III. The Faculty

J. Professional Activities

Within the limit of its resources Colgate University attempts to assist faculty members in their professional development as teachers and as scholars. Some of the more important mechanisms by which the University provides such assistance are outlined below.

1. Grant Support The Office of Corporate, Foundation and Government Relations is part of the Division of University Relations and provides the primary contact for faculty with external funding sources. The office will assist faculty members in identifying potential sources of support for research and in completing applications. The Office of Corporate, Foundation and Government Relations also maintains a reference library of grant sources for both individual and institutional projects which faculty members are invited to use. For additional information about this office, including the procedure for submission of all grant applications to corporations, foundations, or state or federal government agencies, see Section V.A below.

2. Council for Faculty Development The following description of the purposes of the Council for Faculty Development is taken from its memorandum of February 2, 1976, to the Faculty:

Our main interest will be the improvement of teaching and academic advising. Curriculum improvement will also be our aim if the development represents a new departure for a faculty member and promise to increase the scope of his or her teaching in significant ways. We will not be directly concerned with research as such, since that is the special interest of the Research Council.

The Council for Faculty Development has two specific functions. First, to encourage discussion of how teaching and academic advising can be improved at Colgate. Second, to fund worthy projects for the improvement of teaching and advising . . . .

The Council for Faculty Development sponsors individual projects as well as programs for curricular innovation and improvement which affect a sizable number of faculty and students at Colgate. Proposals generally fall into one or more of the following categories: improvement and expansion of teaching skills; attendance at conferences or workshops outside the faculty member's area of expertise; experiential travel related to course development; development of workshops and conferences at Colgate; and development of ideas about student academic advising.

The Council has also initiated programs to engage Colgate faculty in discussions of general intellectual, curricular and pedagogical issues that extend across departments and divisional lines. These programs can take the form of panel discussions among faculty members, informal seminars and discussion, and two or three day short courses.

Large grant proposals are considered by the Council twice a year, while smaller discretionary grants are made by the Council Chair. Questions concerning the Council for Faculty Development should be directed to its chair or to any of its members.

3. Humanities Division Faculty Development Fund The Division of Humanities has available a limited fund for members of the Humanities faculty for projects involving substantial research and professional self-development not funded by the Research Council. Support is also granted for invited participation in professional conferences and symposia not eligible for funding by the Dean of the Faculty's Office, and library privilege fees and the acquisition of special materials. Modest subsidies for support of publication or creative production may also be requested. Recommendation for support from the applicant's chair should accompany every request.

Each proposal for assistance will be considered on its own merits; larger awards must include copies of proposals sent to other funding agencies and will be reviewed in consultation with senior members of the Division. No applicant will ordinarily be considered whose project or proposal has already received support from the Colgate Research Council or from the Council for Faculty Development.

Questions and applications should be directed to the Director of the Division of the Humanities.

4. Research Council The Research Council is a faculty committee appointed by the Dean of the Faculty to establish policies for and disburse that part of Colgate's budget which is allocated to the support of faculty research. Members of the Council are chosen from each division to present a balanced representation of divisional and departmental interests. Questions should be directed to the Chair or to members of the Research Council.

a. Definition and scope of activities "Research" is understood by the Council to mean scholarly endeavor that has its objective the publication of the results of that effort. In the case of visual and performing arts projects, the work is expected to be displayed through public presentation. Activities aimed directly at the improvement of teaching are not eligible for funding by the Research Council; requests for support of these activities should be directed to the Faculty Development Council (see Section III.J.2.).

Within its budgetary limits, the Council provides discretionary, student wage, and major grant funds to support research activities (e.g., research-related travel, limited purchase of equipment, research assistants) and the preparation and dissemination of final manuscripts (e.g., computer loans, typing and photographic work, publication charges, reprints). The Research Council Guidelines outline the activities and items that are and are not eligible for funding. In addition, the Research Council is involved in the decision-making process for Senior Faculty Leaves. (Faculty leaves are described in Section III.K.).

b. How and when to apply Guidelines for applying for discretionary grants, student wage grants, major grants, and Senior Faculty Leaves are distributed to all faculty members at the beginning of the academic year. Requests for discretionary funds (up to $800 per year) and for student wage (up to 200 hours per year) may be submitted to the Chair of the Research Council in the form of a letter at any time. Applications for major grants (usually up to $3,000), Picker Fellowships, and Senior Faculty Leaves should be submitted to the Chair of the Research Council in the manner outlined in the Guidelines by the announced deadline, which is generally early in January. Funding for major grants, Picker Fellowships, and Senior Faculty Leaves is limited and based on the merit of the submitted proposal.

5. Institutional Review Board To aid in compliance with the Department of Health and Human Services Code of Federal Regulations concerning Protection of Human Subjects, in 1980, the Office of the Dean of the Faculty created an appointed committee, the Institutional Review Board, to review all research involving human subjects conducted by faculty and by students for research projects in courses or independent study at Colgate. Faculty and students seeking to conduct research using human subjects must submit to the chair of the Board two copies of the project review form available from department offices, and should not proceed with the research until approval of the Board is received.

6. Animal Care and Use Committee Colgate seeks to meet the standards of the Public Health Service Policy on Humane Care and Use of Laboratory Animals. Since 1986, the Animal Care and Use Committee has been composed of several faculty members of the Division of Natural Sciences and Mathematics, the Associate Provost, a veterinarian in the private practice, and a member of the Hamilton community. Any member of the faculty intending to use living animals for teaching or research much contact the Chair to submit a plan for use of animals for review by the committee. Use of animals cannot proceed until the Director of the Division of Natural Sciences and Mathematics is notified in writing of the approval of the plan.

7. Scientific Misconduct The Health Research Extension Act of 1985 (P.L. 99-158) requires applicant organizations to establish a set of administrative procedures for investigating reports of scientific misconduct in biomedical and behavioral research occurring within the organization. The Public Health service defines "scientific fraud" as "(1) serious deviation, falsification, or plagiarism, from accepted practices in carrying out research or in reporting the results of research; or (2) material failure to comply with Federal requirements affecting specific aspects of the conduct of research, e.g., the protection of human subjects and the welfare of laboratory animals."

Accordingly, the following procedures were established by the Dean of the Faculty in January 1990 to comply with Federal Final Rule 42 CFR Part 50, as published as 54 FR 32446, August 8, 1989.

a. Inquiry Whenever a suspected case of scientific misconduct arises, the particulars are to be reported immediately to the Dean of the Faculty. The Dean, or a delegate, will promptly initiate an inquiry to determine whether or not there is sufficient evidence of possible misconduct to conduct a formal investigation of the charges. The inquiry and written report (part c below) shall be completed within 60 days of receipt of the allegation.

b. Investigation If an inquiry of alleged scientific misconduct provides sufficient basis for conducting a full investigation, such investigation shall begin within 30 days of the completion of the inquiry, and shall be completed, including preparation of the written final report, no later than 120 days after it is begun.

The investigatory panel shall consist of four persons: the Associate Dean of the Faculty, the Director of the Division of Natural Sciences and Mathematics, a faculty member chosen by the Dean, and a faculty member chosen by the faculty member against whom the allegations have been made. The two faculty members should be persons familiar with the discipline in which the alleged misconduct has arisen, but must not be persons who have been involved in the conduct of the research project or who have any other apparent conflict of interest. The need for impartiality and objectivity must be honored.

The investigatory panel will be permitted to obtain the advice and testimony of experts, either from within or without the University, when that becomes important to the proper conduct of an investigation.

c. Record keeping and reporting Written records shall be kept of each inquiry and its result, and of each subsequent investigation and its result. These records, and all appropriate documentation, shall be kept on file in the Dean's Office for at least five years after completion of the inquiry or investigation, or at least three years after the acceptance of a written final report of an investigation by a federal funding agency, whichever is later. These records must be provided upon request to any federal agency which provided funding for research projects related to the alleged scientific misconduct.

When an inquiry into an allegation of scientific misconduct results in a finding that there is cause for a full investigation, any external agency which provided funding for a research project related to the alleged scientific misconduct will be promptly notified that an investigation is to be conducted. The University will cooperate with the funding agency to protect unexpended funds and to insure that the purposes for which funding was provided are being carried out.

When an investigation of alleged scientific misconduct discloses facts that are relevant to the consideration of pending requests for continued research funding from an external agency, those facts will be conveyed to that agency promptly. If evidence of criminal wrongdoing is found, that evidence will be forwarded to the agency within 24 hours.

At the completion of an investigation into alleged scientific misconduct, a full written report which thoroughly documents the investigative process and findings will be sent to any agency which funded research related to the case.

d. Protections Under all of the proceedings described above, utmost care will be given to protect, to the maximum extent possible, the positions and reputations of persons who have in good faith brought forward allegations of scientific misconduct, and of persons who have provided documentation, testimony or evidence.

Likewise, these same protections shall extend to persons against whom allegations of scientific misconduct have been made but not confirmed. Any inquiry or investigation arising from allegations of misconduct should be carried out with the utmost concern for confidentiality. Any person against whom allegations are made must be given the opportunity to review and respond to the allegations and any evidence produced in either an inquiry or an investigation. Should the reputation of any person be damaged by an inquiry or investigation in which allegations of misconduct are not confirmed, the University shall make sincere efforts to restore that person's reputation.

e. Sanctions When an investigation confirms that scientific misconduct has occurred, the President will be informed of the details and will impose appropriate sanctions.

8. Conflict of Interest Policy, with regard to financial and family matters, was passed by FAC on April 23, 1996, as required of institutions receiving grants from the National Science Foundation and other governmental granting agencies. A copy of this policy is on file with the Dean of the Faculty and the Office of Corporate Foundation, and Government Support. This policy was distributed to the full faculty in a memo dated April 25, 1996.

9. Travel to Professional Meetings⁸ Faculty members wishing to attend or participate in professional meetings are eligible to apply for travel grants. Funds are allocated by the Dean of the Faculty's Office but application is made through the divisional offices.

The current policy on travel funding was approved by the Dean's Advisory Council and is distributed to all faculty members in a memorandum from the Dean. Regulations governing participation and attendance grants are as follows:

Participation Grants A faculty member will be reimbursed by the University for travel costs associated with active participation in one or more professional meetings. Participation will be defined as presenting or reading a paper or being a discussant on a panel. The following costs will be reimbursed up to a maximum of $1000 per year:

a. Transportation: for air or train fare, limousine service, or mileage (at 31 cents per mile)

b. Local travel at convention site: from airport or station to meeting and return

c. Registration Fee

d. Accommodations and Meals: Allowance toward cost is $100/day. Maximum unreceipted expense of $25/day for meals.

Attendance Grants Faculty members who wish to attend one or more professional meetings without actively participating may request reimbursement up to a maximum of $300 per year to help defray expenses of the following: transportation, registration fees, accommodations and meals. The same limits for reimbursement apply within these categories.

Faculty members who anticipate applying for participation or attendance grants are advised to do so well in advance of the meeting. Normally, travel advances are available one week prior to the date of the trip. Advances should be cleared within seven days from the date of the return.