of HA\ VAI I UNIVERSITY UNIVEHSITY (if HA! 7 15 AUG27 t\1152 1OAPD OF R[6 H August 26, 2015 MEMORANDUM

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1 Office of the Vice President for Research and Innovation UNIVERSITY UNIVEHSITY (if HA! 7 of HA\ VAI I 1OAPD OF R[6 H SYSTEM 15 AUG27 t\1152 August 26, v - MEMORANDUM U TO: Eugene Bal, Chairperson BOR Committee on Research and Innovation -t< C) m VIA: David FROM: Vassilis L. Vice President for Fesearch and lnnov on SUBJECT: BOR COMMITTEE ON RESEARCH AND INNOVATION AGENDA MATERIALS FOR SEPTEMBER 2, 2015 MEETING Please find attached the following items that will be discussed at the September 2, 2015 BOR Committee on Research and Innovation meeting: Research & Innovation Performance Metrics Applied Research Laboratory (ARL) Awards for FY14 & FY15 Long-Range Plans and Goals for UH Strategic Directions: Hawai i Innovation Initiative (Memo to Chancellors) Research-related Regents Policies: o Notice of Proposed Policymaking for Research RP5 o RP12.201, Ethical Standards of Conduct o RP , Principal Investigator o RP , Right to Investigate and Disseminate O RP , Establishment and Review of Organized Research Units o RP , Research Corporation of the University of Hawai i ( RCUH ) o RP , Regents Awards for Excellence in Research Attachments 2444 Dole Street, Bachman Hall Honolulu, Hawai i Telephone: (808) Fax: (808) An Equal Opportunity/Affirmative Action Institution

2 University of Hawaii Research & Innovation Performance Measures Strategic Directions Plus Five Metric Descriotion Measures Strateeic Directions Invention disclosures Number of new, potentially Generation of new technology X patentable inventions disclosed that could have commercial by UH inventors value US patents issued Number of new US patents Inventions for which UH has X issued to UH inventors exclusive rights to commercialize Licenses/options executed Number of new licenses or Efforts to get UH patents into X license options executed for UH hands of those that could patents commercialize it Start-up companies created Number of new companies Situations in which a new X started utilizing a UH licensed company was started with UH technology technology Total extramural funds received Number and dollarvalue of Confidence and willingness of X new award commitments external sponsors to have UH received by the UH investigators conduct research, training or other sponsored projects STEM degrees awarded Number of new Science Proxy for knowledge transfer X Technology Engineering & from UH faculty to students Math (STEM) degrees awarded to UH students Total R&D expenditures Per National Science Extramural funds received only Foundation (NSF) Higher measures commitments; Education Research & expenditures are used as a Development (HERD) proxy for research activity and expenditures survey, total R&D can be verified from the expenditures from all sources accounting system for UH Manoa Total R&D expenditures pertenured/tenure NSF HERD survey R&D Measures faculty excellence track faculty expenditures divided by using R&D expenditures per Integrated Postsecondary faculty as a proxy Education Data System (IPEDS) tenured/tenure track faculty count for UH Manoa Industry funded research as a percentage of Per NSF HERD survey, Measures engagement with total R&D expenditures perentage of annual R&D business and industry expenditures from the business sector for UH Manoa Other sponsored project expenditures Non-research expenditures R&D centric measures only tell part of the story; in this case expenditures are used as a proxy for non-research activity Licensing royalties received Royalty income received from Commercial value of UH UH patents patents

3 Other New Companies Number of new student or faculty companies that are incorporated in the state and received assistance from the university in the form of entrepreneurial education or training, legal advice, marketing help or services, help in securing financing, accounting assistance, subsidized office space in business incubator, or other Efforts of UH to stimulate local entrepreneurship by providing training, financial or other assistance to start-up companies such as through XLR8UH support Campus competitions (innovation) Number of students Efforts of UH to provide participating in competitions students with hands-on experience in innovation competition (e.g., PACE Breakthrough Innovation Challenge) Campus competitions (general business plans) Number of students Efforts of UH to provide participating in competitions students with hands-on experience in general business plan competition (e.g., PACE Business Plan Competition; UH Retail Business Plan Competition) ilab Concept Impact To be determined -- for Efforts of UH to provide example, number of projects students with access to developed by students utilizing facilities and specialized lab space equipment in order to innovate (e.g., Engineering Fab Lab; in the future i-lab)

4 Invention Disclosures _ Actual Target

5 U.S. Patents Issued ActuM Target

6 License/Option Agreements Executed _5 5 _5 _ Actu& Target

7 Start-up Companies Created Fiscal Year Target Actual 2010 No data No data No data No data No data

8 Extramural Awards fin millions) T zactuai Target

9 STEM Degrees Awarded 2,500 2,000 1, ,969 2, ,444 1,385 1,500 1,328 1,273 I 1,264 1, , Actual Target

10 U. 700K Total R&D Expenditures of UH Manoa Peer Institutions 650K 600K 5586, , $629,466 _ - 550K 500K $494, K 400K 350K 5414, ;932 $367, K 250K 200K 150K FY2O1O FY2O11 FY2012 FY U.HlManoa 4-U.NM -ORStateU. MSStateU. --COStateU. --U.KY U. IL Chicago U. UT -* U. South FL AZ *

11 500,0(X) Total R&D Expenditures by Tenured/Tenure Track Faculty 450, , , , , , ,000 50,000 FY2O11 FY2OU FY2013 U. South FL U. AZ U. OUT MSStateU. OR HI Manoa CO State U. State U. U. U.NM 0KV IL Chicago

12 Industry funded research as a percentage of total R&D expenditures FY 2011 FY 2012 FY 7% 7% 1% 2013

13 Other sponsored project expenditures Type FY 2013 FY 2014 Training $ 65,169,381 $ 70,882,734 Fellowship $ 1,958,446 $ 3,201,445 Other $ 79,562,434 $ 82,946,352 Total $146,690,261 $157,030,531

14 Licensing Royalty Revenue Fiscal vear7 Royalties 2010 $107, $289, $150, $273, $146,991 Total $969,075

15 Other New Companies (e.g., XLR8UH) XRL8UH Cohort No. of Companies FaIl FaIl

16 Student Participation in Entrepreneurship & Innovation Program Timeframe Students/Projects PACE Breakthrough Innovation Last academic year 25 students Challenge PACE Business Plan Competition Last academic year 50 students UH Retail Business Plan May teams of students in FDM 437 Competition (hosted by CTAHR; co- Small Business Start-up class sponsored by Our Kaka ako & PACE) Engineering Fab Lab (student Since projects developed by students access to innovation facilities & specialized equipment)