UW CSE Commercialization Oversight Guidelines

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UW College of Engineering
Guidelines for Oversight Committees for Faculty With
"Deeper Involvement with Commercial Enterprises than Consulting"

This document establishes guidelines for faculty committees charged with reviewing the activities of a faculty member whose activities involve "deeper involvement with commercial enterprises than consulting" [Vol. IV, Part V, Ch. 6, Sect. 6 of the University of Washington Handbook]. The Handbook establishes the expectation that such activities will contribute positively to the University, College and Department, as well as to the individual faculty member's professional achievements. However, the Handbook also recognizes the potential for these activities to have a negative impact on University units, students, employees and other faculty. These guidelines assert that faculty colleagues are the best judge of faculty activities. Hence, a faculty oversight committee is an appropriate mechanism to review such faculty activities and judge whether there is any conflict with the Handbook.

For each faculty member having "deeper involvement," an oversight committee will be selected by the Department Chair. The Committee membership is subject to review by the Dean of Engineering. The faculty member whose activities are being reviewed will be consulted on the Committee membership and given the opportunity to provide cause for requesting changes.

The Committee will conduct a review at least every six months unless the Chair or Dean requests a more frequent review. In recognition of the possible need for sharing proprietary corporate information, the corporate enterprise may request the review be conducted under an appropriate non-disclosure agreement. The Committee shall be fully informed of the circumstances surrounding the activities by the Chair and by the faculty member. The Committee shall also be informed of any special provisions agreed to by the faculty member and the Department or University.

Following each review, the Committee shall submit a report to the Department (a copy of which will be forwarded to the Dean). The primary content of this report shall be a brief discussion of whether, in the Committee's judgment, the faculty member's "deeper involvement" in the commercial activities impacts the academic and scholarly research programs of the Department. If there is such impact, there should be a discussion of those aspects in which the impact is positive and those in which the impact is negative.

In making this report, the Committee shall take due congizance of:

1. Any observed inconsistencies of faculty activities with the terms of any approved request for professional work for compensation that may be in effect at the time of the review.
2. Any observed inconsistencies of faculty activities with the University of Washington Handbook [Vol. IV, Part V, Ch. 6, Sect. 6, and Vol. IV, Part V, Ch. 7, Sect. 1, Para. K].
3. The Committee's judgment of whether the faculty member's activities comply with University requirements or, alternatively, recommendations for specific modifications in faculty activities.

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