University of Hawai‘i, Board of Regents, 2444 Dole Street, Bachman 209, Honolulu, HI 96822 Telephone No. (808) 956-8213; Fax No. (808) 956-5156

Notice of Meeting UNIVERSITY OF HAWAI‘I

BOARD OF REGENTS COMMITTEE ON RESEARCH AND INNOVATION Members: Regents Sullivan (Chair), Tagorda (Vice-Chair), Acopan, Bal, and Moore

Date: Thursday, December 5, 2019 Time: 10:30 a.m. Place: University of Hawaiʻi at Mānoa

Information Technology Building 1st Floor Conference Room 105A/B 2520 Correa Road Honolulu, Hawai‘i 96822

AGENDA I. Call Meeting to OrderII. Approval of Minutes of the October 3, 2019, Meeting

III. Public Comment Period for Agenda Items: All written testimony on agendaitems received after posting of this agenda and up to 24 hours in advance of themeeting will be distributed to the board. Late testimony on agenda items will bedistributed to the board within 24 hours of receipt. Written testimony may besubmitted via US mail, email at bor.testimony@hawaii.edu, or facsimile at 956-5156. Individuals submitting written testimony are not automatically signed up fororal testimony. Registration for oral testimony on agenda items will be provided atthe meeting location 15 minutes prior to the meeting and closed once the meetingbegins. Oral testimony is limited to three (3) minutes. All written testimonysubmitted are public documents. Therefore, any testimony that is submittedverbally or in writing, electronically or in person, for use in the public meetingprocess is public information and will be posted on the board’s website.

IV. Agenda ItemsA. Fiscal Year 2020 1st Quarter Extramural Awards UpdateB. Discussion on Proposed New Regents Policies (RP)

1. RP 12.209, Strategic Research Plan2. RP 12.210, Research and Training Revolving Fund

V. Adjournment

For disability accommodations, contact the board office at 956-8213 or bor@hawaii.edu. Advance notice requested five (5) days in advance of the meeting.

Committee on Research and Innovation Meeting Minutes of October 3, 2019 – page 1 of 4 DRAFT

DISCLAIMER – THE FOLLOWING ARE DRAFT MINUTES AND ARE SUBJECT TO REVIEW AND CHANGE UPON APPROVAL

MINUTES

BOARD OF REGENTS COMMITTEE ON RESEARCH AND INNOVATION MEETING

OCTOBER 3, 2019

I. CALL TO ORDER

Chair Jan Sullivan called the meeting to order at 12:30 p.m. on Thursday, October 3, 2019, at the University of Hawai‘i at Mānoa, Information Technology Building, 1st Floor Conference Room 105A/B, 2520 Correa Road, Honolulu, Hawaiʻi 96822.

Committee members in attendance: Chair Jan Sullivan; Vice-Chair Michelle Tagorda; Regent Kelli Acopan; Regent Eugene Bal; and Regent Randy Moore.

Others in attendance: Board Chair Ben Kudo; Regent Simeon Acoba; Regent Wayne Higaki; Regent Robert Westerman; Regent Ernest Wilson Jr. (ex officio committee members); Interim Vice President (VP) for Community Colleges Erika Lacro; VP for Legal Affairs/University General Counsel Carrie Okinaga; VP for Research and Innovation Vassilis Syrmos; VP for Budget and Finance/Chief Financial Officer Kalbert Young; University of Hawai‘i at Mānoa (UHM) Provost Michael Bruno; University of Hawai‘i - West O‘ahu Chancellor Maenette Benham; Executive Administrator and Secretary of the Board of Regents (Board Secretary) Kendra Oishi; and others as noted.

II. APPROVAL OF MINUTES OF THE JUNE 6, 2019, MEETING

Regent Moore moved to approve the minutes of the June 6, 2019, meeting, seconded by Regent Tagorda, and the motion carried unanimously.

III. PUBLIC COMMENT PERIOD

Board Secretary Oishi announced that the Board Office received no written testimony, and no individuals had signed up to provide oral testimony.

IV. AGENDA ITEMS

A. Committee Goals and Objectives

Chair Sullivan referenced previously circulated draft committee goals and objectivesfor consideration by the committee.

Regent Moore questioned the item on energy costs associated with research and whether such costs were charged centrally. VP Syrmos replied that predominantly energy costs at UHM are paid from tuition and special funds, but that there are some facilities that pay their own costs from Research and Training Revolving Funds, such as in Kakaako. VP Syrmos added that this would be a good item to review expenditures from a holistic perspective.

Committee on Research and Innovation Meeting Minutes of October 3, 2019 – page 2 of 4 DRAFT

Regent Moore commented on the second item regarding metrics and agreed that they should be simplified. He observed that the metrics considered by the board should be high-level, whereas administration can review metrics more in-depth.

Regent Moore made a motion to adopt the committee goals and objectives, Regent Tagorda seconded, and the motion carried unanimously.

B. Update on University of Hawai‘i Innovation Spaces

VP Syrmos presented an update on innovation spaces and explained the functions and importance of spaces such as the UH iLab, sPACE (Shidler Pacific Asian Center for Entrepreneurship), the Mānoa Innovation Center (MIC), and the Atherton Innovation Center, which is expected to open in 2021 and 2022. He also explained the differences between the spaces, as well as how they work together.

VP Syrmos explained the MIC in more detail and how it is a home to small high-tech start-up companies, which serves as a tech park and incubator. He described the benefit of being in proximity to intellectual capital. VP Syrmos described how PACE will move from Shidler to Atherton and how the dorm will house up to 300 students with a demonstrated interest in entrepreneurship to create a live-learn environment.

C. Update on the UHealthy Hawai‘i Initiative

Dr. Aimee Grace, Director of Health Science Policy, presented an update on the UHealthy Hawai‘i Initiative, which aims to improve health and health care in Hawai‘i and the Pacific by leveraging the UH System’s health sciences programs and forging meaningful collaborative partnerships. She highlighted four priority areas and noted that the initiative has gained many more partners since the last presentation eight months ago.

Dr. Grace highlighted the priority to ensure a robust statewide health workforce and noted health provider shortages in the state, and outlined next steps to make improvements in this area, including a focus on collaborative solutions.

Regent Tagorda asked if they were working with the Department of Education. Dr. Grace replied that they have been working with health academy leaders to try to put more programs in the high schools, and have been talking with the community college team.

Chair Sullivan asked how the initiative was funded and if there is continuity of funding. Dr. Grace said that they are currently funded through the Office of the VP for Research and Innovation, but are working with the legislature to attain more permanent funding. She noted that they were not successful with a federal budget request, although they continue to apply for grants and seek federal funding opportunities.

D. Research and Innovation Year-in-Review and Fiscal Year (FY) 2019-2020 Outlook

Committee on Research and Innovation Meeting Minutes of October 3, 2019 – page 3 of 4 DRAFT

Vice President Syrmos presented a review of FY 2019-2020 and outlook for the current FY. He noted that extramural awards increased about eight percent, resulting in a total of approximately $421 million in awards for FY 2019-2020.

Board Chair Kudo asked what the most significant factor that influences the amount of extramural awards. VP Syrmos replied that there are numerous factors, but that faculty is a key factor. He credited President Lassner and Provost Bruno with many strategic hires. He noted that in addition to the intellectual capacity of the faculty, entitlements are another avenue for universities to receive extramural funds.

Board Chair Kudo asked how to encourage people to apply for grants. VP Syrmos noted that the biggest motivation to apply for grants is professional development. He also cited programs to support grant applications. Chair Sullivan noted that this issue will be further explored by this committee. She added that ASU doubled its enterprise in ten years and that the strategy behind that is worthy of discussion.

Board Chair Kudo asked if the reason that the UH research awards from the Department of Defense are only at 25 percent was because the program is not robust. VP Syrmos replied that there is room for improvement and that he and Provost Bruno are working on enhancing resources.

E. Strategic Directions: Update on Metrics

VP Syrmos presented an update on the Strategic Directions metrics and noted the importance of trend lines and that the trend line has stabilized, which he attributes to strategic faculty hires. A five percent growth rate per year was used to create targets.

Regent Moore commented that inflation should be factored in when considering trend lines.

Regent Acoba asked the purpose of combining research and non-research data and if they related to one another. VP Syrmos said that they do relate and that non-research grants advance research, innovation, and training.

Regent Acoba asked about the strategy involved with regard to strategic hires. VP Syrmos replied that there was a robust strategy in place. Provost Bruno added that the most significant change made was centralizing control of positions, rather than allowing them to be retained within individual departments.

V. ADJOURNMENT

There being no further business, Regent Moore moved to adjourn, Regent Tagorda seconded, and with unanimous approval, the meeting was adjourned at 1:42 p.m.

Respectfully Submitted,

Kendra Oishi

Committee on Research and Innovation Meeting Minutes of October 3, 2019 – page 4 of 4 DRAFT

Executive Administrator and Secretary of the Board of Regents

Office of the Vice President for Research and Innovation

UNIVERS1TNtVHStrV JE HA:of HA’VVAI I’ OF

SYSTEM19 NOV27 P145

r E t El v EU

November 26, 201919 NOV27 p1:43

MEMORANDUMUNIVERSITY OF HAWAII

TO: Jan Sullivan, Chairperson PRLSIOENFS OFFICE

BOR Committee on Research and Innovation

VIA: David Lassnerfl

FROM: Vassilis L.Vice President for Research and Innovation

SUBJECT: BOR COMMITTEE ON RESEARCH AND INNOVATION AGENDAMATERIALS FOR DECEMBER 2019 MEETING

Please find attached the following materials that will be discussed at the December 5,2019 BOR Committee on Research and Innovation meeting:

A. Fiscal Year 2020 1st Quarter Extramural Awards Update (*VPRI presentation)a. FY20 QI Extramural Awards Analysis Report

b. FY20 QI Research and Innovation Metrics Summary

c. FY20 Monthly Report of Extramural Awards (as of October 31, 2019)

B. Discussion on Proposed New Regents Policies (RP)

1. RP 12.209, Strategic Research Plan

2. RP 12.210, Research and Training Revolving Fund

2444 Dole Street, Bachman HallHonolulu, Hawai’i 96822

Telephone: (808) 956-5006 • Fax: (808) 956-5286

An Equal Opportunity/Affirmative Action Institution

FY20 Ui Extramural Awards

BOR Committee on Research and InnovationDecember 5, 2019

7\ UNIVERSITYof HAWAIV

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Overview

• FY20 01 Recap

• Significant Awards by Campus

• Award Amounts by Location

• Awards to date (as of 11/30/19, projected)

UNIVERSITYof HAwAIr 2

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FY20 Ui Recap

• Awards for FY20 01 were $4.3 million, or 2.4% less than FY19

01

• Better than FY14, FY16 and FY18 first quarters, but in line withexpected 01 performance

— FY20 01 projection = $176.6m; actual = $176.2m

f UNIVERSITYof HAWAI’I” 3

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Qi Extramural Awards

($ millions)

250.0

200.0 178.1191.0

181.8 180.5 176.2

Elililill2013 2014 2015 2016 2017 2018 2019 2020

2013 2014 2015 2016 2017 2018 2019 2020

Qi • 178.1 166.5 191.1 165.8 181.8 164.5 180.5 176.2

Q2 74.2 74.7 77.0 56.9 59.5 62.0 75.3 TBD

Q3 56.7 55.4 52.8 66.2 67.1 71.0 76.7 TBD

Q4 100.1 95.7 104.8 102.4 78.6 $8.8 $9.3 TBD

FY 409.8 392.3 425.7 391.3 387.0 386.3 421.9 176.2

UNIVERSITYof HAWAIr 4

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FY20 Ui Significant Awards by Campus

Federal

Federal

Federal

State and Local

Federal

National Institutes ofHealth

Department of Education

Department of Education

Department of Labor

Department of Education

6,478,224

860,827

896,922

90,000

264,867

Campus SponsorType Sponsor ProjectTitle Amount

Mãnoa

Hilo

West O’ahu

Hawai9 CC

Honolulu CC

Kapi’olani CC

Kaua’, CC

Leeward CC

Maui College

Windward CC

UH System

UNIVERSITY 5of HAWAL’I’SYSTEM

Federal

Business and Other

State and Local

Federal

Federal

Federal

Department of Education

Kamehameha Schools

Department of Labor

National ScienceFoundation

Department of Education

Department of Defense

796,527

60,000

250,000

2,000,000

798,393

5,350,000

Hoola: Early Phase Clinical Research CenterUH Hilo and HawCC Cooperative Arrangement

Development Grant

Building and Bridging Hawaiian FuturesDLIR/WDD ETF Micro Hawaii Community College

ContractHonolulu Community College TRIO Student Support

ServicesPhase II Kauhale Ke Kuleana The Responsibility of theWhole Village Strengthening Kapiolani Campus and

Culture for Student Success

UH Kaua’i Community College Na Pua No’eau’s Ma Ukaa I Kai - Moku o Ko’olau-Halelea Program

DLIR/WDD ETF Micro Leeward Community CollegeContract

‘Akeakamai I Ka La Hiki Ola: Scientific ExplorationBeneath The Life-Bringing Sun

(NSF ATST Mitigation Plan)”

Kahua Hoonaauao: Foundations of Knowledge Building,Supporting Native Hawaiian Student Success [....]Oahu and Makua Implementation of EndangeredSpecies Management, US Army Garrison, Hawaii

FY20 Qi Amounts by Location($ millions)

2020-19 Change

Campus 2017 2018 2019 2020

Mãnoa

Hilo

West O’ahu

Hawai’i CC

Honolulu CC

Kapi’olani CC

Kaual CC

Leeward CC

Maui College

Windward CC

UH System

TOTAL

f1\ UNIVERSITYof HAWAI’t 6

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112.6

7.5

5.1

0.4

1.0

3.7

0.9

3.0

9.7

5.8

14.8

164.5

128.9

8.9

3.0

0.2

0.8

3.1

0.7

2.6

8.2

5.6

18.5

180.5

135.4

6.2

1.4

0.3

0.4

1.4

0.1

0.3

6.1

2.4

22.2

176.2

129.7

6.0

5.4

0.0

2.2

4.7

2.0

3.6

3.9

6.5

17.9

181.9

5.0%

-30.2%

-54.2%

70.6%

-55.4%

-53.6%

-85.2%

-87.5%

-26.1%

-56.5%

20.0%

-2.4%

Major Changes by Location

• UH Mãnoa increase is attributed to the $6.5 million NIH award.

• UH System increase is attributed to the $5.4 million DoDaward.

• UH Hilo decrease: Two large awardstotaling $1.2 million werereported in FY19 01. No comparable awards received in FY2001.

/\ UNIVERSITYof HAWAI’F 7

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Major Changes by Location (cont)

• UH Maui College decrease: Large, non-competing continuation award of$2 million from the Hawai9 Department of Human Services reported inFY19 Qi. No comparable awards received in FY20 Qi.

• Other campus decreases: UH West O’ahu, Kapi’olani CC, Leeward CC,and Windward CC had large, non-competing continuation awards ofabout $1.8 million each from the federal Department of Education inFY19 Qi. No comparable awards received in FY20 Qi.

/\ UNiVERSITYof HAWAI1 8

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Awa rds to date (11/30/19, p rojected)

• As of 11/22/19, awards to date were $233.7 million comparedto $237.4 million at the same time last year.

• We expect to be around -2.0% of FY 19

—Awards to date as of 11/30/19 is projected to be $240.2million compared to $245.2 million as of 11/30/18

1\ UNIVERSITYof HAwAIr 9

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FY20 Ui Extramural Awards Report

I. Summary

Extramural awards for FY20 Q1 totaled $176.2 million, which is 2.4% less than FY19 Q1. Although

better than FY14 Qi, FY16 Q1, and FY18 Qi, it still is in line with expected first quarter

performance.

II. Quarterly Performance Metrics

Extramural awards for FY20 Qi totaled $176.2 million. See IV. Award Trends by Campus for anexplanation of major increases or decreases that contributed to FY20 Q1 results.

Quarterly Extramural Awards

$ millions

2013 2014 2015 2016 2017 2018 2019 2020

Q1 178.1 166.5 191.1 165.8 181.8 164.5 180.5 176.2

Q2 74.8 74.7 77.0 56.9 59.5 62.0 75.3 TBD

Q3 56.7 55.4 52.8 66.2 67.1 71.0 76.7 TBD

Q4 100.1 95.7 104.8 102.4 78.6 28.8 89.3 TBD

FY 409.8 392.3 425.7 391.3 387.0 386.3 421.9 176.2

Qi Extramural Awards

($ millions)

250.0

200.0 178.1191.0

181.8 180.5 176.2

Elililifi2013 2014 2015 2016 2017 2018 2019 2020

1

Ill. Significant Awards by Campus

During FY20 Q1, UH received 646 awards from 192 different sponsors. The following table reportsthe largest awards received this quarter by campus. As expected, because September 30 marksthe end of the federal fiscal year, eight of the eleven largest awards are from federal sponsors.

Campus Sponsor Type Sponsor Project Title Amount

- National Institutes Hoola: Early Phase clinical ResearchManoa Federal 6,478,224

of Health Center• Department of UH Hilo and HawCC Cooperative

Hilo Federal 860,827Education Arrangement Development Grant

Department ofWest O’ahu Federal . Building and Bridging Hawaiian Futures 896,922

EducationDepartment of DLI R/WDD EF Micro Hawaii

Hawaii CC State and Local 90,000Labor Community College Contract

Honolulu CC FederalDepartment of Honolulu Community College TRIO

264,867Education Student Support Services

Phase II Kauhale Ke Kuleana The

Kapi’olani CC FederalDepartment of Responsibility of the Whole village

796,527Education Strengthening Kapiolani Campus and

Culture for Student Success• UH Kauai Community College Na Pua

Business and KamehamehaKaua i CC No eau s Ma Uka a I Kai - Moku o 60,000

Other SchoolsKo olau-Halelea Program

Department of DLIR/WDD EF Micro LeewardLeeward CC State and Local . 250,000

Labor Community College ContractAkeakamai I Ka La Hiki Ola: Scientific

National Science Exploration Beneath The Life-BringingMaui College Federal 2,000,000

Foundation Sun(NSF ATST Mitigation Plan)’

Kahua Hoonaauao: Foundations ofKnowledge Building, Supporting Native

• Department of Hawaiian Student Success inWindward CC Federal •. 798,393

Education Developmental Education, HawaiianLanguage Based Coursework, and

Online Courses.Oahu and Makua Implementation of

Department ofUH System’ Federal Endangered Species Management US 5,350,000

DefenseArmy Garrison, Hawaii

UH System represents units under Vice Presidents that receive extramural funding. Examples include the P20 and Gear Up grants under theVP for Academic Affairs; Maui High Performance Computing Center and Pacific Disaster Center contracts under the VP for InformationTechnology; Applied Research Laboratory task orders under the VP for Research and Innovation; and the Pacific Business Center Program underthe VP for Community Colleges.

2

IV. Award Trends by Campus

The following table summarizes the awards received this quarter by campus.

Qi Award Amounts by Location

$ millions2020-19

Campus 2017 2018 2019 2020 Change2

Mãnoa 129.7 112.6 128,9 135.4 5.0%Hilo 6.0 7.5 8,9 6.2 -30.2%West O’ahu 5.4 5.1 3.0 1.4 -54.2%Hawai’i CC 0.0 0.4 0.2 0.3 70.6%Honolulu CC 2.2 1.0 0.8 0.4 -55.4%Kapi’olani CC 4.7 3.7 3.1 1.4 -53.6%Kaua’i CC 2 0.9 0.7 0.1 -85.2%Leeward CC 3.6 3.0 2.6 0.3 -87.5%Maui College 3.9 9.7 8.2 6.1 -26.1%Windward CC 6.5 5.8 5.6 2.4 -56.5%UH System 17,9 14.8 18.5 22.2 20,0%TOTAL 181.9 164.5 180.5 176.2 -2.4%

Major dollar increases and decreases are attributed as follows:

UH Mãnoa increase: The increase is attributed to the $6.5 million NIH award.

UH System increase: The increase is attributed to the $5.4 million DoD award.

UH Hilo decrease: Two large, new awards totaling $1.2 million were reported in FY19 cii. Nocomparable awards were received in FY20 cii.

UH Maui College decrease: A large, non-competing continuation award of $2.0 million from theHawai’i Department of Human Services was reported in FY19 cii. No comparable awards werereceived in FY20 cii.

Other campus decreases: UH West O’ahu, Kapi’olani CC, Leeward CC, and Windward CC had large,non-competing continuation awards of about $1.8 million each from the federal Department ofEducation in FY19 cii. No comparable awards were received in FY20 cii.

2 The percent change over the prior year is calculated using the actual figures not the rounded figures.

3

V. Forecast vs. Actuals

Results for FY20 Qi were about $400,000 or 0.2% less than forecasted.

FY2019 Forecast Actual Variance

Qi 176.6 176.2 -0.2%Q2 61.5 TBD N/A

Q3 70.4 TBD N/A

Q4 93.0 TBD N/A

Total 401.5 176.2 N/A

4

Extramural Sponsor AwardsQuarterly Summary

Jull -Sep302019 Juif -Sep302018

Proaram Tvne Count Amount Count Amount

Research 375 $ 84,416,314 367 $ 96,105,819

Non-Research 271 $ 92,198,299 315 $ 86,116,682

Total 4fi $1 76614.613 $1 822225O1

Note: The detailed award listing is available at:

hffo:Ilwww.ors. hawaii. edu/index. Dho/bor-reDorts

The FY 2019 year-to-date total was: $180,524,507The unofficial FY 2020 year-to-date total is: 646 awards totaling$176,130,086

200

180

160

i:80

60

40

20

0

Contracts and Grants AwardsAs of Quarter One— FY2020

Contracts and Grants AwardsAmount Awarded by Quarter

Quarter 1

PY 2019 Quarterly Avards

450

C400

350

C)

300

250 2I-)

200

IIQuarter2 Quarter3 Quarter4

PY 2020 Quarterly Avards —FY 2019 Cumulative Avards

150

100

so

0

2

Contracts and Grants ExpendituresAs of Quarter One—FY 2020

Contracts and Grants AwardsExpenditures by Quarter

120 450Lt

C Co 0

400100

350

80 300w

> >250

t 60200 E

— DU

40 150

10020

so

0 0Quarter 1 Quarter 2 Quarter 3 Quarter 4

FY 2019 Quarterly Expenditures FY 2020 Quarterly Expenditures

—FY 2019 Cumulative Expenditures

3

Contracts and Grants F&A RecoveryAs of Quarter One — FY 2020

Contracts and Grants AwardsF&A Recovery by Quarter

16 60

.214

50

12

40

t 8 30 -

DD

6 D

20

4

102

0 0Quarter 1 Quarter2 Quarter3 Quarter4

FY 2019 Quarterly F&A FY 2020 Quarterly F&A —FY 2019 Cumulative F&A

4

OIC Research & Innovation MetricsFY 2020 — First Quarter Summary

FY2020 FY2019

Metric 7/1/19 — 9/30/19 7/1/18 — 9/30/18

Invention Disclosures 27 11

U.S. Provisional Patents Filed 9 6

U.S. Non-Provisional Patents Filed 6 6

U.S. Non-Provisional Patents Issued 1 2

License & Option Agreements Executed 2 3

Active License & Option Agreements 137 116

Royalty Revenue $26,404.25 $30,963.63

Start-Ups 0 3

5

30

25

20>.

a)15

011

10

0

Invention DisclosuresAsofQuarterOne—FY2020

Inventions Disclosed45

41 40

35

30

25

20

15

10

5

0Q2 Q3 Q4

FY 2019 Quarter)y FY 2020 Quarterly —FY 2019 Cumulative

6

U.S. Provisional Patents FiledAs of Quarter One—FY 2020

U.S. Provisional Patents Filed10 30

9

8 24 25

6 20

a)5 15

3 10

2 5

0 0Qi 02 03 Q4

FY 2019 Quarterly FY 2020 Quarterly —FY 2019 Cumulative

7

U.S. Non-Provisional Patents FiledAs of Quarter One — FY 2020

U.S. Non-Provisional Patents Filed

10 25

9 23

8 20

76

15

I—

Q1 02 03 04

0

FY 2019 Quarterly FY 2020 Quarterly —FY 2019 Cumulative

6

8

U.S. Non-Provisional Patents IssuedAs of Quarter One—FY 2020

U.S. Non-Provisional Patents Issued

2.5 6

2

4

c)3

1

2

0.51

0 0Qi Q2 Q3 Q4

FY 2019 Quarterly FY 2020 Quarterly —FY 2019 Cumulative

I

9

License/Option AgreementsAs of Quarter One — FY 2020

License/Option Agreements Executed4 14

123

10

>

Q1Q2Q3Q40

FY 2019 Quarterly FY 2020 Quarterly —FY 2019 Cumulative

10

Royalty RevenueAsofQuarterOne—FY2020

Royalty Revenue

80,000

70,000

60,000

- 50,000

t 40,000

& 30000

20,000

10,000

FY 2019 Quarterly

250,000

200,000

150,000

100,000

50,000

$30,964$26,404

CU Q2 Q3 Q4

FY 2020 Quarterly —FY 2019 Cumulative

11

Material Transfer Agreements ExecutedAs of Quarter One— FY2020

MTAs Executed

40 37 140

120

FY 2019 Quarterly FY 2020 Quarterly — FY 2019 Cumulative

Qi

12

Confidentiality Agreements ExecutedAsofQuarterOne—FY2020

Confidentiality Agreements Executed

35 120

30 2810096

2580

2060

15

4010

5 20

0 0Qi Q2 03 Q4

FY 2019 Quarterly FY 2020 Quarterly —FY 2019 Cumulative

18

13

I-

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Proposed New Regents Policies:UH Strategic Research Plan and

Research and Training Revolving Fund

BOR Committee on Research and InnovationDecember 5, 2019

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UH BOR Intent

• Set aside RTRF to support strategic researchplans.

• Example of uses:

— Support strategic hiring, including start-uppackages

— Support new facilities or major renovations

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HRS 304A-2253 Board powers

• HRS § 304A-2253 (a) states: “[....] The board ofregents is authorized to expend one hundredpercent of the revenues deposited in the fundfor:” [Emphasis added]

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HRS 304A-2253 Authorized uses

HRS § 304A-2253 continued:

“(1) Research and training purposes that may result in additionalresearch and training grants and contracts;

(2) Facilitating research and training at the university; and

(3) Further deposit into the discoveries and inventions revolvingfund.”

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Strategic Research Plan

• Supports UH Strategic Directions and theResearch and Innovation Long Range PlanningRoadmap by focusing on specific goals andestablishing related strategies to accomplishthem.

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RP 12.209

• Calls for a long-range plan that articulates universitypriorities for pursuing research growth during thefive-year period and identifies specific strategies forimplementing those goals

• In addition to reporting progress made relative to theStrategic Research Plan, the annual report providesan opportunity for recommendations to update orrevise the plan

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RP 12.210

• Minimum of 10% of total RIRE recovered by each campus setaside for strategic hiring in priority research areas (“StrategicResearch Hiring Account”)

• Special assessments from time to facilitate issuance ofrevenue bonds for priority facilities construction orrehabilitation (“Strategic Research Facilities ImprovementAccount”)

• Annual report on use of these accounts, including informationon related revenues, commitments, and ca rry-overs

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Policy Work Group

• OVPRI to set up a working group to:— Discuss reshaping Executive Policy EP 12.216, which will include

discussion on how to implement strategic research plan directives andarticulate how we already invest RTRF toward these objectives

— Develop a new EP to establish guidelines for selecting andimplementing the Strategic Research Plan goals and strategies

• Goal is to finalize drafts by end of fiscal year for consultation

• After the Executive Policies are approved, they will beimplemented the following fiscal year

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Next Steps

• Complete Regents Policies by February 2020for BOR R&l Committee review and BORaction.

• Work on Executive Policies to be distributedfor consultation by the end of FY20.

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DRAFT FOR DISCUSSION

UNIVERSITY Board of Regents Policy, RP 12.209,of HAWAI I® Strategic Research Plan

BOARD OF REGENTS

Page 1 of 2

Regents Policy Chapter 12, ResearchRegents Policy RP 12.209, Strategic Research PlanEffective Date: , 2020Prior Dates Amended:Review Date: August 2023

I. Purpose:

To establish a strategic planning process to achieve and maintain growing, modern,and forward-looking research programs.

II. Definitions:

No policy specific or unique definitions apply.

Ill. Policy:

A. As part of the university’s strategic long-range planning process, as set forth inRegents Policy 4.202, the board will periodically review and approve a long-range plan referred to as the ‘Strategic Research Plan”.

B. The Strategic Research Plan sets forth common system goals and planningprinciples and, as appropriate, specific strategies and directives, to implementthese goals. The plan articulates university priorities for pursuing researchgrowth during the planning period.

C. The president, in consultation with the board, is responsible for updating theStrategic Research Plan at appropriate intervals, but at least every five (5)years.

D. The president or his/her designee shall report to the board at least annually onprogress that has been made relative to the Strategic Research Plan, as well asany recommended updates or revisions to the Strategic Research Plan thatshould be reviewed and evaluated.

IV. Delegation of Authority:

There is no policy specific delegation of authority.

V. Contact Information:

Office of the Vice President for Research & Innovation, 956-5006,uhovprihawaii.edu

VI. References:

• http://www.hawaii.edu/offices/bor

• RP4.202

Approved as to Form:

Kendra Oishi DateExecutive Administrator andSecretary of the Board of Regents

RP 12.209Page 2 of 2

Page 1 of 2 Regents Policy Chapter 12, Research Regents Policy RP 12.210, Research and Training Revolving Fund Effective Date:____________, 2020 Prior Dates Amended: Review Date: August 2023

I. Purpose:

To establish a policy to use Research and Training Revolving Fund moneys to implement priorities established pursuant to the Strategic Research Plan.

II. Definitions:

“Research and Training Revolving Fund” or “RTRF” shall have the same meaning as defined in Section 304A-2253, Hawai‘i Revised Statutes.

III. Policy:

A. In accordance with the board-approved Strategic Research Plan, the university shall:

1. Distribute on an annual basis to the Office of the Provost or Chancellor of each campus a minimum of 10% of the total RTRF recovered by that campus for the purpose of strategic hiring in research areas that are consistent with the priorities in the Strategic Research Plan (“Strategic Research Hiring Account”).

2. Implement special assessments from time to time to establish a common RTRF facilities account. These funds shall be utilized to facilitate the issuance of revenue bonds to finance the construction or rehabilitation of priority research facilities that are required to achieve the Strategic Research Plan (“Strategic Research Facilities Improvement Account”).

B. The president or his/her designee shall report to the board at least annually regarding the use of the Strategic Research Hiring Account and the Strategic Research Facilities Improvement Account, as well as information on the revenue, commitments, and carry-over balances for both Accounts. This report may be incorporated into the annual Strategic Research Plan report to the board under RP 12.209.

IV. Delegation of Authority:

There is no policy specific delegation of authority.

DRAFT FOR DISCUSSION

Board of Regents Policy, RP 12.210, Research and Training Revolving Fund

RP 12.210

Page 2 of 2 V. Contact Information:

Office of the Vice President for Research & Innovation, 956-5006, uhovpri@hawaii.edu

VI. References:

• http://www.hawaii.edu/offices/bor

• RP 12.209

• Section 304A-2253, Hawai‘i Revised Statutes (https://www.capitol.hawaii.gov/hrscurrent/Vol05_Ch0261-0319/HRS0304A/HRS_0304A-2253.htm)

Approved as to Form:

_____________________________ ___________ Kendra Oishi Date Executive Administrator and Secretary of the Board of Regents