Bill No. 8283-26
UNIVERSITY SENATE
STATE UNIVERSITY OF NEW YORK AT ALBANY
GUIDELINES FOR FACULTY INVOLVEMENT IN PRIVATE VENTURES
INVOLVING PROPRIETARY WORK CARRIED OUT ON CAMPUS
INTRODUCED BY:
Council on Research
May 9, 1983
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IT IS HEREBY PROPOSED THAT THE FOLLOWING BE ADOPTED:
I.
That the attached guidelines for faculty involved in
proprietary work carried out on campus be approved,
II.
That this resolution be referred to the President
for his approval.
Attachment
Approved at 5/9/83 Senate Meeting.
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Rationale
Guidelines for Faculty Involvement in Private
Ventures Involving Proprietary Work Carried Out On Campus
A recent trend on university campuses nation-wide is the increasing
involvement of faculty in research conducted for private firms which have a
proprietary interest in the outcomes of the research; i.e., where the results
of the research become the private property of the firm.
The firms involved
may be external companies contracting with faculty to do research or companies
established, perhaps by faculty members themselves, to exploit
University-based research commercially.
These private venture research
programs differ from the traditional types of academic research.
Free inquiry
and the free exchange of ideas are basic principles governing traditional
forms of academic research.
The results of this type of research, even if
_, ________ f unded-by_private-sponsors,-are-made-publicl:y- available. - In contrast,- - - - -- - - -- --
commercial enterprises are governed by the profit motive.
The marketable
application of the outcomes of research may result in new knowledge being
treated in a proprietary manner and, to protect it from competitors, kept
secret. The principles underlying free inquiry and the free market may come
in conflict when private venture research programs are conducted on a
university campus.
In addition to conducting research, the mission of
academic institutions is to educate students. Students are particularly
vulnerable to exploitation by their involvement in private venture programs.
Significant potential danger exists in the establishment of private
venture programs on the campus, but to preclude such programs because of this
possibility would be a mistake in view of the potential benefits which
include: attraction, stimulation and retention of outstanding faculty;
development of increased educational, research and career opportunities for
students; augmentation of the facilities, expertise and reputation for
research; and stimulation of local economy and climate for research and
technology. Maximizing the benefit and minimizing the risk places a special
and important responsibility on the individuals, administrators and review
bodies involved, especially at the college, department and research center
level.
In light of the impossibility of anticipating all contingencies and
because of the rapid development of thinking about University-Industrial
relationships, detailed rules for faculty and student involvement in private
venture companies are not appropriate at this time.
Each case should be
carefully considered in the context of general guidelines designed to protect
the broad mission and purpose of the University. These guidelines should
maintain the traditional commitment of the University to free inquiry and
communication, protect the interests of students, and recognize the fiduciary
responsibilities of the University to the State of New York.
At the same
time, the guidelines should not impede the efforts of researchers freely and
vigorously to explore fruitful relationships with private firms.
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Recommended guidelines for the initial and subsequent reviews are
indicated below.
These guidelines are based on the belief that primary
responsibility for supervision, guidance and accolUltability of research and
student education must reside in the appropriate college, department or
research center.
The reviews at the University level are principally to
ensure that appropriate standards and mechanisms for organization and
oversight of private venture endeavors involving faculty, students and
facilities are established and implemented by the college, department or
center. These guidelines are intended only to apply to on-campus research
activites, not to most faculty consulting arrangements or to student
internships. Although similar concerns may arise in those relationships, they
are best dealt with through other mechanisms.
Guidelines -
1.
The primary functions of the University faculty on the University campus,
________ and_of __ the _facili ties-on-the-campus,-are-training-of--students, -f-ree - ------------
inquiry, and effective communication.
These must be kept uppermost in any
contractual arrangement.
Interference with this function, direct or
indirect, as concluded from careful review by appropriate faculty or
administrative bodies will be grounds for non-approval or non-renewal of
any contract.
2.
Student participation shall be in the context of thesis research and
preparation.
Insurance that this requirement is met is a special
responsibility of the particular department.
The thesis program and
progress of each student involved in such programs must be reviewed and
approved through established departmental procedures involving at least
one faculty member not associated with the venture program.
It is
recommended that a research committee of at least three members be
appointed, one of whom should be the thesis supervisor and only one of
whom should be associated with the venture program (this may be the thesis
supervisor). For small departments such a structure may be impractical,
in which case the review may be carried out by the department chairman or
his or her designee.
The student shall be free to discuss his or her thesis work with other
students and faculty, and to make reports to the department on the status
and progress of the work.
Publication of the student's thesis work will
not be hindered by the sponsor.
It is expected that the department would
not approve thesis projects primarily proprietary in nature. This is not
meant to imply that the student could not be peripherally involved or
knowledgeable about proprietary work which he or she would not be allowed
to discuss freely; it should not, however, comprise the thesis research
project.
Student support from venture research programs will not be exceptional,
i.e., will be within the established range for other student teaching and
research stipends.
Exceptions to student thesis, free communication and fundamental research
requirements may be made for short periods such as summer employment or
introductory involvement.
This should be approved by the department
chairman or appropriate departmental committee.
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3.
Faculty involved in private venture programs shall not permit such
involvement to interfere with instructional, dissertation direction or
committee responsibilities.
Any exception to this will be through a
release-time support arrangement that has the prior approval of the
department chairman and college dean.
4.
Use of University facilities will be allowed only through proper
arrangements consistent with the University's fiduciary responsibilities
to the State of New York and the University Research Foundation.
5.
Distribution of royalty and licensing fees will be consistent with
existing University policies.
6.
Contractual arrangements for private venture programs utilizing University
facilities will be for a specified period not to exceed five years with
renewal or extension subject to review by the department, college, Council
on Research or University administration.
As with the initial approval,
--such-renewal-or-extension_will-he_at_the_discretion_oLthe_Univ:ersity: _____ , ____ _
president subject to State University of New York and State Education
Department regulations.
In any case, it is felt that very long term
on-campus arrangements are not appropriate but that successful ventures
will move to off-campus facilities after an initial period. Movement
off-campus, of course, will not remove responsibility for adequate and
appropriate approval and oversight of student and faculty involvement.
Procedures
1.
The approval of private venture research programs invoving proprietary
work is a joint decision by the department or research center, the
college, and the University.
2.
Initial review and approval will take place in the appropriate department
or research center according to established procedures. Approved programs
will then be submitted to the dean of the relevent college for
confirmation. After approval by the college, the program will be
submitted to the Vice President for Research and Educational Development,
who will review it on behalf of the University.
The Vice President will
be advised by the Council on Research through its Committee on Industrial
Linkages.
3.
The departments, colleges, and the Vice President will develop appropriate
procedures for annual review of private venture programs.
The procedures
will be designed to insure a fair and objective evaluation of the progam
under the above guidelines.
4.
If disagreement ocurrs at any level in the review process, the Vice
President for Research and Educational Development will initiate an
appropriate procedure for resolving the dispute.
If a program is•
disapproved at any level, the researcher may appeal that decision at a
higher level.
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