Frequently-Asked Questions

Outside Professional Work for Compensation (Form 1460)

How has the Form 1460 changed?

The Form 1460 itself is still available for downloading and completion as a Word document, but it has been reformatted and the order and wording of some of the questions have been changed. No significant new information is being requested, but it is hoped that the reformatting and the re-wording and re-ordering of some of the questions will make the Form easier to complete and review. The assignment of intellectual property has been removed from Form 1460. Instead, Form 1460 includes a few questions that assess whether or not a present assignment is appropriate for this engagement.How has the 1460 approval process changed?The approval process (routing to your Department Chair and Dean’s Office, then the Office of Research) has not changed. Questions and comments about the Outside Work Policy (Executive Order 57) or the Form 1460 may be addressed to work1460@uw.edu.

Who

Do I need to request approval for outside work carried out in the summer, if I have a nine-month appointment which does not include the summer?

No. If the outside work will take place exclusively in the summer, will not involve use of UW resources, will not involve teaching at another institution, and does not conflict with any UW policy, then prior approval is not required.

Do I need to request approval for my outside work if I have a part-time faculty appointment?

Yes. Time commitment is not the only aspect of outside work that is considered. Form 1460 will also be reviewed for conflicts with UW policies as well as financial conflicts of interest or academic conflicts.

Do I need to request approval for consulting that I have already disclosed in the Financial Interest Disclosure System (FIDS)?

Yes. Your FIDS disclosure is required to initiate the process for assuring that your research or technology transfer activities are not in conflict with the financial interest resulting from your consulting. Your Form 1460 will be reviewed for conflicts with other UW policies and other types of conflicts, such as academic conflicts.

I have a part-time administrative appointment in addition to my faculty position. From whom do I obtain approval?

If the outside professional work pertains to your faculty position, obtain approval from your chair and dean/chancellor. If it pertains to your administrative position, obtain approval from your administrative supervisor.

I am Professional or Classified staff, do I need to fill out an Outside Work request?

Yes, although requests for Professional and Classified staff are not handled by the Office of Research, and therefore you will not fill out Form 1460. Please see Administrative Policy Statement 47.3 for the correct form and instructions on obtaining approval, or contact your immediate supervisor for questions on your department’s approval process.

What

What counts as “compensation”?

Compensation is defined very broadly in the UW policy and includes payments of any kind, equity interests (e.g., stock or options), and intellectual property. Under the policy, it is still considered compensation even if you waive or assign compensation or if the compensation is in kind.

What is the number of days I am allowed to engage in outside work?

You are allowed up to one day per week (seven calendar days) of the time you work for the UW. If you are at 100% FTE, then you are allowed a maximum of 52 days per year. If you are a nine-month employee, then you are allowed 39 days during your UW nine months. If you are a part-time employee, then you are allowed a prorated number of days (i.e., if you are at 50% FTE, you are allowed one-half of a day per week worked for UW). You may combine multiple partial days to make up full days requested. Travel to and from the activity counts.

What is “deeper involvement”?

Deeper Involvement refers to a relationship with an entity for which you are requesting approval to work that extends beyond the work itself. Examples include, but are not limited to, extensive and long-term consulting with a for-profit entity, ownership of a for-profit entity, a line-management position with a for-profit entity or other involvement in its day-to-day operations, a key continuing role in the scientific or technical effort of a for-profit entity, and providing assistance to a for-profit entity in the development or commercialization of an idea involving your expertise or technology that you have developed. Outside work with deeper involvement usually requires more extensive review and the implementation of a plan to manage resulting conflict.

What if my proposed outside work will amount to more outside work days than I am allowed under the policy?

Generally, days in excess of those allowed under the outside work policy will not be approved. Instead, a leave of absence or other arrangement would need to be made by you and your school or college.

What is usually not allowed?

Examples of situations that would generally not be allowed as outside work (assuming you are a 100% UW FTE employee) include outside work for more than 52 days over a one-year period without taking leave, teaching or conducting research at another institution, and performing work if your current visa status does not include work for an employer other than the UW.

What is the difference between requesting approval for outside work and disclosing paid consulting through the Financial Interest Disclosure System (FIDS)?

Your FIDS disclosure is required to initiate the process for assuring that your research or technology transfer activities are not in conflict with the financial interest resulting from your consulting. Your Form 1460 will be reviewed for conflicts with other UW policies and other types of conflicts, such as academic conflicts.

Do I need to request approval for outside work if I am on a nonimmigrant visa?

Outside work for compensation may not be allowed for persons on nonimmigrant visas. Please consult with the International Scholars Operations.

When

When do I need to request approval?

The policy stipulates that approval is required before the outside work begins. Please make every effort to request approval as soon as you know you will be performing the work. This will allow time for your request to be reviewed and approved and for a management plan to be established, if necessary.

Do I need to request approval for outside work that is already underway or has already been completed?

Yes. You should complete Form 1460 and submit it for review and approval by your department chair and dean or chancellor. While the request cannot fulfill the requirement for “prior” approval, the Office of Research will keep a record on file that you submitted a Form 1460. In the future, be certain to request approval in advance. This provides protection for you of potential violations of the Washington State Public Ethics Law.

How long will the approval process take?

Requests that are complete and do not involve any conflicts may be approved in the Office of Research in as little as three business days. Of course, your Form 1460 must first be reviewed and approved by your school or college. Those requiring more information or the development of a management plan, or that constitute deeper involvement, will take longer depending upon the situation.

How do I request approval for outside work that spans two fiscal years?

Submit two requests – one covering the period through June 30 and the other covering July 1 and beyond. You may submit the requests together.

Do I need to request approval every year for the same outside work?

Yes. A Form 1460 must be submitted for each year – July 1 through June 30.

How

How do I calculate the amount of time (days) to request if I am not exactly certain how much time I will be working?

If you do not know the exact number of days you will be engaged in outside work, provide an outside estimate – the greatest number of days you may be engaged. The approval will be based on the time estimate you provide.

How will I know if my request has been approved?

Notifications will be sent by email to you and to your school or college as soon as your request is approved. You may always contact the Office of Research ( work1460@UW.edu) to inquire about the status of your request.

I consult by the hour. How do I calculate the number of days?

Eight hours constitutes one day. Include travel time. If you spend more than 8 hours in a single 24-hour period, count it as 1 day. As an example: If you spend 1 hour per week on your cell phone for 8 weeks, plus a single 4-hour visit to the company with 3 hours of travel time each way, the total would be 2 days.