generally evidenced by scholarly publications of high quality, but also may be evidenced in certain areas by creativity and professional contributions demonstrated through the medium of communication customary in that discipline. Consideration will be given to such subsidiary evidence as direction of or significant participation in research projects, particularly in the scholarly activities of learned societies and professional consultative service.

Faculty with a responsibility for service are expected to make contributions that enhance the University, the missions of their unit, and their profession.

3. Tenure

Through the institution of tenure, the University seeks to retain outstanding faculty and protect the academic freedom essential to the best research, teaching, and service. Tenure entails a mutually acknowledged expectation of continuing employment that is terminable by the University only for just cause (as for professional incompetence or moral turpitude of the faculty member, for grave economic stringency on the part of the University, or for reasons of major changes in institutional aims). [11] 

Tenure is awarded by the President. Tenure is awarded only following explicit review and never by length of service. Initial appointment, promotion, and the award of tenure are separate actions. Appointment or promotion to any rank does not confer tenure.

A tenured faculty member must hold the rank of Associate Professor or Professor.[12]  

Requirements for tenure, at any rank, ordinarily include 1) teaching ability rated by one's students and peers as being of high quality, over a period of several years; 2) scholarly accomplishments consistent with the rank, and supportive evaluations of the scholarship by authorities outside the University; and 3) service (both inside and outside the University) commensurate with the rank. The basis for the awarding of tenure extends beyond a distinguished scholarly record achieved during the probationary period or prior to appointment. The award is also contingent upon a strongly favorable judgment of the faculty member’s prospects for continued accomplishment in research, teaching, and service throughout his or her University career. Tenure is warranted only if there is a clear expectation that the candidate’s professional record already does or eventually will justify promotion to Full Professor at Georgetown University.

The recommendations for tenure are submitted for decision by the President. The decision shall be transmitted to the pertinent faculty member in an expeditious and appropriate manner.

Tenure expires at the date of retirement or earlier if the faculty member's employment at the University has been terminated for other reasons. If a faculty member resigns from the University and later returns, his or her situation with repect to tenure should be set forth in clear, unequivocal language in the letter of appointment.

4. Request for Reconsideration

Whenever a faculty member receives in writing an adverse decision of the University concerning his/her application for promotion and/or tenure, the faculty member has thirty calendar days to file with the President of the University a petition for reconsideration. The petition should be submitted in writing and list the reasons for the request for reconsideration.

5. Standards for the Academic Ranks

Instructor

Appointment to the rank of Instructor generally presupposes the following qualifications:

1. Candidacy for the Ph.D. or possess the degree required for teaching in certain fields.
2. Proven or presumptive teaching ability.
3. The potential to progress toward the Assistant Professorship according to ordinary norms.
4. Those qualities of character and personality expected in a teacher and advisor of students. 

Assistant Professor

Appointment to this rank or promotion from the rank of Instructor presupposes:

1. Possession of the Ph.D. or the degree required for teaching in certain fields.
2. Evidence of the possession of those qualities of character, personality, and competence expected in a teacher and advisor of students.
3. Evidence of scholarship and research
4. Expectation or evidence of satisfactory performance of other University responsibilities.

Associate Professor

Promotion to this rank  from the rank of Assistant Professor requires:

1. Excellence in research. This requires a substantial body of scholarship that impartial experts in the candidate’s area of study and the relevant faculty at Georgetown consider to be outstanding. The quality of a candidate’s scholarly work, including contributions to collaborative activities, is crucial. Quality is judged by the contribution that the work makes to a specific body of knowledge and is usually indicated by its scholarly impact or recognition (nationally and often internationally). The candidate’s corpus of scholarly work must demonstrate creativity and originality.
2. Excellence in teaching. Quality of teaching is assessed in terms of a thorough knowledge of the subject(s) being taught, a demonstrated ability to communicate that knowledge to students, and the skill to stimulate students to reach their potential.
3. Effective professional or institutional service. Service is judged by its contribution to the candidate’s field, to the missions of his or her unit, and to the University as a whole. Given that faculty in the probationary period need to establish a record in teaching and scholarship, service is decidedly less important for promotion to the rank of Associate Professor than either scholarship or teaching. An exceptional service record cannot substitute for outstanding scholarship and excellent teaching.

Initial appointments to this rank shall be based on the standards described in a-c above or on professional experience and recognition.

Professor

Promotion to the rank of Full Professor requires a sustained level of achievement according to the same indicators of scholarly excellence as those required for the rank of Associate Professor. This rank is awarded in the expectation that the faculty member’s entire professional career will live up to this standard. Substantial accomplishments since appointment or promotion to the prior rank should be clearly demonstrated. Promotion to Professor is recognition of scholarly achievement at a level that meets or exceeds what is generally expected for full professors at peer research universities, a commitment to excellence in teaching, and substantial service and leadership with every expectation of continuing contributions to the University.

Initial appointments at the rank of Full Professor shall be made on the basis described in the previous paragraph or, in exceptional circumstances, may be based on professional experience and recognition.

 

6.  Term of Service 

Prompt written notice shall be given by the University to the pertinent member of the Ordinary Faculty setting forth the rank of initial appointment, the rank to which one is promoted, the grant of tenure, the denial of tenure, or of any final action taken in regard to rank and tenure.

For one regularly appointed to the Ordinary Faculty without tenure the normal term of employment is one year, renewable annually within the tenure probationary period. (See 7 below)

During the probationary period, notice of non-reappointment will be given in writing to members of the Ordinary Faculty in accordance with the following standards:

1. Not later than March 1st of the first academic year of service at Georgetown.
2. Not later than December 15th of the second academic year of service.
3. Not later than July 31st in the year prior to termination after two or more years of service.

If for any reason a member of the Ordinary Faculty intends to terminate his or her employment with the University, due notice should be given in writing to the Provost or Executive Vice President of the appropriate campus at least six months prior to the date of termination.

 

7.  The Tenure Probationary Period

1. The tenure probationary period for untenured full-time members of the Ordinary Faculty is seven academic years. For a faculty member whose term of appointment begins 1 January, or later, the tenure probationary period commences with the academic year following his or her initial appointment. Otherwise the tenure probationary period commences with the academic year of the appointment. The duration of the tenure probationary period is not affected by the status of, or changes in, a faculty member's rank (such as instructor or assistant professor).
2. An untenured Ordinary Faculty member becomes eligible for tenure review at the end of the third year of his or her tenure probationary period and may request a review in any year of the tenure probationary period after becoming eligible. Untenured Ordinary Faculty must confirm in writing no later than the beginning of the sixth year: 1) their intention to apply for tenure in the sixth or seventh year of the tenure probationary period, and 2) their understanding of the remaining tenure probationary period and reappointment limits. A faculty member who is denied tenure in the sixth year of the tenure probationary period and who does not reapply in the seventh year of the tenure probationary period, will be terminated at the end of the seventh year. A faculty member who applies for tenure in the seventh year of the tenure probationary period, may request a terminal appointment for the subsequent year, in case the application is denied. If tenure is denied, the tenured faculty of the relevant unit may, at their discretion, recommend a terminal year appointment with a normal teaching assignment but without tenure-eligibility, provided that the request for the appointment is received prior to course planning for the year of the appointment and that such appointment is consistent with the needs of the department. No application for tenure may be made during a terminal year following expiration of the tenure probationary period.
3. The tenure probationary period at Georgetown for an untenured member of the Ordinary Faculty with previous employment in a tenure-eligible position at another university will be reduced by the number of tenure-eligible years previously served minus one; provided that the tenure probationary period at Georgetown will never be less than four years. Exceptions must be approved at the time of the faculty member’s initial appointment by the Executive Vice President on recommendation of the Chair and Dean, and explicitly stated in a written agreement between the faculty member and the Executive Vice President. In approving exceptions, consideration shall be given to whether the previous employment provided adequate opportunity for scholarship and teaching.
4. The tenure probationary period may be interrupted while a faculty member is on leave to perform public or professional service that does not contribute to the production of academic scholarship of the type normally considered in an application for tenure. Such leave and interruption of the tenure probationary period shall not ordinarily be granted in the seventh year of the tenure probationary period. The Executive Vice President, acting with the advice of the Chair and Dean, will determine if the leave interrupts the tenure probationary period.
5. The tenure probationary period may be interrupted as provided in section V “Fringe Benefits” of the 1999 Faculty Handbook, in the New Parent Leave Option for Ordinary Faculty on the Main Campus, or in such other personal and family leave policies that may be adopted from time to time; or as required by District of Columbia, state or federal law.
6. For purposes of this policy, references to a particular numerical year of the tenure probationary period are to the adjusted year after accounting for any interruptions described in paragraphs (d) and (e) that have occurred and approved credit for service elsewhere. 
7. Nothing in this policy shall have the effect of changing the tenure probationary period for any faculty member whose tenure probationary period begins before July 1, 2006. All such faculty will have their probationary period determined by the policies and practices in place at the time of their initial appointment. If such faculty have not received a research or teaching leave that interrupted their tenure probationary period, they may request a terminal non-tenure-eligible year as specified in paragraph (b) above.

8. University Professor

a.  Policy

Georgetown University reserves the rank of University Professor for faculty members of extraordinary achievement whose scholarly accomplishments have earned them substantial recognition from their academic peers. The rank is bestowed by the President in recognition of distinguished record of scholarship, teaching, and service to the University and higher education community at large. The rank is recognized as the University's most significant professional honor, and is awarded rarely and only in accordance with the criteria specified in this policy.

b.  Criteria

To be eligible for appointment to the rank of University Professor a faculty member must satisfy the following criteria:

i.  He or she must either hold the rank of professor with tenure at Georgetown University or have been recommended to the President for tenure at that rank in accordance with the University's rank and tenure policies and procedures.
ii.  He or she must possess an outstanding record of scholarly accomplishment that establishes him or her at the front ranks of university faculty nationally and internationally.
iii.  As a condition of appointment to the rank of University Professor, the faculty member must agree to relinquish any chair or endowed professorship he or she currently holds.

c.  Procedure

 
To be appointed to the rank of University Professor, an otherwise eligible faculty member must be selected by the President of the University upon the affirmative recommendation of at least two Executive Vice Presidents or Provost and taking into account the views expressed by members on affected department(s).

d.  Privileges of Rank

Appointment to the rank of University Professor will be with tenure. Tenure will reside in the department in which the faculty member serves as a professor.

9.  Emeritus Policy

 
a.  Policy

A faculty member who retires, who does not accept a full-time or part-time academic appointment at another institution of higher education, and who satisfies the eligibility criteria in paragraph (b) below, may be appointed Professor or Associate or Assistant Professor Emeritus by the President.

b.  Criteria

To be eligible for appointment to emeritus status, a retired faculty member must satisfy the following criteria:

i. The faculty member must have served, for at least ten years with tenure, at Georgetown University at the rank of Professor, Associate Professor, or Assistant Professor.

ii. The faculty member must possess a record of distinguished and meritorious service to Georgetown University.

 

c.  Procedure

If a faculty member satisfies the eligibility criteria and wishes to be considered for emeritus status, he or she should apply to the Provost or the appropriate Executive Vice President.

d. Benefits

In addition to the customary health and retirement benefits, the provision of any other benefits, amenities, and facilities, as they are reasonably available, is left to the discretion of the department.

10. Clinical Emeritus Faculty 

a. Policy

 

This title will be offered to a faculty member who retires, who does not accept a full-time or part-time academic appointment at another institution of higher education, and who satisfies the eligibility criteria described below. The specific titles eligible faculty could have bestowed are: Clinical Professor Emeritus, Clinical Associate Professor Emeritus, or Clinical Assistant Professor Emeritus by the Executive Vice President for Health Sciences.

b.  Criteria

To be eligible for appointment to Clinical Emeritus status, a retired faculty member must satisfy the following criteria:

i. The faculty member must have served, usually for at least ten years, at Georgetown University Hospital or one of the affiliated educational institutions at the rank of Professor, Associate Professor, or Assistant Professor on the Clinician Scholar or Clinician educator or Clinical tracks.

ii. The faculty member must possess a record of distinguished and meritorious service to Georgetown University Medical Center.

c. Procedure

If a faculty member satisfies the eligibility criteria and wishes to be considered for Clinical Emeritus status, he or she should apply to the Executive Vice President for Health Sciences.

d.  Benefits

The provision of any other benefits, amenities, and facilities, as they are reasonably available, is left to the discretion of the institution or requesting department under established University policies and procedures.

[13]

 

E. Guidelines on Submitting Applications for Tenure and Promotion

Editor’s note

These guidelines appeared in the Faculty Handbook 1999.  Slight modifications in style and context, not substance, have been made since.  The most up-to-date information about the rank and tenure application process, including the May 2006 announcement of change in deadline dates, is available at the website of the University Committee on Rank and Tenure.

(Revised June 5, 1992) 

Introduction

Rank and Tenure are at the heart of a mutually acknowledged and mutually beneficial long-term relationship between the Ordinary Faculty and the University. They deserve special attention throughout the faculty member's career at the University. The Faculty Handbook spells out the larger frame of reference for this relationship, and individual departments provide the most immediate and long-term favorable environment for faculty members' growth.

At certain points during their employment history--whether at the time of initial appointment or later in their careers at the University--faculty members may elect or be required to apply for tenure and/or promotion. This document (the Guidelines) is intended to clarify the procedures pertaining to both of these application processes. Given the importance of rank and tenure, all members of the Ordinary Faculty will be provided with copies of these Guidelines at the time of initial appointment. Furthermore, it is the responsibility of the Department Chairpersons to inform faculty, early on, of the expectations for the granting of tenure and promotion that hold within a given Department and within the University as a whole.

While these Guidelines are by no means exhaustive in that regard, they can provide a useful framework for the procedural steps to be taken in the actual application process.

General Statement

The procedures for submitting applications for tenure and promotion at Georgetown University are organized variously across the University's major divisions. Though there are different administrative entities and different decision-making bodies all procedures should achieve a fair and objective evaluation of the applicant's total record in terms of teaching, scholarship, and service.

In general, this evaluation takes place in three stages, at the departmental level, at the school level, and, finally, at the level of the University Committee on Rank and Tenure. The University Committee on Rank and Tenure (the Committee) serves as the President's advisory body on all matters pertaining to the granting of tenure and promotion. The Committee's deliberations are confidential and the Committee reports only to the President. All decisions on tenure and promotion rest with the President of the University.

Procedures at the Departmental or School Level

1. Applications for tenure and promotion can be submitted by all full-time members of the Ordinary Faculty who are eligible to be considered for promotion and/or tenure in accordance with the Faculty Handbook. Internal support, whether from the Department or the School, is not a prerequisite for consideration by the University Committee on Rank and Tenure. However, all applications must be forwarded through the Department Chairperson or Dean or other official who normally is responsible for applications. This administrative officer will process them expeditiously through the relevant channels and will assure that all materials that were considered by the various deliberating bodies, whatever their conclusions, are included in the file that is transmitted to the Committee.
2. Whatever procedural variations may exist in different originating bodies, the following points apply to all applications:

   1. Candidates must be assessed in the three categories of teaching, scholarship, and service.

   2. Excellence in teaching reveals itself in a variety of ways. Course critiques submitted by students and faculty evaluations, although imperfect, still provide a useful measure of the manner in which a professor's teaching is received and perceived by students. Summary data of the Teacher and Course Evaluation Forms should be included in the application file. Obviously, the most useful evaluations are those in which the majority of students enrolled in a course have participated.

      In addition, systematic assessments prepared by the applicant's colleagues who have observed selected classes over several years and, who, in addition, may have obtained formal or informal input from students can provide important additional information regarding teaching.

      Since teaching is considered an important component of a faculty member's professional life at Georgetown University, it is particularly important to help younger colleagues at the beginning of their career to become successful teachers. Thus, any indication of a colleague's growth in that regard, particularly as it is documented in the annual evaluations prepared by the department on tenure-track faculty prior to the granting of rank and/or tenure, should receive special note.

      In some fields, specifically within the Medical Center, teaching may be conducted in clinical settings. When a standard evaluation form is not available, evaluations from students, residents, and/or fellows taught in such clinical settings would normally be in the form of letters. Testimonials from selected students or friends should not be expected to carry much weight in the Committee's deliberations.

   3. "While there is no concise definition of what may constitute evidence of scholarship, it is generally recognized that a scholar has a wide and critical command of his or her field of study as well as broad cultural interests. The highest indication of scholarship is the ability to make original contributions in one's field of knowledge." Excellence in scholarship typically reveals itself as continuing research documented primarily in publications appearing in the relevant journals or in the form of books published by respected publishing companies. It may also be "evidenced in certain areas of creativity demonstrated through the medium of communication customary in a discipline." Citation of a candidate's work in the professional literature is another indicator of scholarly standing.

      Consideration will be given to such subsidiary evidence as direction of or significant participation in research projects, particularly in the scholarly activities of learned societies and professional consultative service.

      Major invited addresses given at national and international conferences, election to editorial boards, and service on peer review committees also reflect the applicant's scholarly productivity and ability.

      The publication of a textbook can be considered either under the category of teaching or of scholarship, depending upon the nature of the textbook and the contributions it makes to the field. A judgment on this matter should be requested from the outside evaluators as part of their written statements. A textbook would be viewed as indicative of scholarship if, for example, extramural evaluators cite evidence that the book exhibits exemplary scholarship, offers original insights and perspectives in the field, and is read and cited by scholars and researchers.

      Extramural research funding from organizations using peer review committees is an index of scholarly potential for younger colleagues, and sustained support denotes peer acceptance of the importance of the research activity for senior members of the faculty.

      Work in progress is usually not considered by the Committee, unless it has been subjected to the same extramural assessment as published work.

   4. It is the responsibility of the academic Department or other appropriate faculty committee to secure genuine and timely evaluations of the candidate's scholarship. The candidate may suggest appropriate outside reviewers. However, the ultimate decision on the group of reviewers rests with the academic department or the appropriate faculty committee which, in consultation with other appropriate faculty members, selects impartial and competent evaluators.

      A statement describing the procedures followed to select outside evaluators should be included with the application submitted to the University Committee on Rank and Tenure.

      Scholarship must be evaluated by extramural authorities in the field who are in a position to give an objective evaluation.

      The Committee requires a minimum of three written evaluations of scholarship from extramural authorities. The Chairperson of the Department or committee should submit a brief statement concerning the qualifications of the external evaluators. Any social, academic, or institutional relationship between the evaluators and the applicant should be clearly indicated by the evaluators and on the application's summary listing of reviewers.

      At least two evaluators should be distinguished scholars who are neither members of the Georgetown faculty nor former teachers, co-workers, or students of the candidate. That is, evaluators should primarily be acquainted with the candidate through his or her published work or other professional accomplishments. Where a field is so small that this is not feasible, this should be justified in the application.

      All evaluations received should be included in the application.

   5. The applicant's curriculum vitae and copies of appropriate publications should be sent to the evaluators, together with an explanation of the conditions and expectations under which the applicant has worked. Since standards of acceptable scholarship may properly vary within a single unit from one time to another, from one unit to another within an institution, and from one institution to another, it is important that the standards applicable to a given application be clearly explained to each evaluator. A copy of the explanation of conditions and expectations which was furnished to each evaluator, should be included with the application.

      The rank, experience, and overall standing of these evaluators determine the confidence the Committee has in the extramural letters of evaluation.

      Statements from extramural evaluators should provide answers to some of the following questions: Have the publications of the candidate added to or modified existing knowledge and how was this accomplished? Has the candidate developed a new idea? Has the candidate provided additional examples or applications for the theories stated by others? Has the candidate explained, at least partly, a difficulty encountered by other researchers? Has the candidate tested any theorem or idea under different conditions, or in new circumstances?

      Each reviewer must be requested to justify any conclusions regarding the quality of scholarship of the applicant and do so at a level of detail that permits an understanding of the achievement of the applicant relative to standards of excellence in his or her field. Evaluations that do not identify clearly specific components of the applicant's work which support the evaluator's conclusions cannot be considered as persuasive.

   6. Service recognizes the applicant's record as a colleague rather than as a teacher or scholar. It covers departmental and extra-departmental administrative, committee-work, and community service. Of particular importance is the advising that faculty offer to students in their own or in other departments.

      Since an applicant's record of relevant service may not always be known within the Department or School, and may thus be overlooked easily, it is important to direct particular attention to this category in the preparation of the file.

   7. Secret and separate votes shall be taken on applications for promotion and/or tenure. These are to be reported to the Committee. In the case of applications for tenure, all tenured members of the Department are entitled to vote. In the case of applications for promotion all members holding at least the rank to which the applicant is applying are entitled to vote. Voting should take place at a meeting at which the application can be discussed by the group as a whole. Absentee votes, if permitted by the Department, should be so noted in the transmission of the file.

      In Schools or Departments having Executive Faculties or separate committees on rank and tenure, applications will indicate the votes submitted by such bodies as well as votes obtained from the relevant Department(s). Where applicants have interdisciplinary responsibilities they should also be assessed by their interdisciplinary program.

The University Committee on Rank and Tenure

The Committee, and therefore each member serving on it, is charged with judging each application according to the best interests of the University in terms of the candidate's record of teaching, scholarship, and service. In arriving at its recommendations to the President the Committee is guided by the Faculty Handbook and considers all information which is relevant to the assessment of candidates in those three categories.

Membership on the University Committee on Rank and Tenure comes about either by Presidential appointment (half of the membership) or by election by the Faculty Senate. It is offered for a three year term. Although it is customary for members of the Committee to be drawn from a variety of academic divisions of the University, the members of the Committee are not "representatives" of particular Departments or Schools. An individual may serve on the Committee for no more than two terms in succession, and must remain off the Committee for at least one term between appointments.

At its initial meeting of the academic year, the Committee elects its officers, the Chairperson, the Recording Secretary, and the Corresponding Secretary.

The officers of the Committee may serve for no more than three consecutive years. As much as possible, successive chairpersons should come from different campuses of the University. Individual members of the Committee, as well as its officers, are not available to discuss the business of the Committee except with the President and those designated by him.

Preparation and Submission of Applications

Complete applications must include all of the following:

1. A covering SUMMARY SHEET (a copy is attached on the last page), with all applicable items completed;
2. The applicant's current curriculum vitae, including earned degrees (with institutions and dates), academic and professional history, publications, academic honors, speeches and addresses, professional memberships, and academic and public service;
3. Material demonstrating the applicant's record as a teacher, including student evaluations and assessment by colleagues;
4. All letters from extramural experts addressing the quality of the applicant's scholarly contributions, including information about any relationship to the candidate;
5. Copy of letters sent to the outside evaluators; a statement regarding the procedures used in selecting them, and a brief statement concerning their qualifications;
6. Letters from appropriate Deans and Chairpersons evaluating the candidate's record of teaching, scholarship, and service;
7. Letters, or summaries of letters, submitted by Georgetown colleagues;
8. Two copies of representative publications.

All pages of the application are to be numbered consecutively. Submission of the full application to the Committee IN EIGHTEEN COPIES, no later than March 15 March 1, is required for action during the current academic year. When practical, earlier submission is encouraged.

Applications dealing solely with promotion of current Georgetown faculty who already hold tenure are to be submitted to the Committee prior to January 15 November 15 for action during the current academic year.

Under extraordinary circumstances, at the request of the Executive Vice President for the Main Campus, the Executive Vice President for Health Sciences, Director of the Medical Center, or the Dean of the Law Center, applications will be accepted for review in the current year after the deadline date for submission. However, the request for special consideration must be received at the Office of the Corresponding Secretary by the deadline date and the completed application must be received no later than May 1.

A completed application includes all of the above components.  Questions regarding guidelines specific to the processing of applications by each campus should be submitted to the appropriate campus head or the head's designee. 

Departments deliver all copies of the completed application to the office of the appropriate campus head.  The campus head or head's designee will then forward the application to the Office of the Secretary.

Inquiries regarding the mechanics of the application process that go beyond these Guidelines may be directed to the Corresponding Secretary or the Chairperson, c/o The Secretary of the University, Healy Hall, Room 205.

 

F. FACULTY SENATE CONSTITUTION

Contents

(Amended May 1993)

1.  The Georgetown University Faculty Senate

There is hereby established a Senate of Georgetown University, for the purpose of insuring full Faculty participation in matters of general University interest by sharing responsibility with the University Board of Directors and Administration in the conduct of University affairs.

2.  Functions of the Senate

1. The Senate shall have authority to discuss and express its views on any matter of general University interest, and to make recommendations to the President and Board of Directors, and to the University Faculties. The Senate shall discharge its functions as a body or through committees or persons duly delegated to act for it.
2. Matters may be brought before the Senate by the President or Board of Directors, and the Executive Faculties; University Committees; on petition of any Faculty member or groups of Faculty members; and on the Senate's own initiative. The Senate shall at all times control its own agenda.
3. The Senate shall participate in University affairs including the following areas:
   1. Educational affairs of general University interest;
   2. The determination of conditions of academic freedom and responsibility, including the recommendations of desirable standards and grievance procedures;
   3. The formulation and application of standards for rank and tenure, including appointment and promotion procedures and grievance procedures;
   4. University governance, including consultation with the Board of Directors concerning the appointment of the University President, Executive Vice Presidents of the three constituent Faculties, and Academic Deans, and recommendation of appropriate procedures for the selection of Departmental Chairmen;
   5. The University budget, including examination of budgets and consultation with respect to the University's financial status and policies;
   6. Grants of general University interest;
   7. Faculty and staff salaries, retirement plans, and fringe benefits, including periodic reviews of salary and benefit standards and ranges;
   8. Faculty research grant and sabbatical leave procedures and policies;
   9. Student affairs, including liaison with the Office of Student Affairs and with student governments, and recommendations regarding student concerns;
   10. Physical plant and facilities including planning development;
   11. University convocations, including recommendations concerning honorary degrees.

3.  Membership

1. The Senate shall be composed of seventy-five elective members from three constituent Faculties, as set out in Paragraph 2, below and of the following "ex-officio" members: the Executive Vice Presidents of the three constituent Faculties, as set out in Paragraph 2, below; the Senior Vice President; and four Main Campus Deans, selected annually by the Main Campus Council of Deans, the other members of the Council being designated as alternates, with full privileges of Senate membership in the absence of any of the four.
2. The elective members shall be apportioned among the three constituent Faculties; the Main Campus, the Medical Center, and the Law Center. The distribution shall be: Main Campus, 45, including at least 2 each from the School of Nursing, from the School of Business Administration, from the School of Languages and Linguistics, from the College of Arts and Sciences and from the School of Foreign Service; Medical Center, 20, Law Center 10. The Senate shall at reasonable intervals re-examine the apportionments.

4.  Election Procedure

1. All full-time Faculty members with at least one year of full-time service at the University shall be eligible to vote in elections for the Senate, and to serve as members of the Senate.
2. Nominations for seats in the Senate, for full terms or for unexpired terms in the event of vacancies, shall be in writing and bear the signatures of five qualified votes in the constituency of which the nominee is a member of the Faculty.
3. Within each constituency the candidates receiving the highest number of votes shall be considered elected, except that in accordance with C.2, the School of Nursing, the School of Business Administration, the Faculty of Languages and Linguistics, the College of Arts and Sciences, and the School of Foreign Service, shall have a minimum of two representatives each at all times. A tie shall be decided by lot.
4. Elections shall be held annually in the spring semester for one-third of the seats in the Senate in each constituency and for the filling of any vacancies.
5. For the first election to the Senate, the Chairman of the Provisional Assembly shall appoint an Election Commission representative of the three constituencies, to conduct the election in accordance with the provisions stated above. Thereafter, the Presiding Officer of the Senate shall appoint annually the Election Commission. It shall be the duty of the Election Commission to certify lists of qualified voters, to receive nomination petitions, and certify winning candidates. Vacancies shall be filled at the next regular election.

5. Terms

1. The term for elected members of the Senate shall be three years.
2. At the first convening of the Senate, following the first election, Senators from each constituency shall be divided by lot into three equal groups, one group to serve for one year, one for two years, and one for three years. Thereafter, all terms shall be for three years.
3. Members elected in 1971 shall draw for terms of one, two and three years, the number of each being such as to preserve the constitutional provision that one-third of the Senate in each constituency shall be elected annually.
4. When a Senate vacancy occurs, either temporarily due to sabbaticals or leaves of absence or permanently because of retirement, resignations or other causes, the vacancy shall be filled by the runner-up in the most recent Senate election as determined by the Senate Election Committee. When there is no runner-up or when the runner-up is unable or unwilling to serve, the vacancy shall be filled by the respective Caucuses.

6.  Officers and Steering Committee

1. The Senate shall elect, biennially, from its membership, at the first regular meeting following election of new Senators, a President, three Vice Presidents, (one from each of the three constituent faculties), and a Secretary-Treasurer. Nominations for these officers may be made by a Nominating Committee and from the floor. In the event that a vacancy occurs, there shall be a special election.
2. The five officers, the Executive Vice President of the Main Campus, and a second ex-officio member of the Senate, appointed by the President of the University, shall appoint the chairmen of the Senate's standing committees subject to confirmation by the Senate, who, with the officers, and the two ex-officio members, shall serve as the Steering Committee of the Senate.
3. The Steering Committee shall have the following authority:
   1. To receive communications concerning matters to be put upon the agenda of the Senate;
   2. To establish the agenda for Senate meetings, excepting that any member of the Senate may, at a meeting of the Senate, ask the body to consider a particular matter;
   3. To refer appropriate matters to the Standing Committees of the Senate, which standing committees shall be free to take up matters on their initiative;
   4. To select members of the standing and special committees of the Senate;
   5. To designate a member or members of the Senate to serve as representatives to the Executive Faculties of the University, the designation of such representatives being subject to confirmation by the Senate;
   6. Subject to confirmation by the Senate, to appoint members of standing and special committees whose jurisdiction and membership are university-wide, including at least half the membership of the Rank and Tenure Committee, the others being appointed the President of the University. For major committees serving more than one Department or School, the Steering Committee shall appoint two voting members, subject to Senate confirmation, the remainder being selected as the President of the University shall designate. In making appointments to University committees, the Steering Committee shall insofar as appropriate give representation to each of the three constituencies.
   7. To call special meetings of the Senate;
   8. To manage the budget of the Senate.

7.  Senate Committees

1. The standing committees of the Senate shall include:
1. The Committee on Educational Affairs, whose jurisdiction shall extend to matters described in B.3.a,f,h,k.
2. The Committee on Academic Freedom and Responsibility, whose jurisdiction shall extent to B.3.b and c.
3. The Committee on University Governance, with jurisdiction over B.3.d.
4. The Committee on University Budget and Finance, with jurisdiction over B.3.e.
5. The Committee on Faculty and Staff Salaries, Retirement Plans, and Fringe Benefits, with jurisdiction over B.3.g.
6. The Committee on Student Affairs, with jurisdiction over B.3.i.
7. The Committee on Physical Facilities, with jurisdiction over B.3.j.
2. By majority of those present and voting, the Senate may constitute special committees, and may add to or abolish standing committees.
3. The Senate shall elect, biennially, a Nominating Committee for the selection of officers.

8.  Procedure

1. A quorum shall consist of 40 percent of the membership of the Senate.
2. No member shall have more than one vote.
3. The Senate shall establish and may amend its rules of procedure by majority vote.
4. In matters not regulated by this constitution or by the Senate's rules of procedure, Robert's Rules of Order Revised shall be the parliamentary authority. The President of the Senate may appoint a parliamentarian.

9.  Meetings

1. The Senate shall hold four (4) regular meetings during each academic year: one in October, one in December, one in February, and one in April.
2. Special meetings may be convened by the President or--in his absence--by one of the Vice Presidents.
3. Special meetings shall be convened by the President upon written request by ten members, or upon request from an Executive Vice President of the three constituent Faculties.
4. Unless there is an emergency, the calling of a meeting shall be made at least two weeks before the date of the meeting; the call shall be in writing and contain the proposed agenda.
5. Constituent Campus Faculty Meetings. A meeting of the Main Campus, Medical Center or Law Center full-time Faculty, may be called, for the discussion of issues of interest to that Faculty in the following two ways:
   1. By the Officers of the Faculty Senate. Notice of no less than ten days shall be given in the call, and the issue(s) specified as explicitly as possible. OR
   2. On petition of twenty-five full-time members of the Constituent Campus Faculty addressed to the President of the University Faculty Senate. Upon receipt of such a petition, the President of the Senate shall call such a Faculty meeting no later than two weeks from the date of receipt of the petition. The petition should be as specific as possible concerning the issue(s) to be discussed.
6. The President of the Senate, or in his/her absence or illness, one of the three Vice Presidents of the Senate, or in the event of their being unable to act, the Chairman of the Main Campus Caucus of the Senate, shall preside over the Faculty meeting.

10. Amendment Procedure

Amendments to the Constitution shall become effective after having been adopted by two-thirds of the members present and voting, and approved by the President and Board of Directors of the University, and by a majority vote of the full-time Faculties with at least one year of service.

11. Ratification

1. Ratification of this Constitution requires:
   1. Approval by a two-thirds majority of those members of the Provisional Assembly present and voting called to consider the Constitution;
   2. Approval by the President and Board of Directors of the University;
   3. Approval by a majority voting in each of the three constituencies in a referendum on the Constitution. Qualifications for voters shall be in the same as in D.1. As a constituency ratifies the Constitution, it shall be in effect in that constituency.
2. When ratified, the Constitution shall become a part of the Statutes of the University, and shall appear in an appendix to the Faculty Handbook.

G. Faculty Grievance Code

Contents

Faculty Grievance Code (2011)

(approved by the University Faculty Senate, May 17, 2011)

(approved by the University Board of Directors, October 6, 2011)

 

The Faculty Grievance Code (2011) can be found by visiting this link .

H. Revision Policy

Contents

Any revision to the Board-approved policies defining rights and responsibilities of faculty members, or any addition to or deletion of any such policy, may be proposed by the Faculty Senate, any Executive Vice President, the President, or the Board of Directors.  Before the Board of Directors votes on the issue:

1. The proposed revision shall be made available for review to all members of the faculty, The Faculty Senate, the Executive Vice Presidents, and the President;
2. The Faculty Senate shall have the opportunity to deliberate on the proposed revision and submit its recommendations to the President and Board of Directors;
3. The President shall have the proposed revision reviewed by designated advisory bodies.

A proposed change that has been submitted to the Faculty Senate for review may be taken up by the Board of Directors without a Senate recommendation if the Senate fails to act in a timely manner.  In extraordinary circumstances, if the Board of Directors determines that there is insufficient time for a full review by the faculty and Senate, the Board shall make every effort to consult with the Senate Officers.

A change becomes final when approved by the Board of Directors.  After the Board of Directors approves a change to the policies defining rights and responsibilities of the faculty, the Executive Vice Presidents, the Faculty Senate, and all members of the faculty shall be informed. Updating of the Faculty Handbook website in which such policies are published is the responsibility of the Provost.

Some Board approved policies defining rights and responsibilities of faculty members have additional requirements for revision, such as the Faculty Senate Constitution.  Any additional requirements are stated in those policies.

IV. Other Policies Governing Employment at Georgetown University

Affirmative Action Grievance Procedures

Contents

GEORGETOWN UNIVERSITY GRIEVANCE PROCEDURES TO INVESTIGATE ALLEGATIONS OF DISCRIMINATION AND HARASSMENT

(Revised 2/10)

INTRODUCTION

 

Georgetown University recognizes and accepts its responsibilities to act in accordance with the University’s Affirmative Action Plan, federal laws and regulations and the District of Columbia Human Rights Act. Therefore, the University has established these grievance procedures for the Office of Institutional Diversity, Equity, and Affirmative Action (“IDEAA”) to review, investigate, and resolve alleged violations of the University’s Equal Employment Policy, Affirmative Action Policy and the Policy Statement on Harassment. These procedures cover allegations of unlawful discrimination and harassment in employment on the basis of age, color, disability, family responsibilities, gender identity and expression, genetic information, marital status, matriculation, national origin, personal appearance, political affiliation, race, religion, sex, sexual orientation, veteran status and other factors prohibited by law. These procedures also cover allegations of unlawful discrimination and harassment in education on the basis of disability, national origin, race, religion, sex and other factors prohibited by law.

 

 

These internal Grievance Procedures to Investigate Allegations of Discrimination and Harassment provide a mechanism for aggrieved faculty, staff, students and applicants for employment and admission to receive a fair hearing on issues of discrimination and harassment. Students may also pursue complaints of peer harassment against a Georgetown University student through applicable student disciplinary codes.

 

The University strongly encourages any victim of unlawful discrimination and harassment to report the incident and seek redress through IDEAA’s Grievance Procedures, if he or she is unable to resolve it satisfactorily and completely through informal means. The University will provide a prompt investigation and thorough and careful resolution.

 

Complainants are encouraged to exhaust these procedures with regard to any grievance before pursuing remedies outside the University. However the University acknowledges the rights of Complainants to seek redress from any external enforcement agency including the District of Columbia Human Rights Commission, the Equal Employment Opportunity Commission, the Office of Civil Rights of the United States Department of Education and the United States Department of Labor’s Office of Federal Contract Compliance.

 

It is a violation of this policy to file a discrimination or harassment complaint for the purpose of injuring the reputation or causing harm to another person. Without minimizing the injury that can be suffered by the victim of discrimination or harassment, the University also recognizes that the filing of a discrimination or harassment complaint can have serious consequences for the person accused. That person, too, has rights that the policies on discrimination and harassment must preserve and protect. Therefore, any person who abuses this policy by knowingly filing a false complaint will be subject to discipline if IDEAA determines that the complaint was filed in bad faith. This provision is not meant in any way to discourage legitimate complaints.

 

Complainants, respondents and witnesses who participate in this process are bound by rules of confidentiality. IDEAA will preserve the confidentiality of information provided in connection with a grievance to the extent possible, consistent with the goals of prompt and thorough investigation and resolution as well as compliance with the law.

 

The University will continue to promote Equal Opportunity and Affirmative Action in Employment and Education in all areas of the University. Successful efforts in this area will contribute to an improved environment in which to work and study. The University believes that these non-adversarial grievance procedures will benefit students, faculty, staff, administrators, and applicants.

 

REQUIREMENTs FOR FILING GRIEVANCES

1.  Any applicant for employment or admission, current or former faculty and staff member or student (hereinafter referred to as Complainant), of Georgetown University has a right to file a discrimination or harassment complaint with IDEAA.
2. Complainants must file a grievance in writing within 180 days following the alleged discriminatory act or the date on which the Complainant knew or reasonably should have known the act.
3. A grievance must be filed in writing with IDEAA at M-36 Darnall Hall, electronically at ideaa@georgetown.edu, or by fax at (202) 687-7778.

PROVISIONS ON TIME LIMITS

All of the time limits contained within these grievance procedures may be extended solely at the discretion of IDEAA. Any party requesting an extension must do so in writing.

PRINCIPLE OF NON-RETALIATION

It is illegal and contrary to University policy for any individual to engage, whether directly or indirectly, in retaliatory conduct against a person who files a discrimination or harassment complaint, gives testimony during an investigation of such a complaint, or otherwise objects to perceived discrimination or harassment. Anyone who believes that retaliatory actions have been taken against him or her in violation of this policy may seek redress through IDEAA.

Administrative Review

IDEAA has the authority to initiate an administrative review at any time when, in the judgment of the Vice President for Institutional Diversity and Equity, such action is warranted. A department head or other University official may also request IDEAA to conduct an administrative review, if this official becomes aware of alleged discrimination or harassment in his/her area. Administrative reviews will include interviewing witnesses and reviewing pertinent documents culminating in the preparation of a written report. The report will be shared with the official who requested the review as well as the appropriate Vice President, Executive Vice President or Senior Vice President. As with all IDEAA investigations, witnesses interviewed in this process will be expected to maintain confidentiality.

PROCEDURES FOR PROCESSING GRIEVANCES

STEP I. Mediation

 

1. IDEAA shall propose mediation to an aggrieved individual desiring to resolve a dispute between himself/herself and a potential respondent. If the aggrieved individual agrees to mediate, the potential respondent will be informed about the issue and asked to participate in mediation. If there is no agreement to mediate, the Complainant may proceed to Step II.
2. If both parties agree to mediate, IDEAA’s staff or representative chosen by IDEAA will conduct the mediation within a prompt and reasonable time frame.
3. If a mutually acceptable resolution is achieved through mediation, a written agreement between the parties will reflect the resolution and shall be signed and dated by the parties. Copies will be provided to both parties and IDEAA will monitor compliance with the terms of the agreement by both parties. The case will then be closed.
4. If mediation fails, IDEAA will inform the Complainant about the option to proceed to Step II.

 

STEP II. Investigation by IDEAA

 

1. An individual or group of individuals may initiate a formal complaint by providing IDEAA with a written and signed statement and any supporting documentation detailing the allegations of discrimination or harassment and identifying the individuals who engaged in the alleged conduct (hereafter the “Respondent”).
2. IDEAA shall provide the Respondent and his/her supervisor, if applicable, a copy of the formal complaint and its supporting documents. The Respondent shall have an opportunity to submit a written response to the allegations and any supporting documents. The Complainant will be provided a copy of this response and given the opportunity to submit a written rebuttal to Respondent’s statement. Respondent will be given a final opportunity to respond in writing to Complainant’s written rebuttal as well. Both Complainant and Respondent may identify witnesses who can provide information relevant to the allegations.
3. IDEAA shall within a prompt and reasonable time frame investigate the complaint and shall have access to all necessary information to do so and the opportunity to interview witnesses, as well as Complainant and Respondent.
4. Upon completion of the investigation IDEAA shall prepare a written report.

Step III. Notification

 

1. When IDEAA finds that no violation of policies governing harassment or discrimination has occurred, IDEAA will notify the parties of the results.
2.  When IDEAA finds that a violation of policies governing harassment or discrimination has occurred, IDEAA will:

a) Notify the parties of the results, to the extent consistent with the
confidentiality accorded to University personnel actions,

b) Forward its report to the Respondent’s Executive Vice President or Senior Vice President, or his or her designee[19],

c) Direct that prompt remedial action be taken to correct the situation.

 

Step IV. Corrective Action

If corrective actions are imposed, IDEAA shall monitor their implementation. The appropriate Executive Vice President or Senior Vice President shall ensure that the approved corrective actions are smoothly implemented and that no retaliatory actions are taken.

 

Step V. Appeal

An appeal may be made within 14 business days of IDEAA’s notification of its findings to the Complainant and Respondent.

1. Grounds for Appeal

There are certain limited circumstances under which a case may be appealed. The appellant must demonstrate that:

a. Proper procedures were not followed during the investigation.

b. Significant evidence was not considered.

The other party(ies) will be given a chance to respond to the request for an appeal. The Vice President for Institutional Diversity & Equity, or her/his designee, will determine whether the request for an appeal is warranted. The parties will be informed of the decision within ten business days of receiving the request for appeal.

 

2. Appeal Procedures

a. If the request for an appeal is granted, IDEAA shall notify the appropriate Vice President, Executive Vice President or Senior Vice President. This notification shall include a copy of the formal complaint naming the Complainant and Respondent and will explain the grounds on which the appeal was granted.

 

b. IDEAA shall then initiate the selection procedures to form a three member Grievance Panel selected from the Equal Opportunity Examining Board made up of Georgetown University administrators, faculty and staff.[20] Grievances involving discriminatory denials of tenure, promotion or reappointment of faculty members shall be heard by panels composed of faculty or academic administrators only. The three member Grievance Panel to serve on an appeal shall be selected in the following manner:

i. The Complainant shall select one member of the Equal Opportunity Examining Board, and the Respondent shall select another.

ii. IDEAA shall convene a meeting of these two selected panelists who shall choose the third member from the Equal Opportunity Examining Board to form the Grievance Panel.

c. A member of IDEAA’s staff shall present information about the complaint to the panel members who shall recuse themselves if they have prior knowledge of the complaint, the circumstances surrounding the incidents, or any other reason which might prevent them from rendering an impartial decision. Any member of the panel who is recused shall be replaced in accordance with the procedure stated above.

 

d. The Grievance Panel is charged with reviewing IDEAA’s investigation and determining whether the procedures were properly followed and the significant evidence was properly considered and weighed.

 

e. The Grievance Panel shall have access to all relevant information and the opportunity to interview witnesses, including the opportunity to interview the IDEAA investigator(s), Complainant, and Respondent separately.

 

f. The information presented to the Grievance Panel and its deliberations are confidential.

 

g. Each party may choose an Advisor to accompany him/her to meet with the Grievance Panel. The Advisor may not speak on behalf of the party or otherwise represent the party, but may provide support and consult with the party outside of the presence of the Grievance Panel. If either party indicates that he/she will be accompanied by an Advisor who is an attorney, the University’s attorney will be asked to be present.

 

h. The Grievance Panel shall by majority vote reach one of the following results:

 

(1) support the full results of IDEAA’s investigation;

 

(2) support the findings but recommend different corrective actions than those recommended by IDEAA; or

 

(3) reach different findings and, if necessary, recommend different corrective actions than those recommended by IDEAA.

 

 

i. Within 45 working days from its formation, the Grievance Panel shall submit a report of its results to the Vice President for Institutional Diversity & Equity, or his/her designee, who will forward it with his or her approval and/or comments (if, for example, the Panel has not supported the full results of IDEAA’s investigation) to the appropriate Executive Vice President or Senior Vice President. The appropriate Executive Officer may accept the Panel’s recommendations or may modify the results based, for example, on the comments of the Vice President for Institutional Diversity & Equity, or his/her designee. This official’s decision is final. IDEAA shall forward the final result to the Complainant, Respondent, and his/her supervisor, if applicable.

 

j. If corrective actions are imposed, IDEAA shall monitor their implementation. The appropriate Executive Vice President or Senior Vice President shall ensure that the approved corrective actions are smoothly implemented and that no retaliatory actions are taken.

 

STUDENT GRIEVANCES IN NON-EMPLOYMENT contexts

A. Peer Harassment

 

It is contrary to University policy for students to subject their peers to unlawful harassment: (https://gushare.georgetown.edu/AffirmativeAction/Public%20Access%20Website/Harassment%20Policy.pdf?uniq=-ubsp8k)

 

IDEAA’s resources, and IDEAA’s Grievance Procedures in particular, are available to students who believe they have been subject to harassment by a peer.

 

Students who believe they are subject to harassment by a fellow Georgetown student may also choose to pursue a complaint under the relevant campus conduct code. More information about conduct complaints is available at the links listed below.

 

B. Other Resources for Student Concerns

The University has established policies, procedures and resource offices to address student complaints related to address a range of other types of concerns, including discrimination in the context of strictly academic issues, student conduct, and academic integrity.

Concerns of Discrimination in Academic Work

If students believe there has been discrimination in strictly academic areas, such as coursework, grading or class participation, the matter will be handled in accordance with the procedures set out in the applicable student academic policies and procedures. For more information go to: http://www.georgetown.edu/undergrad/bulleti/regulations4.html

http://grad.georgetown.edu/pages/gradombuds.cfm

Student Conduct

Undergraduate and Main Campus graduate students are bound by the Code of Student Conduct (http://studentconduct.georgetown.edu/codeofconduct/). Complaints related to potential violations of the Code of Conduct should be pursued through the Office of Student Conduct (http://studentconduct.georgetown.edu/). Complaints related to the conduct of Law Center students will be addressed through the process outlined in the Law Center’s Student Disciplinary Code (http://www.law.georgetown.edu/Registrar/bulletin/conduct_policies/sdc.cfm), and concerns related to the conduct of School of Medicine students will be addressed through its Student Code of Professionalism (http://som.georgetown.edu/docs/Handbook%20Appendix%20O.pdf).

Academic Integrity

Concerns relating to academic integrity involving undergraduate students are addressed through Honor System. For more information go to: http://gervaseprograms.georgetown.edu/. Concerns involving graduate students are considered by the Graduate School of Arts and Sciences. See http://grad.georgetown.edu/pages/reg_7.cfm. Academic integrity concerns at the School of Medicine are considered according to the standards and procedures outlined in the Student Code of Professionalism (http://som.georgetown.edu/docs/Handbook%20Appendix%20O.pdf), and at the Law Center under the Student Disciplinary Code. http://www.law.georgetown.edu/Registrar/bulletin/conduct_policies/sdc.cfm

Bias Reporting System

 

Any member of the University community can make a report about a possible bias incident or hate crime through the Bias Reporting System. For more information go to:

http://studentaffairs.georgetown.edu/biasreporting/

 

Revised December 14, 2009

Intellectual Property

Contents

A. Preamble and Objectives

Georgetown University has among its primary purposes teaching, research, and the expansion and dissemination of knowledge. Although development of patents and commercial applications is not a primary institutional goal, patentable inventions and other marketable forms of intellectual property do result from the research activities of Georgetown University's employees, including faculty, administration, and staff, as well as students and fellows, who may not be compensated for their activities (hereinafter collectively referred to as “Covered Individual(s)”). The University has an interest in protecting such intellectual properties in order to:

1. Serve the public good by promoting the disclosure, dissemination, and utilization of inventions which arise in the course of the University's research through established channels of commerce;
2. Encourage and provide tangible rewards to members of the University community who create such inventions;
3. Support further research and development by securing for the University a share in the proceeds of such inventions.

The Georgetown University Intellectual Property Policy (hereinafter “this Policy”) has been established to provide for an equitable allocation of responsibilities and rewards among Inventors, their departments and schools, the University, and any external organizations that have sponsored and financed research activities at the University. These policies and procedures apply to the reporting of inventions by investigators, prosecution of patent rights by the University, development of commercial applications, distribution of financial benefit and expense within the University, and distribution of a share of net income from inventions to the Inventor(s).

B. Ownership of Inventions and Patents

1. Georgetown University acquires ownership in all inventions--any new and useful process of discovery, art or method, machine, manufacture, or improvement thereof--made or conceived by a Covered Individual, provided such invention was made:
   1. during a research or other assignment given to a Covered Individual pursuant to a research project, grant or contract, or any other University administered
      program; or
   2. utilizing facilities, equipment, funds, or other contributions of the University; and provided 2
   3. that the University has not entered into a research grant or contract agreement with express provisions to the contrary.
2. Inventions made by a Covered Individual exclusively on his or her own time and without the aid of any Georgetown University resources are the sole property of the Inventor, and:
   1. Patents from such inventions should be administered so as to not involve the name, facilities, or resources of Georgetown University;
   2. Time spent in administering such patents should conform to the University policy on outside activities by an employee;
   3. In order to avoid a conflict of interest, a Covered Individual should not patent inventions which are in the specific field of the investigator's work in Georgetown University's research programs without permission from the University;
   4. Inventor-owned patents may, upon acceptance by the University, be assigned to Georgetown University at the option of the Inventor for administration under University patent policies, or in accordance with a specific agreement between the Inventor and the University.
3. Ownership and disposition of invention rights resulting from research financed wholly or partially by governmental, industrial, philanthropic or other organizations shall be determined by the rules, regulations, and procedures of the sponsoring organization and in accordance with the terms of the related research agreement and the policies of Georgetown University. A Covered Individual who elects to perform research on governmental, commercial, or other projects undertaken by the University is required to sign such supplemental agreements as are necessary to enable the University to fulfill its legal obligations with respect to patentable discoveries.
4. A Covered Individual who has developed an invention under Paragraph B1 or B3 above shall be required, at the request of the University, to execute the papers required for making application for patents in the United States and abroad and assignment of such patent applications or patents to Georgetown University or its designee. The expenses of any resulting patent proceedings are to be paid by the University or by its assignee.
5. Georgetown University may dispose of its rights obtained under Paragraph B1, B3, and B4 above as follows:
   1. by selling, licensing, assigning, or otherwise exploiting such rights;
   2. by operating such rights for public use, if in the sole determination of the University after consultation with the inventor, principles of charity or public policy so demand;3
   3. by releasing such rights to the Inventor, provided expenses already incurred by the University or an assignee are reimbursed by the Inventor or from the proceeds of commercial exploitation of the invention. Once rights have been released to the Inventor, University funds (including funds in discretionary GD accounts) may not be used to file a patent application or commercialize the invention.
   4. by including such rights in a research contract with a third party under which such rights are assigned or licensed either in advance or otherwise, to the third party.
6. The conditions enumerated in this Policy shall be deemed to be a part of the terms of employment of University faculty, administrators and staff, and the terms of enrollment of University students.

C. Patent Law and the Inventor

The Inventor is subject to many pressures in the academic community to publish materials describing research. Premature publication may, however, adversely affect the public use and benefits of scientific data. Ideas promulgated in the literature without adequate prior protection may ultimately be lost to the public good due to their limited commercial potential. It is important for the Inventor to be aware of the potential harm of premature publication, which severely undermines the patentability of an invention. Because of the great costs associated with bringing a product to market, companies are usually willing to develop technology only if it is protected by patents. The inventor should consult the University Office of Technology Commercialization (OTC) whenever he or she has a question about patent rights. This section of the policy is designed to acquaint the inventor with the basics of a complex and sophisticated area of the law. The OTC is available to assist in the application or interpretation of this policy. In general, a patent owner in the United States has a grace period of one year to file an application after disclosure through publication or public presentation of the nature of the invention. If the U.S. patent application is filed prior to any publication or presentation, worldwide patent rights are preserved for one year from the U.S. filing date. If, however, an invention or innovation is published or presented before filing a U.S. patent application, most foreign patent rights are lost. To fully protect foreign patent rights, it is therefore essential to file a U.S. patent application prior to any publication or presentation. The Inventor can help to safeguard inventions in the early stages of development by carefully noting ideas conceived in a lab notebook. As entries are made in the notebook, a dated signature by the Inventor and a witness should help protect the invention under U.S. Patent Law. In order to protect the discovery's conception date, the Inventor must continue to make signed and dated entries for experiments where attempts to reduce the invention to practice are made. Diligence in recording efforts to reduce an invention to practice is vital. Without such diligence, efforts to establish the first invention date and to take advantage of the legal benefits flowing from it may be in vain. Careful notebook practices will help to protect the invention from subsequent Inventors even if an interloper reduces the invention to practice first, and/or files a patent application first.

D. Duty to Disclose Inventions

Inventions conceived and/or reduced to practice and which are covered by B1, B3, or B4 must be disclosed fully and in good faith to the OTC. When an Covered Individual conceives or reduces to practice an invention and judges that it may be valuable and serve the public good, that individual is required to report the invention through the Chair or Director of his or her Department, Center, or Institute to the OTC on the Georgetown University Invention Disclosure Form (Appendix B). It is the obligation of the Inventor to correctly identify any and all co-inventors on the Disclosure Form. The Inventor also has an obligation to disclose any potential conflict of interest in accordance with the University's Conflict of Interest Policies, and to execute all contracts, assignments, waivers, disclosures, or other legal documents necessary to vest in the University the rights to any invention in which it retains an interest. These obligations remain effective even after Inventors leave the University. Prosecution by an Inventor of patents on inventions to which the University has a right of ownership as described in Paragraph B1 without disclosure of the invention to the OTC and (if so requested by the University) assignment of ownership to the University, constitutes grounds for disciplinary action. Inventors may not enter into any patent agreements related to University intellectual properties with outside organizations without prior authorization from the OTC. The University retains this right of approval exclusively to itself.

E. Office of Technology Commercialization (OTC)

The Office of Technology Licensing (hereafter "OTC") shall be administered by a Vice President for Technology Licensing reporting to the Senior Vice President & Chief Administrative Officer of Georgetown University.

1. Patenting of Inventions. The OTC will be responsible for initiating patent searches and will act as a liaison to the Office of University Counsel on patent, copyright and licensing issues. The OTC's oversight responsibilities help to ensure that all Inventors receive consistent service from patent attorneys and have a central resource for the coordination, handling, and retention of records related to their inventions. Patent files will be appropriately maintained by the OTC. Inventors will receive evaluations of the marketability of their inventions as well as reports on subsequent marketing to companies and other interested parties. Information on inventions will be disseminated broadly to many companies. Meetings to discuss the marketability of inventions will be arranged by the OTC, and the Inventor will be advised throughout the interaction with potential sponsors.

2. Licensing of Inventions. The OTC will be responsible for identification of potential commercial sponsors to develop intellectual property owned by the University, for marketing of properties to potential sponsors, and for negotiation of all research and 5 development, licensing, and royalty agreements with sponsors in cooperation, as appropriate, with the Office of Sponsored Programs. Such agreements must conform to University policies, including but not limited to those governing academic freedom and conflicts of interest. Inventors may not independently market or license properties owned by the University. Sponsors may not use the name or logo of Georgetown University or those of any school or other component of Georgetown University, nor imply approval or endorsement of any product by the University in any commercial promotion without the written permission of the University. Once a company has decided to develop or commercialize an invention, the appropriate agreements will be drafted and negotiated with the licensee. Inventors will be kept informed of the negotiations and their input will be sought as appropriate. The University does not differentiate as to the validity of the views of different inventors on the same patent application, but shall give due consideration to these views, and shall negotiate at all times in the interest of the University as a whole. Model agreements for interactions with commercial sponsors are available (Appendix B). Legal counsel will be consulted as required. The licensing agreement will be maintained by the OTC which will be responsible for its administration. The Inventor is, however, central to the licensing process. The Inventor is usually the best advocate and source of expertise for the invention. Throughout the search process for prospective companies to commercialize an invention, the Inventor is encouraged to actively participate and provide guidance. The Inventor's active involvement is often essential to the successful commercialization of a discovery. During the course of negotiation the Inventor's advice and opinions will be routinely sought. In the process of negotiations, the University will use its best efforts to guard the Inventor's freedom to publish, collaborate with other non-profit institutions, and transfer materials for non-commercial purposes to other researchers.

3. Service to Inventors. The OTC is available to advise Inventors on all questions concerning copyrights, patents, licensing and technology transfer. When an Inventor has an idea, early disclosure to the OTC will ultimately benefit the development of the idea. Members of the OTC staff may advise Inventors on the types of experiments the U.S. Patent Office might require for patentability or to strengthen an application. Searches may also be instituted to review other inventions in the field in order to avoid comparable development. Advice may be sought from others knowledgeable in the field and from patent attorneys. Early planning is crucial to both the development of inventions and to cost effective, commercially valuable technology.

4. Financial Records and Reports. The OTC will maintain financial records of the expenses and income related to each invention. The inventor will receive periodic financial reports on royalties paid to the University and distributed as described in Section G below. The Inventor has the right to examine the financial records of the OTC related to his or her inventions and copyrights.

5. Assignment of Ownership to Inventors. It shall be the policy of the OTC, when a decision is made not to file a patent application on a particular invention, or to abandon all patents on a particular invention, to offer to assign to the inventor(s) ownership of the particular invention, subject to the rights of the United States Government in federally funded inventions. The University shall not differentiate between inventors. Circumstances may require that a written agreement be submitted to the University signed by all inventors concerning the inventors’ joint decision as to the invention’s disposition.

F. The University Committee on Intellectual Property (CIP)

The University Committee on Intellectual Property (hereafter “CIP”) shall be appointed by the President with representation from the principal faculties potentially affected by policies in this area and from the administration. It is chaired by, and is advisory to, the Vice President for Technology Licensing.

1. CIP Membership and Meetings. Membership of CIP shall comprise eleven faculty members, the Chief Financial Officer and Treasurer (or his/her designee), the General Counsel (or his/her designee), and the Vice President for Technology Licensing (Chair). The faculty membership shall include six faculty members nominated by the EVP of the Medical Center, three faculty members nominated by the Provost, and two faculty members nominated by the Faculty Senate. The CIP will meet at least quarterly, or more often if needed.

2. CIP Functions. It shall be the function of the CIP to advise the Vice President for Technology Licensing with respect to:

   1. guidelines and procedures for implementation of the this Policy;
   2. interpreting and applying this Policy in individual cases;
      
   3. resolving disputes concerning the interpretation and application of this Policy;
      
   4. recommending such changes in University policy, as may from time to time be desirable, to the Faculty Senate for formal deliberation and vote, and thereafter, for final approval to the President and the Board of Trustees. In particular, the CIP will periodically review specific dollar figures in this policy, and recommend revision as appropriate.
      

3. Dispute Resolution. The CIP will assist in the resolution of all disputes between individuals, or individuals and the institution, regarding ownership of patentable inventions or copyrights. The CIP will also assist in the resolution of disputes between Departments and other units over the distribution of royalties and other proceeds as described in Section G1 of this Policy. The CIP will review as appropriate the factual background of the dispute, which may include examining relevant documents and records relating to the invention's inception and development and/or  interviewing potential Inventors and others who might be able to assist the CIP in its understanding of the dispute. After its review, the CIP will recommend a proposed course of action to the Vice President for Technology Licensing, whose decision is final.

G. Distribution of Financial Benefit and Expenses, Net Income and Equity

Georgetown University assumes financial responsibility for inventions to which it takes ownership. This responsibility includes but is not limited to the costs of assessing patentability, filing and maintaining patents, marketing and licensing inventions, maintaining records, and defending against infringements and interferences. The University is not, however, obligated to protect or develop any particular technology or invention unless it has made an explicit contractual commitment to do so. Activities related to the protection and marketing of University intellectual properties are intended to be self-supporting. The OTC is required to use the University's resources carefully, with a view to promoting the fiduciary interest of the institution as a whole.

1. Distribution of Royalties and Other Income. Distribution of all royalties and other income from intellectual properties owned by the University shall be as follows:

   1. Deductions from Gross Receipts. All direct expenses related to prosecuting and maintaining a patent, including fees for outside legal counsel, shall be reimbursed to the OTC from receipts related to the invention. In addition, 15% of gross receipts from each invention shall be allocated to the budget of the OTC. When the overall revenues from such receipts are sufficient to support the activities of the OTC, the percentage amount of the allocation may be reduced so that only the actual costs of the OTC's operations are deducted from gross receipts.
      

   2. Net Receipts. "Net Receipts," which shall be defined as gross receipts less the deductions in the preceding subsection a," shall be distributed as follows:

      
      One-half of Net Receipts (50%) shall be distributed to the Inventor(s) of the intellectual property. With respect to all intellectual property reported to the University pursuant to Section D of this Policy on or after May 4, 2006, the Inventor(s)’ share shall be reduced to thirty per cent (30%) of Net Receipts once the Inventor(s) have received $5M in cumulative Net Receipts. [17] Thereafter, thirty percent (30%) of Net Receipts shall be distributed to the Inventor(s) . An Inventor’s entitlement to payment under this paragraph is not dependent upon his/her continued employment at the university. In the case of the death of the Inventor, payment will be made to the Inventor’s estate. If the payment is to be made over time, the payments will be made over the life of the patent. At the option of the Inventor, the Inventor's share may be returned to the Inventor’s laboratory rather than to the Inventor personally. When there are two or more Inventors of a property, the Inventors’ share of Net Receipts shall be allocated equally among the Inventors, unless a prior written agreement executed by all Inventors, the Executive Vice President for Health Sciences, and the Vice President for Technology Licensing provides a different allocation.

      
      10% of Net Receipts shall be distributed to the President of the University (or his/her designee) for support of research and development throughout the institution;
      
      30% of Net Receipts (40% of Net Receipts following the reduction of the Inventors’ share from 50% to 30%) shall be distributed to the Executive Vice President of the Inventor’s campus area (Main Campus, Medical Center, or Law Center). If the Inventor holds appointments on more than one campus, the campus share shall be divided among the EVPs proportional to the percentage of support provided. These funds are to be used for support of research and development on this campus or in interdisciplinary programs involving two or more campuses.
      
      10% of Net Receipts (20% of Net Receipts following the reduction of the inventors share from 50% to 30%) shall be divided among the Departments, Centers, Institutes, Programs, Sectors, and Schools (hereinafter in this paragraph collectively “the Department(s)”) in which the Inventor holds an academic appointment or staff position and from which the Inventor received his or her support, with the royalties to each proportional to the support it provided. Support shall be defined as financial support including without limitation, indirect costs and overhead recovered through grants and funded research (RX accounts), departmental funds (GX, GP or GD accounts), and lab space. In the event an Inventor reports an invention within a year after changing Department(s), there is a presumption that the royalty shall be split equally between the Department in which the Inventor formerly held and subsequently holds academic appointment(s). A Department’s entitlement to payment under this paragraph is not dependent upon the Inventor’s continued employment by the University. Disputes arising under this section shall be resolved by the EVP for Health Sciences with advice from the CIP.
      
      In any case involving multiple Inventors, the proportionate allocation of Net Receipts to the Inventors’ respective campuses and Departments shall parallel their proportionate distribution to the Inventors.
      

2. Distributions of Equity. Distributions for license agreements containing equity arrangements will follow the same formula. Such distributions may require stock liquidation. All such distributions will be determined by the Chief Financial Officer and Treasurer.

H. Copyright and Traditional Scholarship

“The primary objective of the copyright is not to reward the labor of authors, but ‘[t]o
promote the Progress of Science and useful Arts.’ To this end, copyright assures authors
the right in their original expression, but encourages others to build freely upon the ideas
and information conveyed by a work. This result is neither unfair nor unfortunate. It is
the means by which copyright advances the progress of science and art.” (Feist
Publications, Inc.. v. Rural Telephone Service Co., 499 U.S. 340, 349 (1991), Justice
Sandra Day O’Connor)

1. Purposes. A main goal of Georgetown University, as a student-centered research institution, is the discovery, production, and dissemination of knowledge. The copyright policies of the University are intended to further that goal by providing appropriate incentives to faculty and members of the academic staff for the production of new knowledge.

2. Traditional Independent Scholarship. These policies are not intended to disturb the customary relationship between the University and the author of traditional scholarly works such as books, manuscripts, artistic works, movies and television programs. In general, the University does not claim “work for hire” status under Title 17 of the U.S. Code for such works. Traditionally, most published works written by members of the faculty have been viewed as the property of the author and have been published under agreements made by those authors without participation of the University. Where the criteria in Section I1 below apply, a formal agreement between the University and author must be made pursuant to the procedure described in Section I4 below.

3. Support for Fair Use. The University strongly encourages faculty members who publish traditional scholarly works to become familiar with their rights under copyright law, and to negotiate contracts with publishers that preserve rather than waive these rights. The University will seek to make available scholarly work of faculty on institutional servers in a manner consonant with copyright law, and encourages faculty to negotiate terms with publishers that allow access by the Academy and students. For information on copyright and fair use, see http://www.lib.umn.edu/copyright/map.phtml.

I. Copyright and Other Intellectual Property

While the University generally has not sought assignment by Covered Individuals of the copyrights in their traditional scholarly works (written or edited), it has generally required assignment of ownership rights in all other Intellectual Property made or conceived by Covered Individuals utilizing the facilities, equipment, funds or other contributions of the University to a degree that is substantially in excess of what is normally provided to Covered Individuals. Consequently, in cases not involving traditional scholarly works, when the University provides substantially more than the usual support for the creation of copyrightable material or commercially valuable collections of information –for example, by subventing publication of scholarship or by committing University resources for the development of digital materials for teaching and learning –formal arrangements (created at the OTC) must be drafted in order to ensure that rights, responsibilities, and prospective revenues are shared equitably between those who develop the Intellectual Property and the University as the provider of auspices and facilitating resources.

1. Publication Subvention. In those instances when both (1) the University pays the full or a substantial part of the cost of publication (including such costs as printing, editing, etc., but excluding the salary of the primary author(s), and (2) the royalties or revenues from the publication are likely to exceed $10,000, formal agreements concerning the ownership of the copyright and the division of these royalties must be made pursuant to the procedure described in Section I4 below.

2. Software and Digital Resources. Distinctions that once were common between texts intended to convey information (and subject to copyright guidelines) and research tools (potentially subject to patent guidelines) have become less tenable at a time when software is both copyrightable and potentially patentable and when courseware and digital academic resources are characterized by a high degree of interactivity. Software development by Covered Individuals frequently receives extensive support from the University. Similarly, digital resource for teaching and learning –that is, software (including Web pages programmed in native HTML, XML, or similar protocols, or created using an authoring package or a courseware-development system) and digital content materials designed for display and dissemination over the internet or over the University’s own network frequently are based upon the work of may hands (including instructional designers and technical staff), and they frequently depend upon the University’s network and computer systems and the staff who support them. Consequently, the University may require assignment of an ownership interest in software, including courseware and digital academic resources, developed by Covered Individuals at the University. Formal agreements for these categories of Intellectual Property must be created in order to spell out the respective rights of the individual developers and the University. However, in order to encourage the development of technology-based instructional materials, the University may choose not to exercise its claim to such resources and instead to consider the copyright to lie with the developer(s). In particular, the University will not require assignment of ownership for basic web pages or entries in a course management system that are created and maintained by Covered Individuals without substantial assistance, and that simply provide information (including but not limited to reading assignments, other course requirements and links to relevant external Internet resources) specific to a faculty member’s course(s) and/or information about or copies of publications and other professional activities of a Covered Individual.
   

3. Collections of Information. The creation and maintenance of collections of information also frequently require extensive technical, staff, and systems support from the University. Consequently, the University may require assignment of an ownership interest in collections of information developed by Covered Individuals as resources for scholarship and research. Formal agreements for this category of Intellectual Property must be created in order to spell out the respective rights of the individual developers and the University. However, in order to encourage the development and maintenance of such collections of information, the University may choose not to exercise its claim to such materials and instead to consider copyright and other ownership interests to lie with the individual developer(s).

4. Formal Agreements. Formal agreements between the University and Covered Individuals who develop software, digital resources, or collections of information will be created by the OTC. Because ownership of Intellectual Property is divisible in many ways, these formal agreements will generally be based upon an unbundling and distribution of ownership rights in order to grant the developers and the University the rights each finds more advantageous and the responsibilities each is best qualified to discharge. For example, if the University has made a substantial contribution (through its systems and support expertise) to the creation of software, digital resources, or collection(s) of information, a formal agreement may assign or license to the University the ability to exercise certain rights, including but not limited to:

   1. the right, on a limited, non-exclusive basis for the University to make and distribute copies of the material for use in teaching, scholarship, and research within the University.
      
   2. the right to control whether the University’s name or logo is displayed in association with the material.
      
   3. the right to require an appropriate acknowledgement of University support in the creation of the material.
      
   4. the right to reproduce and distribute portions of the material in compilations or other composite works,
      
   5. the right to reproduce and distribute portions of the material for uses directly related to advancing the mission or maintaining the culture of the University.
      
   6. the right to be informed in advance of any licenses or assignments of the material by the author(s) or developer(s).
      
      In addition, the formal agreement may specify certain situations or conditions that would trigger the application of a secondary policy. For example, if software, digital resources, or collection(s) of information are commercialized and they generate revenues, the University may reserve the right to a certain percentage of royalties to recover any investment it may have made in such software, digital resources, or collection(s) of information. As a second example, if the University, as an incentive for development, pays a stipend to a researcher to create software, digital resources, or collection(s) of information, that stipend must be repaid to the University from any revenues that accrue from the subsequent marketing of the materials.
      

5. Responsibility to Initiate Formal Agreements. In the case of software, digital resources, or collection(s) of information likely to require the use of University resources for creation, expansion, or maintenance, it is the responsibility of the Covered Individual(s) to initiate a formal agreement with the OTC. In the absence of an agreement to the contrary, the University will claim all authorship rights in software, digital resources, or collection(s) of information created with University assistance as works made for hire under the Copyright Act Title 17 of the United States Code. However, a Covered Individual need not report or initiate formal agreements for basic Web pages or entries in a course management system that are created and maintained by that individual without substantial assistance, and that simply provide information (including but not limited to reading assignments, other course requirements, and links to relevant external Internet resources) specific to a faculty member’s course(s), and/or information about or copies of the publications or other professional activities of the Covered Individual. A Covered Individual also need not report or initiate formal agreements for that employee’s personal archives of data or of other materials relating to scholarship or research.

J. Consulting

Problems may attend the disposition of Intellectual Property that results from activities of Covered Individuals while engaged in the service or at the direction of a firm or institution other than the University. In general, the University recognizes the benefits of such activity to Covered Individual, and often to itself. However, the University is concerned about conflicts of interest that may arise from such activity. (Please refer to the Faculty Handbook under “Extramural Professional Activity” and the Financial Conflicts of Interest Policy.) In addition, the University is concerned not only about the potential loss of revenue but also about the imposition of noncomplete clauses that may hinder Covered Individuals from pursuing the University’s mission of teaching and research or prevent Covered Individuals from participating in University-sponsored research-and-development projects.

1. Consulting, Intellectual Property and University Resources. In the cases of consulting activities involving the use of Intellectual Property developed with University resources, the Covered Individual should provide to the OTC a copy of any contract for work sponsored by an entity other than the University when the terms of the contract vest control of any resulting intellectual property in that entity. In such cases, the University may require that a formal agreement be created concerning the ownership of such resulting intellectual property, pursuant to the procedures described in Section I4 above. No consulting contract shall restrain or inordinately delay publication of the results of a researcher’s University-related activities.

2. Consulting, Intellectual Property, and Non-print Media. In the cases of consulting activities resulting in the production of non-print analog or digital instructional materials (for example, for distance learning) for an entity other than the University, the Covered Individual should provide to the OTC a copy of any contract for such activity. In such cases, the University may require that a formal agreement be created concerning the ownership of the resulting intellectual property, pursuant to Section I4 above.

K. Intellectual Property and Work for Hire

1. Employees. In general, copyrightable material created by a Covered Individual pursuant to a specific direction or assigned duty (other than the teaching of courses) from the University or any of its units shall be considered a work made for hire and shall be property of the University. However, in the case of software, digital resources, collection(s) of information, or other audiovisual educational materials created by Covered Individuals pursuant to specific direction or assignment, the University may choose to share ownership with the individual developer(s). In such cases, formal agreements between the University and the individual employees will be created pursuant to the procedures described in Section C4 above, except that it is the responsibility of the University department or unit overseeing creation of the material to initiate review by the OTC.

2. Students. In general, the foregoing terms also apply to students at the University. The University makes no claim of ownership to works created by students or other staff members working on their own, outside of an employment relationship with the University. As a condition of matriculation, however, the University reserves the right to make copies of dissertations as needed for the academic and archival purposes of the institution. In addition, the University requires that students waive any claims against the University, its employees, or fellow students arising out of the reproduction, excerpting, and/or distribution of student-authored postings to University-sponsored courseware Web sites or course management systems as needed for the academic, research, and archival purposes of the institution. Students working on a project governed by a contract or agreement to which the University is a party shall be bound by the terms of that contract or agreement. Students who are hired to perform specific tasks that contribute to a copyrightable work will ordinarily have no authorship or ownership rights in that work unless they have a prior written agreement with the author.
   

L. Appendices

Appendix A – Definitions

Device-Like Software: Computer software primarily intended and likely to result in the
accomplishment of a task or in allowing the user to produce, manage, analyze, or manipulate a product such as data, text, a physical object, or more software.

Disclosure: Executed form reporting the existence of a new invention.

Covered Individual: For purposes of this policy, any Georgetown University employee, (including without limitation faculty, administration, and staff members) or any student or fellow, who is engaged, whether or not for compensation, in University research work from which an invention or copyrightable work is developed.

Intellectual Property: Patent applications, patents, copyrights, inventions, trade secrets relating to said inventions, know how, improvements, and discoveries.

Invention: Any new and useful process or discovery, art, or method, machine, manufacture, device-like computer software, or improvement thereof.

Inventor(s): The individual(s) responsible for conceiving and reducing to practice an idea which becomes an invention.

Reduction to practice: Occurs at the time when an inventor can prove the product or process was produced or applied successfully. As a matter of law, the time of the filing of the patent application is presumptively the time of reduction to practice unless the inventor can demonstrate an earlier date. Diligence in recording efforts and successes in reducing an invention to practice are vital in establishing the earliest possible date of invention.

Research and Development: Investigation of fundamental knowledge or its applications in any academic discipline germane to the university, and reduction of that knowledge to practice.

Specific Field: Area of research for which the inventor is supported by external or intramural funding or other institutional resources such as office or laboratory space, or has written investigational protocols on file at the University.

Textual Software: Computer software primarily intended and likely to result in informing or educating the user or in improving his or her general capabilities

Work Made For Hire: Intellectual property produced in the performance of a grant or contract or as a part of an employee's assigned work responsibilities.

Appendix B –Documents

Copies of the following documents can be obtained from the OTC or its website
(http://otc.georgetown.edu).

Georgetown University Invention Disclosure Form

Model Confidential Disclosure Agreement

Model Materials Transfer Agreement

Model Exclusive and Non-Exclusive Licensing Agreements

Revised May 4, 2006

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Financial Conflicts of Interest Policy

Contents

A. PREAMBLE

Despite the increasing frequency and complexity of the relationships of the University and its faculty and staff with industry, government and other entities, these relationships are governed by one basic principle: Employees of Georgetown University owe their primary professional responsibility to Georgetown University. To fulfill that responsibility they must be alert to the possibility that outside obligations, financial interests or employment relationships run the risk of compromising their objectivity as teachers, researchers, clinicians, and administrators. Acceptance of employment with the University entails a commitment to give one's best efforts to this end and to assign first priority to the needs and goals of Georgetown.

At the same time, the unprecedented growth of academic research and other externally sponsored programs over the last several decades has generated significant opportunities for collaboration between faculty members and companies attempting to convert program findings into commercially viable products. Accepting assistance and financial support from for-profit enterprises makes possible research and other programs on a scope unachievable without that support, and fosters the University's interest in serving society by making the benefits of its faculty members' research and expertise available to those who need it most. A faculty member must, however, be on guard that his or her objectivity is not threatened by obligations owed to the companies or organizations that sponsor University programs.

In addition, members of the Georgetown University community whose work is supported by public funds incur a special obligation to preserve the public trust. The Federal Government requires assurance that faculty members are aware of potential conflicts of interest arising from interrelationships with Federal agencies and commercial sponsors and of their obligation to notify appropriate University officials of all outside activities that may have conflict of interest implications. Likewise, University officers and others acting on behalf of Georgetown University have an obligation to avoid conflicts, and the appearance of conflicts, between their financial interests and the interests of the University in dealing with any organization or individual having, or seeking to have, any business relationship with the University.

To further these goals and in compliance with applicable Federal policies, [21] Georgetown University has developed a policy to identify and address potential, actual and apparent financial conflicts of interest. This Financial Conflicts of Interest Policy (the Policy) is designed to promote four fundamental objectives.

1. To heighten the awareness of faculty and staff to the potential for financial conflicts of interest, to identify conduct and situations that might constitute a conflict of interest, and to provide reliable and workable processes disclosing and eliminating or appropriately managing potential actual and apparent conflicts of interest.
2. To ensure that relationships between faculty members and external sources of funding are structured in such a manner as to enhance the University's mission in the areas of teaching and research.
3. To ensure that the relationship between faculty members and external sources of funding promotes values and practices essential to the pursuit of knowledge, including free and open communication among colleagues, the widest dissemination of research results through presentation at professional meetings and publication in professional journals, the encouragement of collaborative research, and the promotion of cordiality and mutual respect among researchers.
4. To ensure that University faculty and staff perform their responsibilities with objectivity and integrity and do not inappropriately benefit  or appear to benefit personally, directly or indirectly, from an entity or person conducting or seeking to conduct business with the University.

The Policy applies to all employees of Georgetown University. It imposes initial disclosure requirements, however, only on (1) FACULTY [22] (2) STAFF who are responsible for (i) the procurement, exchange or sale of goods, services or other assets; (ii) the negotiation or formation of contracts or other commitments affecting the assets or interests of the University; (iii) the rendering of professional advice to the University; or (iv) managerial, supervisory or advisory functions related to the conduct of SPONSORED PROGRAMS; and (3) INVESTIGATORs. [23]  All  other employees are obliged to make appropriate disclosure and follow the approval procedures required by the policy if and when they are in situations that require disclosure and/or approval under the Policy.  Additional requirements applicable to federally sponsored research and educational activities are set out in Appendix B.  Questions about disclosure obligations or procedures should be addressed to the appropriate Conflict of Interest Officer or to the Office of University Counsel.

This Policy does not address a variety of other practical or ethical issues that may arise during the course of University employment, such as conflicts in time commitments, misconduct in scientific research, and other ethical issues, including those involving medical or scientific experimentation using human or animal subjects. Other University policies address these issues.

B. CONFLICT OF INTEREST GUIDELINES

Typically, a financial conflict of interest may arise when a person has the opportunity to influence University business, administrative, academic, or other decisions in ways that could lead to personal gain or advantage of any kind. A conflict of interest may also exist when a person has a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS from which he or she receives SPONSORED PROGRAM support or whose value may be affected by research in which the person participates. 

While it is difficult to specify precisely what constitutes an objectionable conflict in all situations, the guidelines set forth below establish general standards by which individuals must evaluate their behavior. The guidelines are divided into three categories: (1) conduct presumptively prohibited; (2) conduct permitted only after review and approval; and (3) conduct merely requiring disclosure.  The guidelines are not exhaustive of all potential conflict of interest situations.  Where facts known to a person reasonably suggest an actual or apparent conflict of interest, the person is expected to disclose the circumstances and avoid the conflict of interest in good faith consistent with the spirit and objectives of this Policy. 

1. CONDUCT PRESUMPTIVELY PROHIBITED

This section of the guidelines describes conduct that is "presumptively prohibited". Presumptively prohibited conduct presents a prima facie conflict of interest and may not ordinarily be engaged in by any person covered under this Policy. The presumption may be rebutted and the conduct permitted if the person establishes by clear and persuasive evidence that such permission is justified by compelling circumstances.  The following factors, among others, may be considered in evaluating whether the person has made a sufficient showing of compelling circumstances: the nature of the research or educational activities or the University business involved; the magnitude of the interest and the degree to which it is related to the research or educational activities or the University business involved; in clinical research, the degree of risk to the human subjects involved that is inherent in the research; and the extent to which the interest is amenable to the effective oversight and management.  Section D of the Policy sets forth the applicable process for review and approval in such cases. 

a. SIGNIFICANT FINANCIAL INTEREST IN A BUSINESS

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY possesses a SIGNIFICANT FINANCIAL INTEREST (other than a CONSULTING RELATIONSHIP) in a BUSINESS, then the person may not

(1) receive SPONSORED PROGRAM support from the BUSINESS; or

(2) assign students, postgraduate students, fellows or other trainees to projects supported wholly or partially by SPONSORED PROGRAM funding from the BUSINESS.

b. PARTICIPATION IN UNIVERSITY DECISIONS

A person may not participate in any University decision that relates to or has any effect on a BUSINESS (1) in which the person, a member of the person's FAMILY, or an ASSOCIATED ENTITY has a SIGNIFICANT FINANCIAL INTEREST or (2) with which the person,  a member of the person's FAMILY, or an ASSOCIATED ENTITY has or is negotiating to have any paid consulting or employment relationship.  Under such circumstances, a person shall promptly and fully disclose the conflict and recuse himself or herself from  from any participation in such a decision.

c. GRATUITIES, GIFTS AND FAVORS

A person may not solicit or accept gratuities, gifts, favors or anything of monetary value, in excess of $100 per year per source, from an individual or a BUSINESS that (1) provides SPONSORED PROGRAM support to that person or (2) has or seeks to have a business association with the University over which the person has authority or influence.  Moreover a person participating in the selection, award or administration of agreements using Federal funds may not solicit or accept gratuities, gifts, favors or anything of monetary value from grantees/contractors or potential grantees/ contractors, regardless of value. Receipt of anything of monetary value permitted under this paragraph may additionally be subject to and must comport with other applicable University policies. Nothing in this paragraph shall preclude a person from soliciting or accepting gifts, donations, or bequests of any kind or in any amount on behalf of the University.

2. CONDUCT PERMITTED ONLY AFTER REVIEW AND APPROVAL

This section of the guidelines describes conduct a person may engage in only after review and approval in accordance with Section D of the Policy.  The factors specified in Section B. 1 above maybe also be considered in addressing requests under this section. 

a. SIGNIFICANT FINANCIAL INTEREST IN A BUSINESS

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY possesses a SIGNIFICANT FINANCIAL INTEREST (other than a CONSULTING RELATIONSHIP) in a BUSINESS, then unless he or she first discloses the SIGNIFICANT FINANCIAL INTEREST and receives approval in accordance with Section D of the Policy, the person may not

1. engage in research on projects that. whether or not sponsored by the BUSINESS, involve TECHNOLOGY owned by or contractually obligated (for example, through a license) to the BUSINESS;
2. assign students, post-graduate students, fellows or other trainees to projects listed in Section B.2.a(1) above; or,
3. make clinical referrals to such a BUSINESS.

b. CONSULTING RELATIONSHIPS

A person may neither enter into nor continue a CONSULTING RELATIONSHIP with a BUSINESS from which he or she receives SPONSORED PROGRAM support or that has or seeks to have a business association with the University over which the person has authority or influence, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, a person who enters into such a CONSULTING RELATIONSHIP may not assign students, fellows or other trainees to projects that are either supported wholly or partially by SPONSORED PROGRAM funding from the BUSINESS engaging him or her for consulting or that involve TECHNOLOGY owned by or contractually obligated to that BUSINESS without first receiving specific approval, in accordance with Section D of the Policy, to make such assignments.

c. SERVICE IN AN EXECUTIVE POSITION WITH A NON-UNIVERSITY ENTITY

A person may not serve in a compensated or uncompensated EXECUTIVE POSITION in, or serve with or without compensation on the advisory board of, a BUSINESS (not including a government agency, nonprofit organization, or an accredited educational institution) from which the person receives SPONSORED PROGRAM support, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy.

d. USE OF THE UNIVERSITY'S NAME

A person who has a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS or is affiliated with or performs services for a BUSINESS, may not authorize that BUSINESS to use the University's name, symbols, or logo to imply endorsement of the BUSINESS by the University, or to give undue prominence to the fact that the person is associated with the University, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. In addition, the person must comply with any other applicable University requirements.

e. USE OF UNIVERSITY FACILITIES

A person may not enter into an agreement with a BUSINESS involving the use of facilities or resources belonging to or utilized by the University, including the person's office or laboratory, unless the person first discloses the facts and receives approval in accordance with Section D of the Policy. This procedure supplements and does not supersede space allocation procedures utilized by the University and its campuses.

f. GOVERNMENT-FUNDED ACTIVITIES

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY has a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, the person may not without prior disclosure and approval in accordance with Section D of the Policy:

1. be responsible for the design, conduct or reporting of or otherwise participate in government-funded research, educational or clinical care activities that would reasonably appear to be directly and significantly affected by such BUSINESS interest: or                                          
2. participate by testifying, making recommendations, or voting, in any internal or external decision-making process involving the award or distribution of government funds where the testimony, recommendation or vote would reasonably appear to be directly and significantly influenced by such BUSINESS interest.

3. CONDUCT REQUIRING DISCLOSURE

This section of the guidelines describes conduct which, while not presumptively prohibited or subject to prior approval of an institutional official, must be disclosed in accordance with Section C of the Policy.  Conduct requiring disclosure is subject to review in accordance with Section D of this policy and, depending  on the circumstances, may be conditioned or prohibited.  Such conduct may also be subject to other University policies.  The factors specified in Section B. 1 above may also be considered in addressing matters disclosed under this section. 

a. SERVICE in an Executive Position with A NON-UNIVERSITY ENTITY

If a person assumes or holds a compensated or uncompensated EXECUTIVE POSITION in, or serves with or without compensation on any advisory board of, a BUSINESS (not including a government agency, nonprofit organization, or an accredited educational institution) with which the University has a substantial business relationship known to the person, the person must promptly and fully disclose the facts in accordance with Section C of the Policy and recuse himself or herself from participation in any University decision that relates to or has an effect on the subject BUSINESS.

b. PUBLICATIONS OR PRESENTATIONS

If a person, a member of his or her FAMILY, or an ASSOCIATED ENTITY possesses a SIGNIFICANT FINANCIAL INTEREST in a BUSINESS, the person may not publish or give a public oral presentation on the results of research sponsored by such a BUSINESS, or of research on TECHNOLOGY owned by or contractually obligated to such a BUSINESS, without first disclaiming in the publication or presentation any endorsement by the University. The person must also disclose the SIGNIFICANT FINANCIAL INTEREST to the potential PUBLISHER or sponsor of the public presentation, regardless of whether the PUBLISHER requires such a disclosure.

c. CONSULTING RELATIONSHIPS

If a person enters into a CONSULTING RELATIONSHIP with a BUSINESS  and the CONSULTING RELATIONSHIP is in the field of the person's professional responsibility at the University, he or she must fully and promptly disclose the facts in accordance with Section C of the Policy, regardless of whether or not the person receives SPONSORED PROGRAM support from the BUSINESS or has any other SIGNIFICANT FINANCIAL INTEREST in the BUSINESS, and recuse himself or herself from participation in any University decision that relates to or has an effect on the subject Business.  This paragraph may supplement but does not supersede other requirements detailed in the Faculty Handbook or other University policies.

C. INITIAL AND ANNUAL DISCLOSURE REQUIREMENTS

The following disclosure requirements are intended to elicit the basic information the University needs to determine whether a person has an actual or apparent conflict of interest, as detailed in Section B above.  More detailed information may be requested and required by the Conflict of Interest Officer to ensure the appropriate consideration and resolution of any such actual or apparent conflict of interest.

1. INITIAL DISCLOSURE

 All (1) FACULTY, and (2) STAFF who are responsible for (i) the procurement, exchange, or sale of goods, services, or other assets; (ii) the negotiation or formation of contracts or other commitments affecting the assets or interests of the University; (iii) the rendering of professional advice to the University; or (iv) managerial, supervisory, or advisory functions related to the conduct of SPONSORED PROGRAMS; and (3) INVESTIGATORS are required to complete and submit a disclosure form upon their employment by the University.

2. ANNUAL and Updated DISCLOSUREs

All INVESTIGATORS are required to submit a disclosure form on an annual basis during the pendency of an award.  In addition, all persons whose initial  or subsequent disclosure reveals an actual or apparent conflict of interest are required to submit disclosure forms on an annual basis until relieved of that obligation by the appropriate Conflict of Interest Officer. All persons identified in Section C.1 of the Policy are also required to submit revised forms at any point at which their most recent disclosure becomes incomplete or inaccurate (e.g., if a SIGNIFICANT FINANCIAL INTEREST arises or changes, a research activity commences, a funding application is submitted, or the person's University authority or influence changes).  With the approval of the University Conflict of Interest Committee (see Section D.2 of the Policy), each campus and University Services area of the University will develop a procedure to notify FACULTY, STAFF, and INVESTIGATORS annually of their reporting obligations.  Specific information regarding the reporting procedures for each campus and University Services area  may be accessed at (insert link)

3. DISCLOSURE FORM

Disclosures shall be made on a form or in a format approved by the University Conflict of Interest Committee.  While all such forms must meet the requirements set forth in the Policy, the three campuses and University Services may, with the Committee's approval, use different forms and formats for the purposes of the reporting required under this Policy.  All disclosure forms will require individuals identified in Sections C.1 and C.2 of this Policy to disclose any activities or relationships described in Section B of the Policy.  INVESTIGATORs must additionally report any SIGNIFICANT FINANCIAL INTEREST: (1) that would reasonably appear to be affected by research or educational activities for which external funding is sought or has been awarded; or (2) in entities whose financial interests would reasonably appear to be affected by such research or educational activities.

Disclosure forms will be considered strictly confidential, to the extent permitted by law, and the information on the disclosure forms will be shared only with those who have a need to know under this Policy and/or applicable law.  The appropriate Office of the Executive Vice President, Vice President, or Director, as the case may be under Section D.1 of the Policy, will establish procedures for maintaining and preserving confidentiality.  Completed  disclosure forms will be forwarded to the appropriate Conflict of Interest Officer designated under Section D.1 or the Policy.  INVESTIGATORs must provide any required disclosures to the appropriate designated individual prior to the submission of an application to PHS (including the National Institutes of Health) or the National Science Foundation ("NSF").

   

a. DISCLOSURE OF OWNERSHIP INTEREST OR EXECUTIVE POSITION

When the disclosure required is a disclosure of an ownership interest or of an EXECUTIVE POSITION, the disclosure must contain the following information, when applicable:

1. the name and address of the BUSINESS and a general description of the BUSINESS;
2. a statement of the fair market value of the investment or interest held described in broad categories similar to that on Federal disclosure forms (for instance, the investment is worth $10,000 or less; more than $10,000 but less than $50,000; more than $50,000 but less $100,000; $100,000 or more; all values given shall be the aggregate for all holdings of the person and the person's FAMILY);
3. a statement indicating whether the interest, when aggregated for the person and his or her FAMILY, represents more than five percent of total ownership in the entity; and
4. the position held in the BUSINESS by the person.

b. DISCLOSURE OF INCOME, FEES, LOANS OR OTHER SIGNIFICANT FINANCIAL INTEREST

When the disclosure required to be given is of income, fees, loans or other sums, the disclosure shall include the following information, when applicable:

1. the name and address of the BUSINESS and a general description of the BUSINESS activity;
2. a statement of the aggregate annual amount of income/compensation received from the BUSINESS described in broad categories similar to that on Federal disclosure forms (for instance, income/ compensation is $10,000  or less; more than $10,000 but less than $50,000; more than than $50,000 but less than $100,000; $100,000 or more; all values given shall be the aggregate for the person and the person's FAMILY);
3. in the case of a loan, the annual interest rate, the security, the terms for repayment and the names of any guarantors.

D. IMPLEMENTATION OF THE CONFLICT OF INTEREST POLICY

1. INITIAL CAMPUS REVIEW 

A.  As detailed in Section D.1.b below, each campus and each University Services area shall appoint an individual (the "Conflict of Interest Officer") who shall be responsible for:

1. distributing, collecting and reviewing the disclosure forms required by Section C of the Policy;
2. determining if conduct governed by Sections B.1 and B.2 of the Policy will be permitted, and if so, under what, if any, restrictions or limitations. Appropriate restrictions and limitations may include, without limitation public disclosure of SIGNIFICANT FINANCIAL INTERESTs, monitoring of research by independent reviewers, modification of the research plan, divestiture of SIGNIFICANT FINANCIAL INTERESTs,  severance of relationships that create actual or potential conflicts, and disqualification from participation in all or a portion of the research or other activity;
3. determining whether alleged noncompliance or breach of the Policy has occurred;
4. transmitting appeals of his or her determinations under Section D.1.a(2) above to the appropriate individual referenced in Section D.2.c.(1) of the Policy;
5. transmitting his or her determinations under Section D. 1.a(3) above, and any appeal of such determinations, to the University Conflict of Interest Committee for action in accordance with Section D.2.c.(2) of the Policy.

All determinations made under Sections D.1.a(2) and D.1.a(3) above shall be communicated to the affected party in the form of a written statement that sets forth the basis for the decision.

b.  In the case of the Main Campus, the Medical Center and the Law Center, the Executive Vice President for the respective campus shall appoint the Conflict of Interest Officer referenced in D.1.a above. In the case of the University Services areas, the Senior Vice President and Chief Administrative Officer shall appoint the individual referenced in D.1.a above.  Specific information regarding individual appointments for each campus and University Services area may be accessed at (insert link)

 Conflict of Interest Officers shall submit their disclosure forms, and any request to engage in conduct covered by Section B.1 or Section B.2 of the Policy, to the Executive Vice President or Senior Vice president responsible for their appointment, who shall discharge the review functions referenced in D.1.a above with regard to the Conflict of Interest Officer.
University employees who are subject to the Code of Conduct for the Officers and Senior Administrators of Georgetown University ("Code of Conduct") shall make initial, subsequent and annual disclosures as required by he Code of Conduct to the Secretary of the University, who holds an appointment from the University Board of Directors and is vested  with the duty and authority of the conflict of interest officer under the Code of Conduct.

2. THE UNIVERSITY CONFLICT OF INTEREST COMMITTEE

a. COMPOSITION

The University Conflict of Interest Committee (the Committee) shall consist of seven (7) principal members, three (3) appointed from the ranks of the full-time FACULTY, three (3) appointed from the ranks of campus non-FACULTY employees, and one (1) appointed by the Senior Vice President and Chief Administrative Officer, as detailed below.

• The Faculty Senate shall select or elect the three (3) FACULTY members, one (1) from the Main Campus, one (1) from the Medical Center, and one (1) from the Law Center.
• The Executive Vice Presidents of the three campuses shall each appoint one (1) non-FACULTY member from their respective campuses.
• The  Senior Vice President and Chief Financial Officer shall appoint one (1) individual from a University Services area.
• The following personnel or their designees (designees must be appointed for a full term) shall also serve as advisors to the Committee  in the prescribed circumstances:
• the director of the sponsored programs office of the campus from which the issue originates when the matter at issue involves SPONSORED PROGRAM support;
• the Vice President for Technology Commercialization of the Office of Technology Licensing when the matter at issue involved the transfer of intellectual property;
• the Conflict of Interest Officer who made the determination that has been appealed to the Committee.

Seven (7) alternate Committee members, to serve when principal members are unavailable in adequate number, shall also be appointed with the Faculty Senate selecting or electing one (1) FACULTY member from each of the three campuses, the Executive Vice Presidents appointing one (1) non-FACULTY member from their respective campuses and the Senior Vice President and Chief Administrative Officer selecting one (1) individual from a University Services area.

The normal terms of service for members, whether principal or alternate, elected or appointed, is three years.  Members, with the exception of the ex officio members, are not eligible to serve more than two terms consecutively. Terms commence on July 1 and expire on June 30, but a member may continue to participate in any case pending on the date his or her term expires. The University President shall appoint from the members of the Committee a Chair and Vice Chair to serve three years each.

b. DUTIES OF THE COMMITTEE

The Committee shall:

1. set policies for conflict of interest consistent with this document;
2. conduct annual reviews of the past year's decisions to allow conduct covered by Section B.1 and Section B.2;
3. establish specific requirements for the disclosure forms described in Section C of the Policy;
4. develop and publish procedures supplemental to those set forth in the Policy for implementing the disclosure and approval process; and
5. make final determinations in matters appealed to the Committee in accordance with Section D.2.c.(1) or Section D.2.c.(2) of the Policy.

c. COMMITTEE CASE DISPOSITION

Committee decisions regarding compliance with this Policy fall under two separate headings. Class I covers cases in which a person appeals a decision by the individual designated under Section D.1 of the Policy to disallow or restrict conduct covered by Section B.1 or B.2 of the Policy where such a decision has in turn been upheld by the relevant official described in Section D.2.c.(1) below. Class II covers cases in which an allegation has been made that a person has violated the Policy and may therefore be subject to disciplinary measures.

Decisions in Class I cases are final and not subject to FACULTY or other relevant grievance code procedures, but proposed or actual administrative actions pursuant to Class II decisions are subject to such procedures. All decisions of the Committee shall be in the form of a written statement setting forth the basis for the decision and shall be by majority vote of those voting, with a majority of the Committee constituting a quorum. Persons who are the subject of cases shall have the right to ask the chair of the Committee to replace any member for actual or apparent bias.

1. CLASS I CASES

Decisions of the a Conflict of Interest Officer to disallow or restrict conduct covered by Section B.1 or B.2 of the Policy shall, upon request of the affected person, be reviewed by the Executive Vice President or Senior Vice President who appointed the responsible Conflict of Interest Officer. Decisions by these reviewers or by the University Secretary pursuant to Section D.1.b above to allow such conduct shall be final and not subject to appearl. Decisions by these reviewers or by the University Secretary pursuant to Section D.1.b to disallow or restrict such conduct may be appealed to the Committee. All decisions on review shall be provided to the affected party and shall be in the form of a written statement setting forth the basis for the decision.  Pending review of a decision under this subsection, the responsible Conflict of Interest Officer or the Secretary may require such interim action, such as disallowing or restricting conduct under a federal award, as he or she deems necessary to comply with federal regulations or serve the best interest of the University. 

The Committee will decide appeals in accordance with this Policy and with the policies established from time to time by the Committee. The Committee shall endeavor to develop a consistent body of decisions that can guide the Committee in future deliberations on similar cases. All decisions of the Committee shall be provided to the affected person and shall be in the form of a written statement setting forth the basis for the decision. Decisions of the Committee shall be transmitted by the Committee to the University President and shall be final unless overruled within thirty (30) days by the President. Any decision by the President to overrule a decision of the Committee shall be in the form of a written statement setting forth the basis for the President's action.

Except as provided in the Policy, all information generated or used in the proceedings of the Committee shall be held in strictest confidence. [24] The complete file of the proceedings shall be preserved on a confidential basis in the Office of the Secretary of the University. At the discretion of the Committee, decisions rendered in previous cases shall be available to persons who demonstrate a specific need, such as a need to prepare a case before the Executive Vice President or the Committee, or a need for guidance in determining whether or not to undertake or approve a proposed activity. The Committee shall redact all identifying characteristics when releasing previous decisions.

2. CLASS II CASES

When, consistent with Section D.1(a)(5) of this Policy, a Conflict of Interest Officer or the University Secretary transmits to the Committee for action his or her determination that an alleged infraction of the Policy has in fact occurred, or when such a determination is appealed to the Committee by the affected person, the Committee shall review the matter and make its own determination. The initial referral by the Conflict of Interest Officer will be promptly reported by the Committee to the person who has allegedly committed the infraction. The Committee shall receive any written or oral submission that the person may wish to provide within a reasonable time set by the Committee for such submissions, and he or she shall have the right to know the evidence against him or her on which the allegation of an infraction is based. If the Committee upholds the determination that an infraction has occurred, the Committee will make recommendations to the referring Conflict of Interest Officer with regard to further action. Such further action may include without limitation oral admonishment, written reprimand, reassignment, ineligibility for future grants, IRB approval or supervision of graduate students, demotion, suspension with or without pay, or separation. The recommendation made by the Committee to the Conflict of Interest Officer shall be in writing and a copy shall be provided to the affected person. Actions taken subsequently by any campus official on the basis of the Committee's recommendation shall be subject to review under any relevant provision of an established University grievance procedure.

 

E. WAIVER

The Policy shall be interpreted and applied in a manner that best advances its goals and purposes and best serves the interests of the University.  It may be revised periodically by the Committee to reflect developments in the applicable law and to reflect and clarify the Policy's institutional interpretation and application. 

APPENDIX A - DEFINITIONS

1. An "ASSOCIATED ENTITY" means any trust, foundation, partnership or other privately held entity in which a person, alone or together with one or more members of the person's FAMILY, holds any interest in income or assets.
2. "BUSINESS" means any corporation, firm or other legal entity organized for profit or charitable purposes, excluding Georgetown University.
3. For the purposes of this Policy only, "University Services" means any component of the University not under the administrative jurisdiction of one of the three campus Executive Vice Presidents. Authority granted in the Policy to the Director of a University Services area is not in addition to that of a relevant Vice President, but rather shall only exist when the University Services area does not report to a Vice President.
4. "CONSULTING RELATIONSHIP" means any arrangement by which a person provides services for more than $10,000 in compensation of any kind in any given year as an independent contractor or employee to any entity other than Georgetown University. For the purposes of this Policy it also means publication agreements for which an individual receives more than $10,000 in compensation of any kind.
5. An "EXECUTIVE POSITION" means a position as director, officer, partner, trustee or other position of management in a BUSINESS.  This term does not include a position on a scientific advisory board.
6. The term "FACULTY" as used in the Policy includes all full-time faculty members, part-time faculty members, and visiting faculty members. Although the term does not include volunteer faculty members, a department chairperson may, under appropriate circumstances and with notice to the person affected, designate a volunteer faculty member in his or her department as "faculty" for the purposes of the Policy. In addition, the Executive Vice President for each of the three campuses may at his or her discretion in writing exempt as a class part-time and/or visiting faculty from this definition and from all or a portion of the Policy, provided exempted individuals are not engaged in research  or educational activities funded by the Federal government.
7. The "FAMILY" of a person includes that person's spouse and dependent children.
8. "INVESTIGATOR" means the principal investigator, co-principal investigator(s) and any other person who is responsible for the design, conduct or reporting of research or educational activities funded by a federal government agency or other external sponsor, or proposed for such funding, and includes the Investigator's spouse and dependent children.
9. "PHS AWARDING COMPONENT" means the organizational unit of the PHS that funds the research.
10. "PUBLISHER" refers to the publisher of a book, journal, or other scholarly work in which a FACULTY or  member publishes the results of activities conducted at Georgetown University, using Georgetown University resources, or under Georgetown University's auspices; the sponsor of a seminar, conference or academic gathering at which such research is discussed; and the editorial staff of any publication in which the results of such research appear. "Publishing" includes what is ordinarily considered as publishing in any written or electronic medium, as well as speeches, public communications and other formal presentations.
11. A "SIGNIFICANT FINANCIAL INTEREST" means any of the following when aggregated for a person and members of his or her FAMILY:
    1. an equity interest in a BUSINESS, such as stock, stock options, or warrants, if the value of such ownership is more than $10,000, or if the ownership interest represents more than 5% of ownership interests in that BUSINESS, or any other ownership interest with a value of more than $10,000. This definition does not include any interest owned solely by reason of investment in a BUSINESS by a mutual fund, pension fund, or other institutional investment fund over which the person or FAMILY member exercises no control;
    2. an interest in intellectual property (such as a patent or copyright), or any royalty or other payment or entitlement related to the intellectual property interest, expected to exceed $10,000 over the next twelve months;
    3. the right to receive  from a BUSINESS compensation, such as salary, consulting fees, honorarium, or any other form of payment for services (including the value of goods and services), in an annual amount of more than $10,000.
    4. a loan from, or other indebtedness to, a BUSINESS, regardless of the amount.
12. The term "SPONSORED PROGRAM" as used in the Policy is a research or other activity supported or paid for in whole or in part, directly or indirectly, from external sources. "Sponsored program support" means the funds or other things of value given to enable a sponsored program to be performed.
    1. An external source can include a government department or agency (foreign, federal, state, or local); a not-for-profit foundation, corporation or organization; a for-profit corporation or BUSINESS entity; and any natural person who supports research  or other activities through the donation or commitment of funds other than University funds.
    2. Programs or research qualify as sponsored programs even if the sponsored program support comes from University funds. Programs or research also qualify if the sponsored program support comes from a University-administered fund and the research or program and INVESTIGATORs are selected by University personnel, so long as the sponsored program support comes from an extramural source and the extramural source is aware that some or all of its funding has been placed in a University-administered research  or program fund.
13. The term "STAFF" as used in the Policy includes all those University employees who are not "FACULTY" as defined above, including non-teaching academic staff.
14. The term "TECHNOLOGY" is used inclusively in this Policy to mean any instrument, machine, device, process, software, compound, drug, or diagnostic, medical or surgical procedure.

Appendix B-Additional Provisions Applicable to Certain Federally Sponsored Research and Educational Activities

Research and eductiaonal activites funded by or proposed for funding by PHS or NSF are subject to certain requirements imposed by PHS regulations and NSF's Award Administration Guide, as ameded from time to time (include links to the PHS regulations(42 C.F.R. Part 50, Subpart F.) and the Guide).  As of (September 17th, 2008), the University implements those requirements as follows.

1. Subawardees and Collaborators

If the University carries out federally-funded research or educational activities through subgrantees, contractors, or collaborators, the University will take reasonable steps to ensure that INVESTIGATORs working for such entities comply with applicable federal requirements regarding conflicts of interest, either by requiring those INVESTIGATORS to comply with this Policy or by requiring the entity to provide assurance to the University that will enable the University to comply with federal requirements.

 

2. Recordkeeping

a. PHS-funded Research

The University shall maintain records of all financial disclosures and of all actions taken by the University with respect to each conflict of interest in connection with PHS-funded research for at least three years from the date of submission of the final expenditures report or, where applicable, as provided in 45 C.F.R. § 74.53(b) for different situations.

b. NSF-funded Research and Educational Activities

 

The University shall maintain records of all financial disclosures and of all actions taken to resolve conflicts of interest in all NSF-funded research and educational activities for at least three years beyond the termination or completion of the grant to which they relate, or until the resolution of any NSF action involving those records, whichever is longer.

3. Access to Records

Pursuant to PHS regulations, the University will make information available, upon request, to the U.S. Department of Health and Human Services regarding all conflicting interests that have been identified by the University and how those interests have been managed, reduced or eliminated to protect PHS-funded research from bias. 

4. Conflict-of-Interest Reports

a. PHS-funded Research

(1) Prior to the University’s expenditure of any funds under a PHS award, the University will report to the PHS AWARDING COMPONENT the existence of a conflicting interest (but generally not the nature of the interest or other details) found by the University and assure that the interest has been managed, reduced or eliminated in accordance with federal regulations. 

(2)  If the University identifies any conflicting interest following the University’s initial report under a PHS award, the University will report to the PHS AWARDING COMPONENT the existence of the conflicting interest (but generally not the nature of the interest or other details) and manage, reduce, or eliminate the interest, at least on an interim basis, within sixty days of that identification.

(3)  If the failure of an INVESTIGATOR to comply with this Policy has biased the design, conduct, or reporting of PHS-funded research, the University will promptly notify the PHS AWARDING COMPONENT of the corrective action taken or to be taken.

(4)  If the U.S. Department of Health and Human Services concludes that a clinical research project funded by PHS for purposes of evaluating the safety or effectiveness of a drug, medical device, or treatment has been designed, conducted or reported by an INVESTIGATOR with a conflicting interest that was not disclosed or managed as required under this Policy, the INVESTIGATOR must disclose the conflicting interest in each public presentation of the results of the research.

b. NSF-funded Research and Educational Activities

In the event that the University is unable to manage satisfactorily a conflict of interest that relates to an NSF-funded activity, the Chair of the University Conflict of Interest Committee in consultation with the appropriate Executive Vice President will so inform the NSF Office of the General Counsel through the NSF FastLane system.

 

University Code of Procedure for Alleged Misconduct in Research (1990)

Contents

A. APPLICABILITY

This code applies to any person holding a University appointment or otherwise employed by the University who is alleged to have engaged in misconduct in research, including sponsored research [25]. This code applies to all campuses and subdivisions of Georgetown University.

B. DEFINITION OF MISCONDUCT IN RESEARCH

"Misconduct in research" means (1) fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, or reporting results from research, or (2) failure to meet material legal or University requirements governing research. This definition does not include honest error or honest differences in interpretations or judgments of data.

C. INITIATION OF AN INQUIRY

Allegations of misconduct in research as defined above should be submitted in writing, signed by the complainant, to the Chairperson of the Research Integrity Committee (described in Paragraph E), or to any other member of that Committee, who shall immediately transmit the allegation to the Chairperson (or Vice Chairperson when the Chair is unavailable).

Upon receipt of the allegation the Chairperson (or Vice Chairperson as circumstance may demand) shall promptly supply a copy of the charge to the Executive Vice president under whose campus jurisdiction the person subject to the allegations (the respondent) conducted the questioned activity. Within ten days of receiving the allegation the Chairperson shall inform the respondent of the allegations, with particulars, although the identity of the complainant need not necessarily be disclosed. Within three working days of receiving the allegation, the Chairperson will appoint a subcommittee of three members (one as chair) of the Research Integrity Committee to conduct a preliminary inquiry into the matter, examining whether the allegation substantively alleges misconduct in research as defined above, and whether it merits investigation. In creating the subcommittee the Chairperson shall attempt to avoid any appointment that may involve a conflict of interest or the appearance of a conflict of interest. At least one member of the subcommittee shall come from a campus other than the campus where the respondent's work has been carried out. The respondent shall be notified of the membership of the subcommittee. The complainant shall be available to the subcommittee from the inception of its operation.

During this inquiry stage, the subcommittee may consult with persons other than the complainant and respondent, as the subcommittee deems appropriate, including experts from outside the University. The subcommittee may require the respondent, the complainant and any material witness to furnish the original copies of relevant records under the control of these persons, respectively (a copy of these originals will be provided at committee expense, upon the request of any such person). In all proceedings in which he or she appears before the subcommittee the respondent may be advised by counsel or other advisor. The subcommittee shall accept evidence or representations as may from time to time be submitted by respondent during the subcommittee's inquiry.

If anonymity is requested by a complainant who submits a signed complaint, the request is to be honored insofar as possible. Unsigned allegations will be subject to the most careful scrutiny for particularity of detail and other qualities bearing on credibility. The University recognizes that considerations of personal and professional risk sometimes justify the submission of unsigned allegations, but strongly discourages the practice.

If the circumstances appear exigent at the time the Chairperson notifies the relevant Executive Vice President or at any time thereafter, that Executive Vice President may take all appropriate steps to assure the safekeeping of original copies of relevant research data, and may suspend the respondent, with pay, from further work on the matters to which the referred allegations relate. If the allegations involve potential harm to human or animal subjects, in violation of National Institutes of Health guidelines, the ExecutiveVice President at any time may suspend the protocol, transfer supervisory authority to another person on an interim basis, and/or take reasonable steps to postpone publication of data as to which question has been raised until such time as proceedings before the Research Integrity Committee have been terminated. [26]

Within 30 days of the time the subcommittee is appointed, the subcommittee shall report back to the Chairperson with a recommendation either (1) that the matter be terminated on the grounds that no violation within the purview of this Code has been committed, or (2) that the full Committee investigate the matter further. [27] The 30 days may be extended by the Research Integrity Committee Chairperson at the request of the subcommittee or the respondent for good cause, but may not be extended beyond 60 days unless the record of the inquiry contains documentation of the reasons for any such extension. Either recommendation is to be immediately forwarded to the relevant Executive Vice President. If the recommendation is to investigate further, the Chairperson will promptly (and in any event not later than 30 days following receipt of the report) commence full Committee proceedings under paragraph D, and the Executive Vice President, as federal rules may require [28], shall notify any agency sponsoring the research in question that a full Committee investigation has been initiated.

D. REFERRAL TO RESEARCH INTEGRITY COMMITTEE; PROCEDURES

Where a matter is referred to the full Research Integrity Committee for investigation, the Chairperson will provide the respondent with a written statement of the allegations, and a summary of the evidence. The Committee's membership may be supplemented as appropriate by interim appointments by the Chairperson, described in Paragraph E. The Committee may conduct such inquiry and hold such hearings as it deems necessary, including seeking the views of experts from outside the University. The Committee can examine all data relevant to the integrity of the respondent's research conduct [29]. The Committee is authorized to request that the relevant Executive Vice President take steps, if not previously taken, to protect the original copies of any research data that may have bearing on the merits of the allegations against the respondent. The Committee may require the respondent to furnish the original copies of relevant records under respondent's control.

In all proceedings in which he appears before the Committee, the respondent may be assisted by counsel. The respondent shall have the right to present witnesses or evidence in other form to the Committee whether in a hearing or otherwise. In any hearing the respondent may, personally or through counsel, conduct cross-examination of any witnesses against him. Formal rules of evidence used in judicial proceedings are not applicable, but respondent or his counsel remain free to argue as to the weight to be accorded any evidence received. In any event, all evidence received by the Committee is to be disclosed to the respondent. [30]

Unless there are extenuating circumstances requiring a longer process, the Research Integrity Committee will make and report its findings with supporting evidence to the relevant Executive Vice President in writing in no more than 90 calendar days from the date of referral, unless the Chairperson extends the time upon the reasonable request of the respondent, or for other good cause.

FINDINGS. The Committee may make findings under the following headings: (A) a finding of willful misconduct; (B) a finding that no willful misconduct was committed, but that serious error has occurred; or (C) a finding that no misconduct or serious error was committed.

If the finding is under (C) above, the case will be terminated. Where a case is terminated, nothing of it may appear in the personnel record of the respondent or the complainant. Any previously imposed suspension will be promptly lifted.

If the finding is under (A) or (B) above, or if the respondent concedes the merit of the allegations at any time during these proceedings, the Committee shall make a recommendation as to the sanction of sanctions to be imposed. These sanctions include, in ascending order of severity:

1. letter of reprimand
2. special monitoring of future work
3. probation
4. removal from a particular project
5. termination of employment

Upon receipt of a Committee finding and the Committee's file on the case the Committee Chairperson will immediately transmit a copy of the finding to the respondent and to the complainant, if known. [31]

TRANSMITTAL TO EXECUTIVE VICE PRESIDENT. When full Committee review has concluded, the Committee Chairperson shall immediately transmit the Committee finding, and the full Committee report, and the file, to the appropriate Executive Vice President. The Executive Vice President may then impose sanctions but not before providing the respondent with notice of what he proposes to do, and with a reasonable opportunity to request and argue for lesser or no sanction, but in no event may the sanction imposed be more severe than that recommended by the full Committee. In any case the Executive Vice President is free to remand a matter for clarification or further findings.

Sanctions recommended by the Committee and imposed under this Code are not grievable matters under the University Grievance Code. However, a failure to fully comply with procedures required by this Code is grievable.

CONFIDENTIALITY. Except as provided by this Code, the proceedings of the subcommittee and the full Committee, and all information generated therein, shall be held in strictest confidence. [32] Moreover, throughout the proceedings covered by this Code, the reputations of the complainant and the respondent shall be protected.

Under the conclusion of proceedings under this Code the result in a finding adverse to the respondent, the University will inform any agency sponsoring the research in question, research collaborators and other parties affected by the misconduct, and where relevant, journal editors. The complete file on the proceedings shall be preserved on a confidential basis in the Office of the Secretary of the University.

E. RESEARCH INTEGRITY COMMITTEE

The Research Integrity Committee shall be composed of twelve members, the Chairperson to be appointed by the President of the University. Of the other members of the Committee three shall be appointed by the Executive Vice President of the Medical Center from that campus; three shall be appointed by the University Provost from Main Campus faculty, at least two of whom shall be in the field of natural sciences; two shall be appointed by the Executive Vice President for Law Center Affairs, and three shall be appointed by the Faculty Senate, at least two of whom shall be in the field of natural sciences. Members shall serve a term of three years, and may be reappointed. However, for the first appointments under this Code, the appointing authorities shall designate their first appointees as having respectively an initial one, two, or where applicable, three year term, renewable. Any member of the Committee whose appointment expires before the case terminates is authorized to continue service until the case is terminated. As need arises (e.g., a concern with potential conflict of interest), substitute members of the Committee may be appointed to serve in that case on an ad hoc basis by the Committee Chairperson, to maintain Committee membership at twelve.

The members of the Research Integrity Committee shall elect from their ranks a Vice Chairperson from a campus other than that from which the Chairperson comes. In the absence of the Chairperson, or Vice Chairperson, their designee(s) may act on any matter.

Computer Systems Acceptable Use Policy

Contents

This policy is designed to guide students, faculty, and staff in the acceptable use of computer and information systems and networks provided by Georgetown University. More importantly, it is meant as an application of the principles of respect and reverence for every person that are at the core of Georgetown's Catholic, Jesuit identity.

GUIDING PRINCIPLES

The Georgetown University community is encouraged to make innovative and creative use of information technologies in support of education and research. Access to information representing a multitude of views on current and historical issues should be allowed for the interest, information and enlightenment of the Georgetown University community. Consistent with other University policies, this policy is intended to respect the rights and obligations of academic freedom. The University recognizes that the purpose of copyright is to protect the rights of the creators of intellectual property and to prevent the unauthorized use or sale of works available in the private sector. Also consistent with other University policies, an individual's right of access to computer materials should not be denied or abridged because of race, creed, color, age, national origin, gender, sexual orientation, or disability.

The University cannot protect individuals against the existence or receipt of material that may be offensive to them. As such, those who make use of electronic communications are warned that they may come across or be recipients of material they find offensive. Those who use e-mail and/or make information about themselves available on the Internet should be forewarned that the University cannot protect them from invasions of privacy and other possible dangers that could result from the individual's distribution of personal information.

Georgetown University computing and network resources are to be used only for University-related research, instruction, learning, enrichment, dissemination of scholarly information, and administrative activities. The computing and network facilities of the University are limited and should be used wisely and carefully with consideration for the needs of others. Computers and network systems offer powerful tools for communications among members of the community and of communities outside the University. When used appropriately, these tools can enhance dialog and communications. When used unlawfully or inappropriately, however, these tools can infringe on the beliefs or rights of others.

RESPONSIBILITIES

The following examples, though not covering every situation, specify some of the responsibilities that accompany computer use at Georgetown and/or on networks to which Georgetown is connected.

1. Users may not attempt to modify the University system or network facilities or attempt to crash systems. They should not tamper with any software protections or restrictions placed on computer applications or files.
2. Users may use only their own computer accounts. Users may not supply false or misleading data nor improperly obtain another's password in order to gain access to computers or network systems, data or information. The negligence or naivete of another user in revealing an account name or password is not considered authorized use. Convenience of file or printer sharing is not sufficient reason for sharing a computer account. Users should not attempt to subvert the restrictions associated with their computer accounts.
3. Users are responsible for all use of their computer account(s). They should make appropriate use of the system and network-provided protection features and take precautions against others obtaining access to their computer resources. Individual password security is the responsibility of each user.
4. Users may not encroach on others' use of computer resources. Such activities would include, but are not limited to, tying up computer resources for excessive game playing or other trivial applications; sending harassing messages; sending frivolous or excessive messages, including chain letters, junk mail, and other types of broadcast messages, either locally or over the Internet; using excessive amounts of storage; intentionally introducing any computer viruses, worms, Trojan Horses, or other rogue programs to Georgetown University hardware or software; physically damaging systems; or running grossly inefficient programs when efficient ones are available.
5. Users are responsible for making use of software and electronic materials in accordance with copyright and licensing restrictions and applicable university policies. Georgetown University equipment and software may not be used to violate copyright or the terms of any license agreement. No one may inspect, modify, distribute, or copy proprietary data, directories, programs, files, disks or other software without proper authorization.
6. Users must remember that information distributed through the University's computing and networking facilities is a form of publishing, and some of the same standards apply. For example, anything generated at GU that is available on the Internet represents GU and not just an individual. Even with disclaimers, the University is represented by its students, faculty and staff, and appropriate language, behavior and style is warranted.

ADMINISTRATION AND IMPLEMENTATION

The University encourages all members of its community to use electronic communications in a manner that is respectful to others. While respecting users' confidentiality and privacy, the University reserves the right to examine all computer files. The University takes this step to enforce its policies regarding harassment and the safety of individuals; to prevent the posting of proprietary software or electronic copies of electronic texts or images in disregard of copyright restrictions or contractual obligations; to safeguard the integrity of computers, networks, and data either at the University or elsewhere; and to protect the University against seriously damaging consequences. The University may restrict the use of its computers and network systems for electronic communications when faced with evidence of violation of University policies, or federal or local laws. The University reserves the right to limit access to its networks through University-owned or other computers, and to remove or limit access to material posted on University-owned computers.

All users are expected to conduct themselves consistent with these responsibilities and all other applicable University policies. Abuse of computing privileges will subject the user to disciplinary action, as established by the applicable operating policies and procedures of the University. Abuse of networks or computers at other sites through the use of Georgetown University resources will be treated as an abuse of computing privileges at the University. When appropriate, temporary restrictive actions will be taken by system or network administrators pending further disciplinary action; the loss of computing privileges may result.

The University and users recognize that all members of the University community are bound by federal and local laws relating to civil rights, harassment, copyright, security and other statutes relating to electronic media. It should be understood that this policy does not preclude enforcement under the laws and regulations of the United States of America or the District of Columbia.

Harassment Policy

Contents

POLICY STATEMENT ON HARASSMENT

It is the policy of Georgetown University to prohibit harassment on the basis of age, color, disability, family responsibilities, gender identity and expression, genetic information, marital status, national origin, personal appearance, political affiliation, pregnancy, race, religion, sex, sexual orientation, source of income, veteran’s status or other factor prohibited by federal and/or District of Columbia law.

This policy on Harassment will be widely disseminated to members of the University community, and will be consistently enforced. The policy will be reexamined, updated as appropriate, and distributed regularly to all students, faculty, and staff. All employees are responsible for completing training provided by the University to prevent harassment and promote a respectful community.

1. Sexual Harassment

For the purposes of this policy, sexual harassment is defined as any unwelcome sexual advance, request for sexual favors or other verbal or physical conduct of a sexual nature when:

1. Submission to such conduct is made explicitly or implicitly a term or condition of an individual's employment or academic advancement; or
2. Submission to or rejection of such conduct is used as a basis for making an employment or academic decision affecting an individual; or
3. Such conduct has the purpose or effect of interfering with an individual's work or educational performance, or of creating an intimidating, hostile, or offensive environment for work or learning.

Sexual harassment may occur between persons of the same or opposite gender.

Sexual harassment subverts the University's mission, diminishes the dignity of both perpetrator and victim, and threatens permanent damage to the careers, educational experience, and well-being of our students, faculty and staff.

Sexual harassment is especially serious when it occurs between teachers and students or supervisors and subordinates. In such situations, sexual harassment unfairly exploits the power inherent in a faculty member's or supervisor's position. Although sexual harassment often occurs when one person takes advantage of a position of authority over another, the University recognizes that sexual harassment may also occur between people of equivalent status. This includes peer sexual harassment. Regardless of the form it may take, the University will not tolerate conduct of a sexual nature that creates an unacceptable working or educational environment.

2. HARASSMENT OTHER THAN SEXUAL HARASSMENT

Harassment, other than sexual harassment, is verbal or physical conduct that denigrates or shows hostility or aversion to an individual because of age, color, disability, family responsibilities, gender identity and expression, genetic information, marital status, national origin, personal appearance, political affiliation, pregnancy, race, religion, sex, sexual orientation, source of income, veteran’s status or any basis prohibited by federal and/or District of Columbia law, when such conduct has the purpose or effect of: unreasonably interfering with an individual’s academic or work performance; creating an intimidating, hostile, or offensive educational or work environment; or otherwise adversely affecting an individual’s academic or employment opportunities.

Harassment may include, but is not limited to: verbal abuse or ridicule, including slurs, epithets, and stereotyping; offensive jokes and comments; threatening, intimidating, or hostile acts, and displaying or distributing offensive materials, writings, graffiti, or pictures.

3. NATIONAL ORIGIN AND ACCENT HARASSMENT

The Equal Employment Opportunity Commission (EEOC) has taken the position that harassment of employees on the basis of their national origin or their accent or manner of speaking is a violation of Title VII of the Civil Rights Act of 1964 as amended. Under EEOC guidelines, ethnic slurs and other verbal or physical conduct relating to an employee’s national origin, surname, skin color or accent would constitute unlawful harassment when such conduct:

• has the purpose or effect of creating an intimidating, hostile or offensive working environment;
• has the purpose or effect of unreasonably interfering with the employee’s work performance; or
• has the purpose or effect of adversely affecting his or her employment opportunities.

Procedure for Complaints

Any member of the University community who believes that conduct that violates this policy has occurred, or who has questions concerning this policy, is encouraged to contact the Office of Institutional Diversity, Equity and Affirmative Action immediately. This Office is staffed with trained counselors, and administers both a confidential mediation process and a confidential grievance procedure. A full description of the Grievance Procedures may be obtained from the Office of Institutional Diversity, Equity and Affirmative Action.

In addition, the University recognizes that supervisors bear a particularly important responsibility to deter harassment. Supervisors who learn of conduct that may violate this policy should immediately contact the Office of Institutional Diversity, Equity and Affirmative Action, and, as appropriate, inform their own supervisors.

In accordance with the guidelines of the EEOC, all complaints will be investigated impartially, and appropriate corrective action will be taken, including discipline for inappropriate conduct. Complaints will be handled confidentially, except as necessary for investigation and resolution.

This policy prohibits retaliation, harassment, or other adverse action against an individual for making a complaint, assisting in an investigation, opposing harassment or otherwise exercising rights protected by law. It further prohibits taking any adverse academic or employment related action against an individual based on an unsubstantiated allegation or rumor of harassment.

Policy on Consensual Sexual Relationships Between Senior and Junior Members of the University Community

Contents

A. INTRODUCTION

There are various approaches an institution could take to address the issue of consensual sexual relationships between a "senior" and a "junior" person. (See definitions below.) One extreme is to ban all such relationships. The other is to pretend such relationships do not exist. The University has taken a middle ground in this policy. [33]

The policy not only points out the potential legal and ethical pitfalls of consensual sex in the University setting, but also, and more specifically in the section called "Standards and Procedures," asserts the University's right to protect the integrity of its own operations from the conflicts of interest and disruptions in the academic and employment environments that can arise from consensual sexual activity involving members of the University community.

B. THE NATURE OF THE PROBLEM

Consensual sexual relationships between "senior" and "junior" members of the Georgetown community--that is, between two persons where one party (the "senior") possesses direct academic, administrative counseling, or extracurricular authority over the other (the "junior")--do not violate laws prohibiting sex-based discrimination. [34] Nevertheless, such relationships are a matter of significant concern to the University because of the ethical and administrative problems they can pose. Those problems are most severe when a consensual relationship takes place between a teacher (e.g., professor, teaching assistant, clinical fellow) and a student and the student is enrolled in one of the teacher's courses for which the student will receive a grade, or when the student is likely to be enrolled in such a course in the future. These problems can also be very severe in a counseling setting between counselors and counselees. Given the potential for such problems, the University strongly recommends that members of the University community avoid any senior-junior consensual sexual relationships. This recommendation has particular force with regard to undergraduate students. At Georgetown University, virtually all undergraduate students are between the ages of eighteen and twenty-two, and many are living away from home for the first time. Because of the unique susceptibility of these young men and women, teaching professionals are under a special obligation to preserve the integrity of the teacher-student relationship in situations involving undergraduate students. If members of the community choose by mutual consent to enter into such relationships, however, the University requires that they take specific steps to minimize the problems that may arise from them. Sanctions shall be commensurate with the magnitude of the harm, if any, caused.

THE PROBLEMS

There are many ways problems can arise when a senior member of the Georgetown community engages in a consensual sexual relationship with a junior member. First, when one person has the ability to grade, advance, promote, recommend, or otherwise influence the employment or academic status of the other, there is the possibility that what appears to be a consensual relationship is falsely perceived to be so. Some recipients of sexual advances may fear that refusal will result in loss of an employment or academic benefit. They may go along with the requested relationship even though it is in fact unwelcome to them (and may even cause them psychological harm). The United States Supreme Court has ruled that such a person is a victim of illegal sexual harassment, and that a school can be liable for monetary damages for a teacher's coercive intercourse with a student. [35] Apart from a policy of avoiding legal liability for such conduct, the University wants to ensure that it provides an environment free from sexual coercion and intimidation in which to study and work.

The person in the position of authority who may desire a sexual relationship with a junior nevertheless has strong reasons to avoid it, since what seems initially to be consensual may turn out to be unwelcome or coercive from the perspective of the junior participants The junior participant may file an internal grievance or a formal lawsuit, creating a risk that the person in authority will suffer negative career consequences and may have to pay damages to the victim. Because of the serious consequences to the senior participant, that person also subjects himself or herself to the possibility of coercion or blackmail.

Even when such a relationship is genuinely consensual (and therefore does not constitute sexual harassment or raise the other concerns noted above), the relationship can cause problems for both parties and harm the academic and work environment at the University. There is the appearance and often the reality of a conflict of interest on the part of both parties to the relationship. Others may believe that the senior favors the junior because of the sexual relationship, thus creating an atmosphere of suspicion and resentment among other juniors who think the junior in the relationship is obtaining undeserved benefits. The junior person's professional reputation or academic standing may be injured because of the perception that the benefits were due to the sexual relationship, rather than to the junior's own work or study.

There is also a serious risk that either party may exploit the other. The senior person may be interested in the junior solely for purposes of sexual gratification, but the junior may construe that attention as related to the junior's intellect, as revealed through his or her studies or work. If the junior participates in a sexual relationship and then discovers the true situation, there is a potential for a damaging loss of self-esteem by the junior (especially where the two are teacher and young student and there is a significant age disparity between them). There is also the risk of the junior exploiting the senior. For example, a junior might seek out a relationship solely because of a desire to obtain some academic or employment benefit from the relationship (such as a higher grade or a promotion). [36]

C. STANDARDS AND PROCEDURES

For the reasons expressed in the previous section of this Policy, the University strongly urges members of the University community to refrain from engaging in consensual sexual relationships with another member of the University community when one person possesses direct authority over the other, whether that authority is used by one who is a teacher, counselor or supervisor of the other or by someone who can directly influence the academic or work status of the other (e.g., a senior professor serving as a member of the tenure committee for a junior professor, a professor serving as the thesis advisor for a graduate student, a senior student on the editorial board of a newspaper or journal voting whether a junior student should attain the same status, a supervisor filling out a performance evaluation for his or her subordinate.

If the two nevertheless commence such a relationship, the University requires that they take the following measures, in order to lessen or minimize the conflict of interest and disruption of the academic and employment environment that can arise in such situations. The University emphasizes that the following measures cannot eliminate entirely the substantial likelihood of conflict and disruption, and that the course of action strongly preferred by the University would be for the two to refrain from engaging in consensual sexual relations for as long as necessary to prevent conflict and disruption.

1. RELATIONSHIPS BETWEEN TEACHERS AND STUDENTS

The University has determined that there is an inherent conflict of interest when a faculty member and a student simultaneously maintain both a direct student-teacher relationship and a consensual sexual relationship, and therefore prohibits simultaneous participation in both roles. Thus, if one party to a consensual sexual relationship is a student of the other person in a course for which the student will receive a grade, the student should immediately withdraw from the course and should never again take a course with that teacher. In such case it is the duty of the teacher to take all steps, including if necessary consultation with the appropriate Dean, to assure that the student's enrollment in the course is promptly terminated. If the student is not currently enrolled in any of the teacher's courses when the relationship begins, the student should refrain from taking any future course with the teacher. The policy of not taking courses with the teacher should continue even after the relationship has ceased.

2. COUNSELORS AND COUNSELEES

Because of the potential for emotional harm, individuals should not engage in both a consensual sexual relationship and an official counselor/counselee relationship. If a consensual sexual relationship commences during an official relationship, the official relationship should immediately be terminated and never be started again. Similarly, individuals in, or who have been in a consensual sexual relationship should thereafter never enter into an official counseling relationship.

3. ALL OTHER SENIOR-JUNIOR RELATIONSHIPS

In any other situation where a senior has direct authority over a junior, and can thus advance, promote, recommend, or in any other way directly influence the academic or work status of the junior, the senior person should recuse himself or herself from any decision involving the status of the junior. [35] If the fact of refusal causes the senior to experience difficulty with a superior, the senior should explain the reason for the refusal to the person in authority. The senior's obligation to explain also exists where an unexplained failure to participate might create an inference of a negative evaluation of the junior by the senior.

D. SANCTIONS FOR VIOLATIONS OF THIS POLICY; REVIEW; OTHER LIMITATIONS

1. Any teaching professional who violates the procedures in Part III of this Policy, or any other individual engaged in a consensual sexual relationship who violates any of the procedures in Part III of this Policy, shall be subject to sanctions commensurate with the severity of the offense. The sanction shall be determined in the case of a teaching professional, by the appropriate Dean or Executive Vice President, after consultation with the chair, if any, of the teaching professional's department; and in the case of other individuals covered by this section, by the appropriate director or other supervisory official, including the Senior Vice President for Georgetown University. But in the case of a student violating these procedures sanctions shall be determined by the appropriate Dean on that student's campus.
2. The imposition of any sanction imposed under this Policy may be subject to review under any applicable provision of an established University grievance procedure.

Revised 5/8/98

H. Policy on Drug Free Workplace

Contents

A. POLICY

In accordance with the requirements of the Drug Free Workplace Act of 1988, Georgetown University, as a employer receiving Federal grants and contracts, is expressly required to maintain a drug free workplace environment. Therefore, it is the policy of Georgetown University that the entire working environment of the University shall be free of the unlawful manufacture, distribution, dispensation, possession and/or use of illegal and controlled drugs. It shall be a condition of continued employment that all employees must be drug free in the workplace, thus making it possible for Georgetown University, as an employer, to certify in good faith that it maintains a drug free work environment.

In order to enforce the requirements of the Drug Free Workplace Act of 1988, the University will periodically provide notification of this policy to all employees and, as appropriate, provide assistance or administer discipline to violators.

B. PROCEDURE

1. NOTIFICATION TO ALL EMPLOYEES

On an annual basis, Georgetown University will notify employees in writing that the University shall be free of the unlawful manufacture, distribution, dispensation, possession and/or use of illegal and controlled drugs, that the employees of the University must maintain a drug free environment as a condition of continued employment, and that violators shall be subject to disciplinary action pursuant to the appropriate Academic or Staff procedures.

2. DRUG AWARENESS PROGRAM

The University will provide annually a Drug Free Awareness Program and/or literature designed to educate employees about dangers of drug abuse.

The University's Employee Assistance Program will be available to provide "assessment and referral" for employees who seek this confidential service, or who are referred to this service by their supervisors.

3. NOTIFICATION TO THE EMPLOYER BY THE EMPLOYEE OF A DRUG STATUTE CONVICTION

An employee of the University who is convicted of a drug statute violation occurring in the workplace during his/her period of employment, is obligated to report such conviction to his/her department head not later than five (5) days after the conviction. Failure to satisfy this requirement of the policy will be considered grounds for termination.

4. EMPLOYER NOTIFICATION TO FEDERAL CONTRACTING AGENCY

When an employee who is employed to work directly on a government grant or contract is convicted of a drug statute violation occurring within the workplace, the department head must then immediately, through appropriate administrative channels, inform his/her executive vice president or vice president, in writing, of the conviction. The executive vice president or vice president will promptly report the conviction to the Office of Sponsored Programs and other affected offices. The Office of Sponsored Programs is required to report the incident to the federal government in accordance with applicable guidelines. The notification to the federal government must occur ten (10) days of receiving such notice from the employee or otherwise receiving actual notice of such conviction. A copy of this notification will be given to the employee.

5. DISCIPLINE RESULTING FROM VIOLATION OF DRUG STATUTE IDENTIFIED IN PARAGRAPH 3 ABOVE

1. When the University learns, either through the employee's report under Paragraph 3 or otherwise, that an employee has been convicted of the unlawful manufacture, distribution, dispensation, and/or possession with intent to distribute or dispense, of an illegal and controlled drug at the workplace, and if no direct appeal from the conviction is pending or any longer permitted, such employee will be terminated. If such direct appeal remains possible or is pending, such employee will be suspended without pay until such time as the appeal finally fails. If upon final appeal the conviction is reversed on the merits (i.e., not for procedural irregularity), the suspended employee will be reinstated unless the University determines to impose a sanction following an inquiry under procedures described in Paragraph 5.c below.
   1. When the University learns, either through the employee's report under Paragraph 3 or otherwise, that an employee has been convicted of the use of or possession with intent to use an illegal and controlled drug at the workplace, and if no direct appeal from the conviction is pending or any longer permitted, the University will take appropriate disciplinary action up to an including termination. Sanctions less than termination may require that the employee participate satisfactorily in an approved drug abuse assistance or rehabilitation program. If such direct appeal remains possible or pending, the University may take any appropriate steps short of termination, including suspending the employee without pay until such time as the appeal finally fails. If upon final appeal the conviction is reversed on the merits (i.e., not merely for procedural irregularity), the University will terminate any suspension or other disciplinary action.
   2. Where a conviction under this section has been reversed for procedural irregularity, the University remains free to make inquiry and take appropriate disciplinary action under procedures described below in Paragraph c. Where such an inquiry is into misconduct by faculty, the faculty member's campus executive vice president will establish an ad hoc committee to conduct the investigation and to make a recommendation to the appropriate University authority. Any sanction then imposed can be no more severe than that recommended by the ad hoc committee.
2. In any case under the foregoing paragraphs where the University determines to reinstate a suspended employee, the University shall give due consideration to the employee's request to be given back salary for the period during which the salary was suspended. Repeated offenses will substantially increase the likelihood that the employee will be terminated.
3. In cases of drug-related activity by an employee in the workplace which is not or not yet the subject of criminal conviction, the University procedures governing faculty and staff misconduct up to and including termination. In any such inquiry the employee shall be given notice of the inquiry, a statement of the reason(s) therefore, and an opportunity to respond.

6. REVIEW OF PROCEDURES FOLLOWED AND DECISIONS MADE UNDER PARAGRAPH 5 ABOVE.

If an employee feels that a personnel action that is taken in conjunction with the administration of this policy is inappropriate, the employee may pursue relief through the appropriate grievance procedure.

C. SUPERVISORY TRAINING PROGRAMS

The employer will periodically conduct programs for supervisors on the subject of drug usage and treatment.

Whistleblower Policy

Contents

Georgetown University strives to operate in an ethical, honest and lawful manner and expects its faculty, administrators, staff and students to conduct their activities in accordance with University policies and applicable law. The University strongly encourages all faculty, administrators, staff and students to report suspected or actual wrongful conduct by Georgetown employees through channels that the University establishes for such reporting. No University faculty, administrator, staff or student may interfere with the good faith reporting of suspected or actual wrongful conduct; no individual who makes such a good faith report shall be subject to retaliation, including harassment or any adverse employment, academic or educational consequence, as a result of making a report. The University will take whatever action is necessary and appropriate to address a violation of this policy.

For information about established channels for reporting wrongful conduct and/or compliance concerns, including anonymous reporting, please visit the website of the Office of Compliance and Ethics at: www.georgetown.edu/......

V. Benefits

Contents

Editor's Note

The information below regarding faculty benefits is original to the Faculty Handbook 1999.  The Full section, which still serves pending revision as the most recent Board-approved policy, is available in the archives section of this website.  As that section envisioned, benefits policies and offerings described in it may have been changed and modified since 1999.  For the most up-to-date information regarding the University's current offerings in the following areas, visit the website of the Office of Faculty and Staff Benefits: life insurance; long-term disability; U.S. Savings Bonds; health, dental, and vision plans; and COBRA among others. 

Below is information regarding family care and medical leaves, short-term disability, FMLA, and tuition benefits.  Family Care policy, the disability leave policy, and the tuition benefits policy.

OVERVIEW

There are many things faculty members need to know about the University and the benefits available specifically to meet your needs and enhance your work experience at Georgetown University. The Faculty and Staff Benefits Office is dedicated to helping you understand and optimize your benefits. Once you have reviewed this summary, please feel free to call that office at 202-687-3643 with any questions. Details about the costs to the faculty member of specific benefits are available from the Benefits Office.

This summary contains information about paid leave and the benefits currently available to Georgetown University Faculty. The statements made in this summary are accurate but by no means complete in detail. If a conflict arises between this summary and the various plan documents, the master policy or plan document will take precedence.

ELIGIBILITY

You are eligible for the benefits described in this summary, except for the Tuition Assistance Program, if you are a faculty member hired to work at least 75% time. Faculty scheduled to work 90% are eligible for tuition benefits. Part-time faculty and those appointed to full-time positions on a temporary basis (for a period of less than 4 months) including summer appointments are not eligible unless the plan is required by law.

 

FAMILY CARE LEAVE

Family Care Leave is a Georgetown University policy that can be used for child care during the first year after the birth, adoption, or foster placement of a child. In the case of a woman giving birth, she first receives paid Disability Leave during the post-partum recovery period, and then she can start Family Care Leave. Family Care Leave can also be used for the serious illness of children, spouses or parents.

Because some faculty members may have close relationships with persons who do not fall exactly within the categories outlined above, but the relationships are very similar in nature to the defined ones, faculty may petition to be granted the Family Care Leave for closely similar circumstances (e.g., the serious illness of an aunt who has been a faculty member's de facto mother). There is no entitlement to such leave, however, and the decision in such cases is left to the discretion of the relevant Executive Vice President.

HOW FAMILY CARE LEAVE WORKS

Under the Family Care Leave policy, you may take up to four months of leave without pay or you may work half-time for up to four months at half pay and be fully reinstated to your position upon your return. Also, if the family care required is periodic in nature, such as for recurring chemotherapy treatments, periodic Family Care Leave may be scheduled.

Health and other insurance benefits may be continued throughout the leave if you pay the employee portion of the premiums.

In certain cases, you may be able to take up to one year of Family Care Leave, but your department head or dean must approve the extended leave. The request for extension may be denied if, in the opinion of your department head or dean, your extended absence would seriously diminish your department's functioning. You may appeal such a denial to the appropriate Executive Vice President.

If you have used less than your four months of Family Care Leave, and a new situation arises requiring use of Family Care Leave, you may ask to use your remaining entitlement. This request may be denied if your absence would seriously diminish your department's functioning. You may appeal such a denial to the appropriate Executive Vice President.

LEAVE OPTIONS FOR TENURE TRACK UNTENURED FACULTY

Tenure track untenured faculty may have any Family Care Leave of a semester or more excluded from the time counted for the tenure probation period. (A semester's leave means that the entire academic year in which that semester occurred will not be counted toward tenure.)

If you are a tenure track untenured faculty member who is in a position to take Family Care Leave but cannot afford the loss of salary, you may apply to extend the 7 year tenure probation period to 8 years.

This will allow you to teach full-time at full salary, fulfill all responsibilities regarding the supervision of students (including the supervision of graduate student research where applicable), and continue committee work, but to reduce your publishing workload for one year.

You must apply for extension of your tenure probation period at the time of your family care circumstance, and not at the time of seeking tenure. The one year probation extension may not be secured retroactively at the time of tenure consideration.

The process of securing a one year extension shall be for the faculty member to submit a statement detailing his or her reason for requesting the extension. The request shall be given to the appropriate Executive Vice President via the Chairman of the Department. The request may be denied only for lack of substantiation of the circumstances.

APPLYING FOR FAMILY CARE LEAVE

You should apply for Family Care Leave as soon as you can before starting the leave. Your application must state when the Family Care Leave will start, your best estimate of how long it will last (if possible), and the reason you are seeking leave. If possible, you should schedule your leave to avoid disruption of courses. Documentation to support your request must accompany your application.

You will be granted leave unless your department head or dean receives permission from a committee composed of the 3 Executive Vice Presidents to deny it. If your department head seeks permission to deny your Family Care Leave, you will get a copy of this request. You have the right to provide the Executive Vice Presidents with a written statement of the hardship to you and your family which would be caused by a denial. You may also suggest ways to alleviate your department's hardship or state why you believe that granting the leave would not cause severe hardship to the department.

For more information on Family and Medical Leave and how to apply for it, contact your Human Resources Department.

FEDERAL AND DISTRICT OF COLUMBIA FAMILY AND MEDICAL LEAVE

Faculty members are also eligible for Federal and District of Columbia Family and Medical Leave after completing one year of employment without a break in service except for holidays or other paid leave, and you have worked at least 1000 hours during the 12 months preceding the request for family or medical leave or at least 50% status, whichever is less. In no case are you entitled to both Federal and District of Columbia Family and Medical Leave and Family Care Leave.

Federal Family and Medical Leave Law provides eligible employees entitlement of a total of 12 weeks of family and medical leave combined during any 12 month period.

District of Columbia Family and Medical Leave Law provides eligible employees entitlement of a total of 16 work weeks of family leave and 16 work weeks of medical leave during any 24 month period.

Federal and District of Columbia Family and medical Leave run concurrently and cannot be used consecutively if leave is covered under both laws.

Federal Family and Medical leave can be used for the following:

• The birth of your child and to care for the child (Entitlement expires 12 months after birth.)
• The placement of a child with you for adoption or foster care. (Entitlement expires 12 months after placement.)
• To care for your spouse, son, daughter, or parent, if the family member has a serious health condition.
• If you are unable to perform the functions of your position because of your own serious health condition.

District of Columbia Family Leave can be used for the following:

• The birth of your child and to care for the child. (Entitlement expires 12 months after birth.)
• The placement of a child with you for adoption or foster care. (Entitlement expires 12 months after placement.)
• The placement of a child for whom you permanently assume and discharge parental responsibility. (Entitlement expires 12 months after placement.)
• Serious health condition of a person related by blood, legal custody or marriage.
• Serious health condition of person or persons with whom you share or have shared within the last year a mutual residence and with whom you maintain a committed relationship.

District of Columbia Medical Leave can be used if you are unable to perform the functions of your position because of your own serious health conditions.

Federal and District of Columbia Family and Medical Leave Law is unpaid except for periods of time that an employee is eligible for paid disability benefits.

The leave period begins on the first work day of an employee's first qualifying leave within the past 12 or 24 month period, as applicable.

 

ABOUT DISABILITY BENEFITS

When you are ill or injured, Georgetown's goal is to help you return to work as soon as you are able. If you are disabled, you need to focus your energy on getting well and getting back to work. Georgetown's disability benefits can provide you with replacement income during your illness.

Three options are available: Worker's Compensation, Disability Leave and Long Term Disability.

WORKERS' COMPENSATION

The University has Workers' Compensation insurance for all employees for their protection while performing their assigned duties. Workers' Compensation pays medical bills incurred as a result of a work related illness or injury and replaces lost income in the event of lost time. Work related illnesses or injuries must be reported promptly to the Employee Health Service, ground floor, Hospital, telephone 202-784-3680. In the event of a serious injury, the employee should be taken to Georgetown University Hospital emergency room or to the nearest hospital.

The University takes all practical steps to eliminate or reduce the exposure of employees to accidental injury or to conditions that are injurious to health. You should cooperate by observing established safety regulations and working safely. You should bring allegedly unsafe or unhealthy conditions to the attention of your supervisor or department head and may suggest a resolution to these conditions. Such suggestions should be sent to the Safety and Environmental Management Office, One New South, 202-687-7641.

DISABILITY LEAVE

Your salary can continue for up to three months when you are disabled. Disability Leave benefits begin on the first day you are absent from work due to a medical condition rendering you unable to work, such as illness, recovery from injury, childbirth or medical procedures. Disability Leave benefits do not apply to work-related illness or injury, which is covered under Workers' Compensation. Disability Leave benefits can continue until you are no longer medically disabled, until you reach the recovery limit for your medical condition, or until you have been medically disabled for three months, whichever comes first.

Applying for Disability Leave Benefits

Law Center:

Applications for and notifications of Disability Leave benefits are made through and by the Law Center Personnel & Payroll Officer.

Main Campus:

Applications for and notifications of Disability Leave benefits are made through and by the Office of the Provost.

Medical Center:

Applications for and notifications of Disability Leave benefits are made through and by Medical Center Human Resources.

LEAVE OF ABSENCE

If you go on an approved Leave of Absence, through LTD, Worker's Compensation, or Family Care Leave, you are eligible to continue your benefits while on leave. Contact the Faculty and Staff Benefits Office for your rates.

TERMINATION OR INELIGIBILITY

If you terminate employment or transfer to an ineligible group, you may continue participation in the life, dependent life, LTD, health and dental plans through the end of the month in which you terminate employment or change to an ineligible status.

PLAN CHANGES/MODIFICATIONS 

 Georgetown University intends to continue its benefit program indefinitely, but reserves the right to modify, suspend or terminate the program, or any part of it, at any time.

TUITION SCHOLARSHIPS

Tuition benefits for study at Georgetown University and other institutions are available for full-time faculty members and academic personnel, and their dependent children, who meet eligibility requirements based on years of continuous full-time employment.

Benefits for Courses Taken in Degree Programs at Georgetown University

• The benefit is awarded for pursuit of regular degree programs at the University. Documentation indicating acceptance in the degree program must be submitted with the application for benefits.
• Failure to comply with academic regulations of the University is sufficient cause for the termination of the benefit.
• In no case will the benefits exceed eight semesters.
• Benefits are for tuition only. All other fees must be paid in the semester in which they are incurred.
• After the 3 year waiting period, faculty members and academic staff will be eligible for tuition benefits for themselves and their dependent children equal to 33% of Georgetown's tuition; after 5 years, the benefit increases to 67% of Georgetown's tuition. The tuition benefit for dependent children is only available to those individuals enrolled in an undergraduate degree program. [38]

Within the conditions listed above, the following benefits are available:

1. For Faculty Members and Other Academic Personnel:

   Tuition benefits for courses toward a degree in all schools of the University. Faculty may use tuition benefits only to pursue a graduate degree. Benefits may not exceed eight semesters.

2. For Children of a Retired or Deceased Faculty Member:

   For children of a retired or deceased faculty member who, at the time of retirement or death, had been a full-time faculty member of more than ten years active service, including sabbatical leaves but not other leaves of absence, the same tuition benefits arrangement will apply.

   For children of a retired or deceased faculty member who, at the time of retirement or death, had been a full-time faculty member of more than three years but less than ten years active service, provided the child has already begun and is enrolled in a degree program, the same tuition benefits will apply.

Notes:

• These benefits may be applied to Georgetown University study abroad programs.
• Unofficial Audits: Full-time faculty members and academic personnel may audit courses unofficially with the permission of the instructor on a space available basis; no other permission is required; no credit certificate is issued and no official record of the audit is kept.

Faculty and academic personnel should call the Faculty and Staff Benefits Office for more information about eligibility for benefits for summer course work or for dependents over 30 years of age.

Benefits for Courses Taken in Degree Programs Outside Georgetown University

Academic personnel:

Full-time faculty and academic staff are eligible for tuition benefits for their own use outside of Georgetown University. Georgetown will award limited benefits, with a lifetime maximum cap on benefits. These benefits are available to academic personnel accepted into an undergraduate or graduate degree program, and to faculty accepted into a graduate degree program.

After the three year waiting period, dependent children of full-time faculty members and academic staff are eligible to receive up to 16.5% of Georgetown's undergraduate tuition for an undergraduate degree at another university. After five years, up to 33% of Georgetown's undergraduate tuition will be available.

For full-time faculty and academic staff hired prior to 1996, this benefit is 30% of Georgetown's undergraduate tuition for an undergraduate degree at another university in AY 1999-2000, and 33% thereafter.

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VI. Campus Policies

EDITOR'S NOTE

For your convenience, below are links to various campus policies that also define faculty rights and responsibilities.

Law Center

Main Campus (Office of the Provost)

New Parent (Primary Caregiver) Leave Option for Ordinary Faculty

Statement of Leave and Teaching Reduction Policy for the Main Campus

Medical Center

 

VII. Archives

Faculty Handbook (1999)

Endnotes

1. The Provost is the Executive Vice President on the Main Campus.

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2. The President’s Cabinet currently includes the Executive Committee of the Cabinet (see IID), the University Chaplain, the Vice President for Planning and Institutional Research, the University Counsel, the Vice President for Alumni and University Relations, the Vice President for Information Services, and the Medical Center Dean of Research and Graduate Education.

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3. The Executive Committee of the Cabinet currently includes the Senior Vice President, the Provost, the Executive Vice President and Chief Academic and Administrative Officer for Law Center Affairs, the Vice President and Treasurer, the Senior Vice President and Secretary of the University, the Vice President for Communications and Public Affairs, and the Executive Vice President for Health Sciences and Executive Dean of the Medical School.

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4. The Vice President for Information Services reports to the Senior Vice President, and works closely with the Provost and the Executive Vice President for Health Sciences.

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5. The School of Nursing operates as an organizational component of the Medical Center but in its undergraduate and graduate programs maintains special links to the office of the Provost. The Dean of the School of Nursing meets with the Council of Deans.

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6. The Graduate School of Arts and Sciences, and the School for Summer and Continuing Education also oversee programs in the Medical Center.

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7. The School of Nursing operates as an organizational component of the Medical Center but with unique links to the office of the Provost in its undergraduate and graduate programs.

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8. The 10-day rule may be waived on a showing of good cause.

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9. For the purpose of this section of the Handbook, the term “faculty” includes all faculty members, whether tenure eligible or not, and whether full-time or part-time. Both "officer of instruction" and "faculty" include investigators without teaching duties as well as teachers. The term “faculty” is not intended to substitute for nor be synonymous with the definitions used in other documents, including those of associations or accrediting agencies which define rights, responsibilities, power, and authority.

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10. The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and faculty member before the appointment is consummated.

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11. Termination of a continuous appointment because of financial exigency should be demonstrably bona fide.

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12. This clause restricting tenure to Associate Professors and Professors does not apply to faculty who were granted tenure prior to Feburary 14th 2008.

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13. Footnotes to be updated.

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14. If a person not expressly covered by this Code or any other University grievance code is aggrieved in circumstances where considerations of academic freedom indicate the Code should nonetheless apply, the appropriate Campus Executive Vice President is authorized, at his/her discretion, to extend the coverage of the Code at that person’s request.

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15. Grievants wishing to file under this Code and the Affirmative Action Plan must exhaust the University Affirmative Action Code procedures before procedures under this Code will be initiated with regard to the nondiscrimination aspects of the grievant’s case. If grievant files under the Affirmative Action Code after proceedings under this Code have commenced, the proceeding under this Code may be immediately suspended, in the discretion of the Grievance Code Chairperson. To assure that this order of treatment of grievances is followed, the Grievance Code Chairperson shall notify the Director of the Affirmative Action Office of the identity of any grievant once conciliation has failed.

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16. As used throughout the text of the Code, the word “day” refers to working days, Monday through Friday, excluding Federal holidays.

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17. Where negotiations between the grievant and the relevant administrative department are pendng or other circumstances suggest that formal initiation of the grievance procedure would best be deferred in the interest of all concerned, the grievant, at the discretion of the President of the Senate (or another Senate officer in the President’s absence), can satisfy this filing requirement if within 30 days he or she files a letter with such person indicating an intent to file a formal grievance. The President of the Senate will notify the grievant if the request to defer filing has been granted. If the dispute is not resolved within 25 days of the President’s approval of a deferral, the President of the Faculty Senate shall notify the grievant and require him or her promptly to submit the formal “Notice of Grievance” described in this section, unless a further extension is agreed to in writing by both the grievant and the relevant administrator. However, where the potential grievant has within the 30 day period notified the Senate President that the grievant is first pursuing an affirmative action complaint (see f.n.2 supra) the grievant is not required to file his grievance under this Code until the university phase of the affirmative action proceeding is terminated. Such notice shall contain a brief statement of the grounds upon which the grievance will later be filed. Absent exceptional circumstances, as determined by the Senate President, no grievance under this Code may be filed in such a case unless filed within 14 calendar days of the termination internally of the University’s affirmative action proceeding.

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18. Advisors for the parties are not permitted to have any contact with a conciliator during the conciliation process. Neither are they permitted to participate in the Initial Review by a panel (See Sec.F.(3)&(4)) except by written submission. During hearings on the merits of the grievance, advisors may be present but are limited to off-record consultation with his/her party/advisee, and may make a closing summary of argument within reasonable time limits set by the Panel Chair. The foregoing rules do not replace those in effect in proceedings in progress when this Code is adopted.

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19. For purposes of these procedures, if the Executive Vice President or Senior Vice President is a party to the matter, the President will be informed of the results and take the required actions.

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20. The members of the Equal Opportunity Examining Board are selected by IDEAA and include a diverse cross section of University employees. The Faculty Senate will also appoint at least two members to this Board.

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21. For example, federal regulations governing research funded by or proposed for funding by the U.S. Public Health Service (42 C.F.R. part 50, subpart F (applicable to grants and cooperative agreements); 45 C.F.R. part 94 (applicable to contracts)) and the National Science Foundation’s (“NSF’s”) conflict-of-interest policy covering research and educational activities funded by or proposed for funding by NSF Award Administration Guide (January 2008)).

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22. From this point forward terms that are defined in Appendix A are shown in uppercase letters.

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23. See Section C for a full description of the disclosure requirements.

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24. Subject to access under relevant government regulations.

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25. Coverage does not extend to Georgetown University students engaged in research. Such students are subject to procedures regarding misconduct declared in the relevant University Bulletins.

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26. In NIH-reviewable matters, the University will immediately report to NIH, at any stage of the proceeding, if the University obtains information reasonably indicating criminal activity.

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27. Where the allegations are subject to NIH review, either decision must be in writing, must state what evidence was reviewed, and must summarize relevant interviews and testimony. The respondent must be given a copy of the decision, and allowed to comment in writing. Any such comments are to be included in the record of the subcommittee’s work.

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28. The University will comply with all federal requirements regarding reporting, timetables and any extensions thereof, and other matters affecting the treatment of alleged misconduct in scientific research, as such requirements are published in the National Institutes of Health Guide for Grants and Contracts (see 42 CFR part 50, Subpart A) and elsewhere. (This Codes references to such requirements are not exhaustive).

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29. In NIH-reviewable matters, under the NIH guideline, the investigation "normally will include examination of all documentation relevant to the allegations, including but not necessarily limited to relevant reserach data and proposals, publications, correspondence, and memoranda of telephone calls. Whenever possible interviews should be conducted of all individuals involved either in making the allegation or against whom the allegation is made, as well as other individuals who may have information regarding key aspects of the allegations."

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30. In NIH-reviewable matters, the Committee shall produce written summaries of statements made by all persons interviewed, shall provide such summaries to the person interviewed for that persons comment or revision, and shall include the summaries in the Committee file. The Committee may choose to implement this requirement by having interviews (including testimony at hearings) recorded verbatim, on a case by case basis, as prudence may suggest.

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31. In NIH-reviewable matters, the respondent and complainant have the right to comment on these findings. Any such comments are to be included in the Committee file.

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32. Subject to NIH access under the relevant federal regulations.

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33. This policy does not apply to married couples. The policy on nepotism offers clarification on this point. This policy does not replace The Benefit of this Establishment: A Student Code of Conduct.

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34. “Consensual” means a sexual relationship between two people who both genuinely desire the relationship and neither of whom is coerced into having the relationship. The term “consensual” is used throughout this document to mean such a relationship. “Extracurricular” refers to participation in extracurricular student activities such as a student newspaper or law review. A “senior” student is sometimes in a position to influence whether a “junior” student will gain some desired position within the organization.

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35. Meritor Savings Bank v.Vinson 477 U.S. 57 (1986); Franklin v. Gwinnett County Public Schools, 503 U.S.60 (1992) (unlimited damages). Title VII of the Civil Rights Act of 1964, as amended by the Civil Rights Act of 1991, now provides for monetary damages for victims of sexual harassment in federal employment discrimination suits as well. 42 U.S.C.§§ 198la(a),(b)(3) (maximum damages of $300,000 for employers of more than 500 employees). See also Harris v.Forklift Systems, 510 U.S.17 (1993).

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36. A number of problems analogous to those described in this section affect consensual sexual relationships among members of the University community of relatively equal status, but these rules do not apply to this behavior, which may become subject to disciplinary action for other reasons.

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37. For example, a senior faculty member who has had a relationship with a junior faculty member should not participate in the deliberations of a tenure committee concerning the junior, or on an academic personnel committee deciding such issues as salary increases for the junior. Similarly, a teacher should not provide a letter of recommendation for a student with whom the teacher has had a relationship even if the relationship began after the course was completed (and thus did not violate the University policy on teacher-student relationships.) Another example is that a senior student on a student publication editorial board should not vote on whether a junior student which whom the senior has had a relationship should be promoted to the editorial board.

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38. Different rules apply to Medical Center Employees.

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39. This applies to employees hired after December 31,1995. For employees hired prior to 1996, the benefit for use at Georgetown is 100% of Georgetown's tuition and is available in undergraduate and graduate degree programs in all schools except that faculty may use tuition benefits only to pursue a graduate degree.

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