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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
Accommodation required by law for Persons with Disabilities requires at least (5) five days prior notice to the board office at 956-8213 or [email protected].
Notice of Meeting
UNIVERSITY OF HAWAI‘I
BOARD OF REGENTS COMMITTEE ON RESEARCH AND INNOVATION
Date: Thursday, September 08, 2016 Time: 1:30 p.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 Order
II. Approval of Minutes of the May 17, 2016 Meeting III. Public Comment Period for Agenda Items: All written testimony on agenda
items received after posting of this agenda and up to 24 hours in advance of the meeting will be distributed to the board. Late testimony on agenda items will be distributed to the board within 24 hours of receipt. Registration for oral testimony on agenda items will be provided at the meeting location 15 minutes prior to the meeting and closed once the meeting begins. Written testimony may be submitted via US mail, email at [email protected], or facsimile at 956-5156. Oral testimony is limited to three (3) minutes.
IV. Agenda Items
A. For Information:
1. Research & Innovation Year in Review and FY16 assessment 2. Extramural Awards Q4 FY16 Analysis 3. Update to Research & Innovation long range plan 4. Progress Report on Research Strategic Planning at UH Mānoa
B. For Action: 1. Recommend Approval of Proposal to Repeal University of Hawai‘i
Administrative Rules and Revise Regents Policies, Executive Policies, and Administrative Procedures for Patents and Copyrights
V. Adjournment
BOR Research & InnovationCorn rnittee
FY2016
In Review
UNiVERSITYof HAWAI’F
SYSTEM
Overview
• Accomplishments
• Open Items
• New Action Items
• Highlights
• Performance Metrics
I1\ UNIVERSITYof HAwAI’r 2
SYSTEM
Accomplishments
• Updated five (5) Regents Policies— 12.201 — Ethical Standards of Conduct
— 12.202 — Principal Investigator
— 12.203 — Right to Investigate & Disseminate
— 12.207 — Research Corporation of the University of Hawai9
— 12.208 — Regents Awards for Excellence in Research
f\ UNIVERSITYof HAWAt’1 3
SYSTEM
Accomplishments — Continued
• Adopted additional metrics to supplement the UH StrategicDirections performance measures
— e.g., R&D expenditures; licensing revenue; XLR$UH cohorts; studentparticipants in innovation competitions
• Developed new quarterly report and analysis for thecorn rnittee
• Submitted proposal for the reorganization of the Office ofResearch Compliance; approved by the Board effective March1, 2016
f’\ UNiVERSITYof HAWA[’1 4
SYSTEM
Open Items
• Update RP 12.206 — Establishment and Review of OrganizedResearch Units
• Continue evaluation of long range plan and itsimplementation
• Continue evaluation of management reports (e.g., trendanalyses; comprehensive funding report; fund utilization;RCUH transactions; etc.)
• Monitor F&A cost study progress
UNIVERSITYof HAWAI’I’
SYSTEM
New Action Items
• Update RP 12.205 — Patent and Copyright Policy
• Review reorganization of the Office of the Vice President forResearch and Innovation
• Update UH-RCUH Internal Agreement (e.g., for outdatedHawai’i Revised Statutes references; to reflect currentagreement)
UNIVERSITYof HAWAI’I’ 6
SYSTEM
Highlights
• Launch of UH i-Lab in Match
• XLR8UH awarded EDA grant to expand to rural areas
• sPACE: new innovation space @ PACE-Shidler
• Futute Focus innovation conference, Oct. 5 — 6
• Association of University Technology Managers (AUTM) 2016Western Region Meeting, Nov. 1 —4
• Noelo: inaugural UH research review published
UNIVERSITYof HAwArF 7
SYSTEM
Performance Metrics
• Strategic Directions— Extramural awards
— Disclosures; patents; licenses; start-ups
— STEM degrees
• Supplemental Metrics— Extramural expenditures; F&A recovery
— Royalties; XLR$UH cohorts
• FY 2017 extramural awards forecast
UNIVERSiTYof HAWAI’F $
SYSTEM
Extramural Awards ($ millions)
FY2014
Target Actual
429 392
EY2015
Target Actual
412 425
FY2016
Target Actual
432 0 391
UNIVERSITYof HAWAI’1
SYSTEM
Extramural Awards
— 429.0
500.0
450.0
400.0
350.0
300.0
250.0
200.0
150.0
100.0
50.0
412.0— 417.0‘404.0
436.0 425.0410.0 392.0
2013 2015
— 432.0
391.0
2012 2014
uActual —Target
2016
9
Invention Disclosures
Invention Disclosures
FY2014
Target Actual
590 39
FY2O1S
Target Actual
360 59
FY2016
Target Actual
37 50
f\ UNIVERSITYof HAWAI’r
SYSTEM
70
60
5054
40
3053
20
10
0
56
35
36
59
— 59
39
lActual —Target
50
2012 2013 2014 2015 2016
10
US Patents
20
18 —18
16 16
14 14
12
10 10
8 156 114 8
26
02012 2013 2014 2015 2016
•Actual —Target
FY2014 FY2015 FY2016
Target Actual Target Actual Target ActualUS Patents 1$ 15 9 0 8 10 11
UNIVERSITYof HAWAI’V 11
SYSTEM
Licenses/Options
FY 2014
Target Actual
160 5
FY 2015
Target Actual
40 3
FY2016
Target Actual
4 12
UNIVERSITYof HAWAI’1’
SYSTEM
12
18
16
14
12
10
8
6
4
2
0
Licenses/Options
— 16
14
5
lActual —Target
2012
0
2013
— 4
3
12
— 4
2014 2015 2016
12
3.5
1_ 3
2
1.5 3
1
0.5
02012 2013
Actual —Target
1
FY 2014
Target Actual
Start-Up Companies 3
UNIVERSITYof HAWAI’F
SYSTEM
FY2015 FY2016
Target Actual Target Actual
3
2
Start-Ups
3
2014
3
— 3
20162015
3 3 3 30 1
13
STEM Degrees
2,500
— 2,0672,000. 1,874
1,500
353 1,409
10001,743
14821,22
500
2012 2013 2014 2015 2016
RActual —Target
FY2014 FY2015 FY2016Target Actual Target Actual Target Actual
STEM Degrees Awarded 2,067 1,221 1,353 1,482 1,409 1,743
UNIVERSITYof HAwAIr 14
SYSTEM
Extramural Expenditures500.0
450.0
400.0
350.0
300.0
250.0
200.0
150.0
100.0
50.0
Extramual Expenditures ($ m)
FY2014 FY2015
Target Actual Target Actual
410 420 415 0 400
FY2016
Target Actual
415 0 391
UNIVERSITYof HAWAI’r
SYSTEM
410,0 410.0 — 415.0405.0
2012
— 415.0
20162013 2014 2015
•Actual —Target
15
F&A Recovery
F&A Recovery f$ millions)
FY2014
— 51
Target Actual
510 49
FY2015
Target Actual
520 50
FY2016
Target Actual
52Q 48
f’”\ UNIVERSITYof HAWAI’F
SYSTEM
51
60
50 50
40
30
20
10
0
51 49 50
2012
— 52
48
20162013 2014 2015
ActuaI —Target
16
450.0
Royalties
Royalties ($ thousands)
FY 2014
Target Actual
220 0 119
FY 2015
Target Actual
230 266
FY2016
Target Actual
240 402
UNIVERSITYof HAWAI’i’
SYSTEM
400.0
350.0
300.0
250.0
200,0
150.0
100.0
50.0
200.0
i1.o
2012
210.0
2013
240.0220.0
1c
2014
— 230.0
2660
2015
lActual —Target
2016
17
14
XLR8UH Cohorts
12
10
8
6
4
2
0
— 8
6
2014 2015
U Actual —Target
XLR8UH Cohorts
FY 2014
Target Actual
6
FY2015
Target Actual
10
FY2016
Target Actual
8 12
UNiVERSITYj- of HA\d’r
SYSTEM
10
2016
18
460
440
420
400
380
360
340
Three-Year Average Forecast
UNIVERSITYof HAWAI’1
SYSTEM
FY Target Prediction Actual2013 417 446 4102014 429 405 3922015 412 414 4262016 432 386 3912017 454 410 TBD
2013 2014 2015 2016 2017
—Target —Prediction —Actua’
FY 2017 extramural awards predicted to be $410 million.UH Strategic Directions target is $454 million (stretch goal).
19
BOR Research & InnovationCorn rnittee
Q416 Extramural Awards Analysis
f.\ UNIVERSITYof HAWAI1’
SYSTEM
Overview
• Q416 Recap
• Significant Awards by Campus (0416)
• Annual Recap
• Award Amounts by Location
• ProposalYleld
• Average Faculty Compensation Breakdown by Source of Funds
UNiVERSITY
9:) of HAWAI’I’ 2SYSTEM
Q416 Recap
• Q416 was $102 million, 2.8% less than Q415 ($105 million)
• Unlike Q415, UH Hilo did not receive a one-time $2.5 millionaward in 0416
• According to college & university reporting convention, only$4 million increment of $20 million NSF ‘Ike Wai awardreceived in 0416 counts toward FY 2016 YTD total
UNIVERSITYof HAWA1’r 3
SYSTEM
Significant Awards by Campus (0416)
National ScienceFoundation
Department of Education
UH Foundation
Department ofAgriculture
Department of Defense
Department of Health
N/A
RN Kilo Moana Ship Operations 2012-2016UH Hilo and HawCC Cooperative Arrangement
Development Grant
General Support of UH West O’ahuA Research Work Experience Collaboration Betweenthe Institute of Pacific Islands Forestry and Hawai’i
Community CollegeGenCyber 2016- Cybersecurlty Camp at Honolulu
Community College Combined Advanced Teacher andStudent
Training stipends - DOH-UHKCC for MICT stipends2016-17
N/A
Campus Sponsor Type Sponsor Project Title Amount
Mãnoa
Hilo
West O’ahu
Hawai’i CC
Honolulu CC
Kapi’olani CC
Kaua’i CC
Leeward CC
Maui College
Windward CC
UK System
Hawai9 Gov’t
Department of HumanServices
National ScienceFoundation
UH FoundationNational Science
Foundation
LCC Vocational Skills Training Services For First-To-Work (FTW)
Akeakamai I Ka La Hiki Ola: Scientific ExplorationBeneath The Life-Bringing Sun (NSF ATST Mitigation
Plan)
HKL Castle WCC Paipai’o Ko’olau InitiativeEPSCoR RilTrack 1: Ike Wal: Insuring Hawai’i’s Water
Future
UNIVERSITYof HAWAI’F 4
SYSTEM
Federal
Federal
Non-profit
Federal
Federal
5,361,300
N/A
672,877
50,000
8,000
Hawai’i Gov’t
Federal
81,541
Non-profit
Federal
240,000
N/A
212,488
2,000,000
42,163
4,000,000
YTD Recap
• YTD was $391 million, 8.1% less than FY 2015 ($425 million)
• Large awards received in FY 2015 in comparison to FY 2016account for $33.6 million of the $34 million difference
— $10 million at UH Maui College (last round of DOL-ETA workiorcetraining grant)
— $1.4 million at Hawai’i CC (last increments for two large grants)
— $11.5 million at UH System (md. one very large ARL task order)
— $5 million at UH Hilo (for telescope decommissioning)
— $5.7 million at UH Hilo (last increment of funding for a very largegrant)
f\ UNiVERSITY
of
HAWAI’F 5$
SYSTEM
Extramural Awards$rnillions, Inflation-adjusted
600
500
400
300
200
100
—
iii2011 2012 2013 2014 2015
• 01 • Q2 •03 Q4 • Inflation
2009 2010 2016
2009 2010 2011 2012 2013 2014 2015 2016
01020304fy
t,\ UNIVERSITYof HAwAI’I’
SYSTEM
219 202 265 210 181 167 191 166113 92 83 49 76 75 77 57
56 66 72 47 58 56 53 6670 131 94 144 102 96 105 102
457 492 515 450 417 393 426 391
6
Award Amounts by Location($ millions, inflation-adjusted)
2016-15Campus 2013 2014 2015 2016 ChangeMãnoaHiloWest O’ahuHawai’i CCHonolulu CCKapi’olani CCKaua% CCLeeward CCMaui CollegeWindward CCUH SystemTOTAL
UNIVERSITY
V ol HAWAI’r 7SYSTEM
30715
22
171
420
6
52417
30523
2
01
6
1
1
92
43
393
30624
4
22
524
19
6
52
426
30913
50
3
41
3
115
37
391
0.8%-47.0%44.5%-97.1%48.2%-20.8%-42.7%-12.1%-43.6%-14.8%
-27.7%-8.1%
Proposal YieldLast Seven Years, Unadjusted for Inflation
2009 2010 2011 2012 2013 2014 2015 2016
.39 N/A
Yield: Assumes sponsor takes 9-12 months to make funding decision. Thus, yield is the ratiobetween dollars awarded in following year (FY 16) to dollars proposed in prior year (FY 15) or391/993 = 39%.
UNIVERSITYof HAWAI’1
SYSTEM
Awards f$m)
Proposals f$m)
Yield (next year)
U of Proposals
414
923
0.49
2,736
452
1,246
0.39
2,637
489
1,136
0.38
3,902
436
1,139
0.36
2,009
426
993
410
1,099
0.36
2,174
39’
946
392
1,216
0.35
2,300 2,301 2,412
8
Faculty Compensation BreakdownMethodology
• Based on 12 months of payroll data from KFS/elhority (“cashbasis”)
• All wage object codes
• BU 7 only; did not include BU 67 (<50% ETE ) or EU 87(excluded, Executive/Managerial)
• PeopleSoft faculty job codes— - Researcher
— “5” - Specialist
— “I” - Instructional other than Medicine or Law
— “M” - Instructional (Medical School)
• Average calculated on total dollars bysource of fund forfaculty type
7’ UNIVERSITY- of HAWA1r 9
SYSTEM
Faculty Compensation BreakdownDefinitions
• General — General funds.
• TFSF — Tuition and fee special funds.
• RTRF—Research and training revolvingfunds.
• Extramural — Federal and non-federal grants and contracts;also includes USDA direct appropriations, but excludesvocational education.
• Other - All other sources of funds such as vocationaleducation, gifts, internal service funds, clearing accounts,other R, and other S funds.
f\ UNIVERSITYof HAWAIr 10
SYSTEM
FY 14 Average Faculty Compensation Breakdownby Source of Funds
S faculty
I faculty
M faculty
40%
33%
2 Q%
UNIVERSITYof HAWAIIe
SYSTEM
a General •TSF RTRF •Extrarnural • Other
R faculty 45%
71%
0% 40% 60% 80% 100%
11
FY 15 Average Faculty Compensation Breakdownby Source of Funds
S faculty 43%
I faculty
a General • TFSF RTRF • Extramural • Other
12
R faculty 47%
M faculty
74%
34%
20%0%
UNiVERSITYof HAWA1’1
40% 60% 80% 100%
SYSTEM
R faculty
FY 16 Average Faculty Compensation Breakdownby Source of Funds
50%
S faculty
Ifaculty
M faculty
47%
2 0%
7\ UNIVERSITYof HAWAI’I
SYSTEM
General • TFSF RTRF •Extrarnural •Other
I—
83% 1
37%
0% 40% 60% 80% 100%
13
Extramural Awards 0416 Report
Summary
UH’s extramural awards for the fourth quarter of FY 2016 totaled $102 million, about 2.3% lessthan the amount received during Q4 last year. Unlike 0415, a one-time award of $2.5 millionwas not received in 0416.
The year-to-date total for FY 2016 is $391 million, -8.1% below last year. The overall decrease isdue to a reduction in large awards greater than $1 million received in comparison to FY 2015.This reflects the overall difficulty in obtaining federal funding and the cyclical nature ofextramural funding.
The three-year average forecast of $386 million for FY 2016 was accurate (-1.3% of actual).Based on this methodology, FY 2017 is forecasted to be $410 million. This is in line with the peakand trough pattern we have seen since 2013.
Performance Metrics
0416
Extramural awards for Q416 totaled $102 million, which is $3 million less than the Q415 total of$105 million. Unlike 0415, UH Hilo did not receive a one-time, $2.5 million award in 0416.
Although the large five-year, National Science Foundation award to UH System (EpSCOR) wasreported as $20 million in the press, awards are incrementally funded. In accordance withcollege & university convention, only the first increment of $4 million received in Q416 isreported in 0416 and FY 2016 results.
Extramural Awards$millions, Inflation-adjusted
600
500 — —
400 —
iiIiiiIi2009 2010 2011 2012 2013 2014 2015 2016
•Q1 •Q2 •Q3 Q4 •Inflation
FY 2016
The year-to-date total for FY 2016 was $34 million less than FY 2015, which is a decrease of8.1%. The overall decrease is due to a reduction in large awards greater than $1 million receivedin comparison to FY 2015.
Extramural Awards$ millions, inflation-adjusted
2009 2010 2011 2012 2013 2014 2015 2016
Qi 219 202 265 210 181 167 191 166Q2 113 92 83 49 76 75 77 57Q3 56 66 72 47 58 56 53 66Q4 70 131 94 144 102 96 105 102
FY 457 492 515 450 417 393 426 391
Recap of major decreases
To recap major decreases from FY 2015, there were large federal awards at Maui College ($10million), UH System ($11.5 million) and Hawai9 Community College ($1.4 million). UH Hiloreceived two large awards ($5.0 million) to decommission two telescopes, which could be onetime awards. In addition, UH Hilo received what could be the last increment of funding ($5.7million) in a large federal award. These awards accounts for $33.6 million of the $34 milliondifference between FY 2015 and FY 2016.
While the dollar amount of proposals decreased in FY 2015, the count of proposals remainedthe same as FY 2014 (See Section IV — Proposals and the Rate of Return). Thus, the reduction inawards reflects the overall difficulty in obtaining federal funding in the current environment andthe cyclical nature of extramural funding. If the peak and trough pattern holds true, then FY2017 will be on the upward part of the cycle.
II. Significant Awards by Campus
During Q416, UH received 492 awards from 205 different sponsors. The following table reportsthe largest awards received this quarter by campus.
Campus Sponsor Type Sponsor Project Title AmountNational Science R/V Kilo Moana Ship Operations 2012-
Mãnoa Federal Foundation 2016 5,361,300Department of UH Hilo and HawCC cooperative
Hilo Federal Education Arrangement Development Grant 672,877West O’ahu Non-profit UH Foundation General Support of UH West O’ahu 50,000
Department of A Research Work ExperienceHawai’i cc Federal Agriculture collaboration Between the Institute of 8,000
Pacific Islands Forestry and Hawai’iCommunity College
GenCyber 2016 - Cybersecurity Campat Honolulu Community College
Department of Combined Advanced Teacher andHonolulu CC Federal Defense Student 81,541
Department of Training stipends - DOH-UHKCC forKapi’olani CC Hawai’i Gov’t Health MICT stipends 2016-17 240,000Kaua’iCC N/A N/A N/A N/A
Department of LCC Vocational Skills Training ServicesLeeward CC Hawai’i Gov’t Human Services For First-To-Work (FTW) 212,488
Akeakamai I Ka La Hiki CIa: ScientificNational Science Exploration Beneath The Life-Bringing
Maui College Federal Foundation Sun (NSF ATST Mitigation Plan) 2,000,000HKL Castle WCC Paipai’o Ko’olau
Windward CC Non-profit UH Foundation Initiative 42,163National Science EPSC0R Rh Track 1: Ike Wai: Insuring
UH System’ Federal Foundation Hawai’i’s Water Future 4,000,000
Ill. Award Trends by Campus
Award totals for FY 2016 were behind last year by 8.1%. The decrease affected most campuses.Only Mãnoa, West O’ahu and Honolulu CC showed increases over last year. Please refer toSection I — Performance Metrics, FY 2016 for explanations of major differences between FY 2015and FY 2016.
Award Amounts by Location
$ millions, inflation-adjusted2016-15
Campus 2013 2014 2015 2016 ChangeMãnoa 307 305 306 309 0.8%Hilo 15 23 24 13 -47.0%West O’ahu 2 2 4 5 44.5%Hawai’i CC 2 0 2 0 -97.1%Honolulu CC 1 1 2 3 48,2%Kapi’olani CC 7 6 5 4 -20.8%Kaua’i CC 1 1 2 1 -42.7%Leeward CC 4 1 4 3 -12.1%Maui College 20 9 19 11 -43.6%Windward CC 6 2 6 5 -14.8%UH System 52 43 52 37 -27.7%TOTAL 417 393 426 391 -8.1%
IV. Proposals and the Rate of Return
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; EpSCOR grant and Applied Research Laboratory task orders under the VP for Research and Innovation; and the Pacific BusinessCenter Program under the VP for Community Colleges.
Information on the dollar value of total awards received in a fiscal year versus the dollar value oftotal proposals submitted during the previous fiscal year was used to calculate a yield ratio. Theassumption is that it takes sponsors around 9 to 12 months to make an award decision. Theyield ratio is used in the three-year average forecast formula.
Proposal YieldLast Seven Years, Unadjusted for Inflation
2009 2010 2011 2012 2013 2014 2015 2016
Awards ($m)Proposals f$m)Yield (next year)
# of Proposals
414 452 489 436 410 392923 1,246 1,136 1,139 1,099 1,2160.49 0.39 0.38 0.36 0.36 0.35
2,736 2,637 3,902 2,009 2,174 2,300 2,301
426 391993 946.39 N/A
2,412
The increase in yield to 39% is attributable to the decrease in total dollar amount of proposals inFY 2015.
Three-Year Average ForecastFY 2013 — FY 2016, Unadjusted for Inflation; FY 2017 Forecast
Fiscal Year Years Average Known Yield Target- Prediction Actual
2013 ‘10-’12 1,174 .38(’ll) 417 446 4102014 ‘11-’13 1,125 .36 (‘12) 429 405 3922015 ‘12-’14 1,151 .36 (‘13) 412 414 4262016 ‘13-’15 1,103 .35 (‘14) 432 386 3912017 ‘14 -‘16 1,052 .39 (‘15) 454 410 TBD
Three-Year Average Forecast
FY 2016 awards totaled $391 million, which is very close to the three-year average forecastmodel of $386 million (+1.3%). Using the methodology, FY 2017 awards are forecasted to be$410 million.
460
440
420
400
380
360
340
2013 2014 2015 2016 201?
—Target —Prediction —Actual
NO
MATERIALS
SUBMITTED
ORAL
REPORT
Progress Report on Research StrategicPlanning at UH Mãnoa
M. BrunoVice Chancellor for Research
August, 2016
Overarching Goal: Increase the volume and impact of UH Mãnoaresearch ACROSS disciplines
Five target areas:
1. Improve faculty research development support (across all
academic units and ORUs)
2. Reduce faculty research administrative burden
3. Improve use and support of core research facilities
4. Enable and support student research
5. Understand — and communicate — the impact of research
Research at Mãnoa
> The education of students is the core mission of the University; itis the reason we exist.
Research serves to inspire, inform, and support the educationalmission, from the recruitment of faculty who are leaders in theirprofession to the opportunities for experiential learning in leadingedge laboratories, centers, and studios.
> Service to the community and to the profession ensures that thework of the University is transferred to our constituents andstakeholders for the public good.
3
1. Improve faculty research development support (across all
academic units and ORUs)
• Create a network of Grants Development Offices (GDOs),
websites, newsletters, email lists
• Create a searchable database of faculty expertise, research
projects, scholarly work, and a website network for funding
opportunities
• Faculty incentives for lP development, commercialization
2. Reduce faculty research administrative burden
• Urgent Care Facility for faculty researchers4
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THE BIG_ISSUES:> Comprehensive review of the Organized Research Units
• new ORUs?
• re-organized ORUs?
• new models?
> Expectations for Research Faculty, including teaching. Already underway.
> Strategic hiring, including across Organized Research Units and Academic Units
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Appendix — the full progress report- -
_______
Progress Report on Research StrategicPlanning at UH Mãnoa
M. ErunoVice Chancellor for Research
August, 2016
Overarching Goal: Increase the volume and impact of UH Mãnoaresearch ACROSS disciplines
Five target areas:
1. Improve faculty research development support (across all
academic units and ORUs)
2. Reduce faculty research administrative burden
3. Improve use and support of core research facilities
4. Enable and support student research
5. Understand — and communicate — the impact of research
Process
• Working group began with the VCR Research Advisory Council (RAC)
• RAC sub-committees assigned in each of the 5 target areas
• Each sub-committee then invited additional members to ensure diversity in membership,
remembering that there are many definitions of “research” across campus
• Each sub-committee instructed to engage the wider campus community, via emails, surveys,
focus groups, etc.
• Each sub-committee instructed to be mindful of metrics, milestones, and timelines.
• The report will be prepared using the matrix framework that has already been adopted for
other sections of the Mãnoa Strategic Plan (viewable on the VCAA website)
Members of the Research Advisory CouncilMichael Bruno, Chair Guenther HasingerVice Chancellor for Research, UH Mãnoa Director, Institute forAstronomy, UH Manoa
Paul Brandon Gwen JacobsDirector, Curriculum Research Development Group, College of Education, UH Director, Cyberinfrastructure, Information Technology Services, UH SystemManoa
Philip JohnsonMakena Coffman Professor, Information and Computer Sciences, College of Natural Sciences, UHProfessor, Urban and Regional Planning, College of Social Sciences, UH Mãnoa Manoa
Thomas Ernst Velma KameokaProfessor, Department of Medicine, John A. Burns School of Medicine, UH Manoa Interim Associate Vice Chancellor for Research; Professor, Psychology, UH Mãnoa
Daniel Friedman Hannah LiebreichDean, School of Architecture, UH Mãnoa Graduate Student Organization, UH Mänoa
David Garmire Creighton LittonAssistant Professor, Electrical Engineering, College of Engineering, UH Mänoa Associate Professor, Natural Resources and Environmental Management, CTAHR,
UH ManoaRuth GatesResearcher, Hawaii Institute of Marine Biology, SOEST, UH Mãnoa David Sanders
Astronomer, Institute forAstronomy, UH ManoaMariana GerschensonDirector of Research Services, John A. Burns School of Medicine, UH Manoa Bruce Shiramizu
Professor, Departments of Tropical Medicine; Medical Microbiology andThomas Giambelluca Pharmacology; Pediatrics; Medicine, John A. Burns School of Medicine, UH ManoaProfessor, Geography, College of Social Sciences, UH Manoa
Todd SimerothVernadette Gonzalez Associated Students of the University of Hawai’i, UH MãnoaUndergraduate Research Opportunities Program, Office of UndergraduateEducation, UH Mãnoa Duane Stevens
Professor, Department of Meteorology, SOEST, UH Mänoa
Additional Members of theHanalei AbbottGrant Development Specialist, Social Science Research Institute, College of SocialSciences, UH Mãnoa
Lauren AnzaiInterim Director of Administrative Services, Institute for Astronomy, UH Mãnoa
Philip von DoetinchemAssistant Professor, Physics, College of Natural Sciences, UH Mänoa
Yaa-Yin FongDirector, Office of Research Services, UH System
Marcie GrabowskiOutreach Coordinator, SOEST, UH Mãnoa
J. Kenneth GraceAssociate Dean for Research, CTAHR, UH Mänoa
Bruce HamakawaAdministrative Officer, OVCR, UH Mãnoa
Mark HixonProfessor of Marine Biology, Department of Biology, College of Natural Sciences,UH Mãnoa
Tammy HoResearch Administrator, Grants Development Office, John A. Burns School ofMedicine, UH Manoa
Kevin KellyEPSCoR, SOEST, UH Mãnoa
Strategic Planning TeamKristin KumashiroInterim Dean, College of Natural Sciences, UH Mãnoa
Margaret McFall-NgaiDirector and Professor, Pacific Biosciences Research Center, UH Manoa
Teresa MedeirosDirector of Fiscal Services, SOEST, UH Mänoa
Dan MeisenzahlDirector of Communications, UH System
Peter Mouginis-MarkResearcher, Hawaii Institute of Geophysics and Planetology, SOEST, UH Mãnoa
Kristin PaukerAssociate Professor, Psychology, College of Social Sciences, UH Manoa
Douglas TonokawaAssociate Director of Finance, Research Corporation of the University of Hawaii
Kelli TrifonovitchDirector of Communications Outreach, UH System
JoAnn YuenDirector, Center on Disability Studies, College of Education, UH Manoa
Chad WaltonResearch Program Officer, OVCR, UH Manoa
Research at Mãnoa
The education of students is the core mission of theUniversity; it is the reason we exist.
> Research serves to inspire, inform, and support theeducational mission, from the recruitment of faculty who areleaders in their profession to the opportunities for experientiallearning in leading-edge laboratories, centers, and studios.
> Service to the community and to the profession ensures thatthe work of the University is transferred to our constituentsand stakeholders for the public good. 14
Improve faculty research development support (across all
academic units and ORUs)
15
Overall Goal: Advancing faculty research development to build capacity in units/schools/colleges to support faculty pre-awardactivities.
Activities Responsible Short Term (2 year) Long Term (5 year) Impact Resources
Group Measurable Outcomes Measurable Outcomes
Motivate faculty members OVCR Increase number of sponsored Improve number and quality of faculty Improve the faculty Create a network oftowards fundable research research projects research programs research experience; Grantsendeavors by bringing Metrics: Metrics: create high-quality Developmentawareness of sponsored •# grants submitted # publications/faculty funded research Offices (GDO5),research opportunities or •$ amount of grants submitted •# grants submitted programs websites,research thrusts •$ amount of grants submitted newsletters email
•# grants funded•$ amount of grants funded is s
•Success rate
Identify and eliminate OVCR Determine barriers and • See prior column Promote a culture of Faculty surveyschallenges associated with impediments to sponsored Faculty satisfaction with grant facilitating faculty Faculty interviewsfaculty applying for faculty research; what prevents process pursuit of sponsorship.sponsored research faculty from applying for grantsopportunities •interviews with outgoing faculty
•interviews with incoming faculty
Create vehicles for bringing OVCR; ORS, Part of this effort would be data Significantly increase the number of Increase overall ability Create a searchabletogether faculty for specific Deans; Fiscal collection on what faculty collaborative research efforts of the university to database of facultyfunding opportunities and capabilities, capacity, and respond to the expertise, researchcreating collaborative funding opportunities changing research projects, scholarlymultidisciplinary research •Faculty data collected funding landscape work, and a websiteprojects •Sponsorship data collected network or funding
opportunies
Activities Responsible Short Term (2 year) Long Term (5 year) Impact ResourcesGroup Measurable Outcomes Measurable Outcomes
Design, coordinate and OVCR; ORS; Increase tools/templates/media A stronger pipeline for • Existing websitesimplement services for Fiscal available for faculty to prepare, •# proposals submitted faculty managing and webservicesfaculty applying for grants edit, and review proposals (this •Faculty satisfaction proposals, especially • Email lists to
can be acquisition of products, in •Success rate collaborative make facultyhouse development, and/or proposals, and helping awareorganization of existing products new faculty produce • Feedbackand web-services) quality proposals more surveys forMetrics: quickly improvement•# faculty using services•# proposal errors caught
Hold grant-writing OVCR; ORS; Increase familiarity of faculty to Faculty more familiar Existing grant-workshops (for faculty, OFDAS; Fiscal; the grant-writing process Improved success rate of proposals with the challenges of writing seriespostdoctoral researchers, Deans Metrics: applying for grants conducted atand students) •# grant-writing workshops and ways in which to college levels
•# faculty attending overcome them; better•# proposals submitted prepared for•Faculty satisfaction
responding toopportunities
Faculty-led panels for OVCR; Chairs Increase the campus awareness,faculty and students conversation and culture around # panels held
sponsored research •Awareness by faculty and students
Metrics:•# panels held•Awareness by faculty andstudents
Host visits by agencies, OVCR; OVPRIfoundations, and industry
‘7
Goal: Successful transitioning of sponsored research (post-funding)
Activities Responsible Short Term (2 year) Long Term (5 year) Impact ResourcesGroup Measurable Outcomes Measurable Outcomes
Educate faculty on OVPRI; OTTED Educating faculty on identifying Create a pipeline for faculty to build Faculty are Facultytransitioning research intellectual property and intellectual property from their incentivized and incentives,results to intellectual pathways to protect and research supported to apply Surveys,property transition lP Metrics: for sponsored Feedback,
Metrics: •See previous column research with the Websites, Web•# invention disclosures •# SBIRs, etc applied for possibility of services•# patent applications •# startup companies generated generating IP from•# copyrights •# licenses
which the University•# faculty educated on IP •# patents received
and the faculty canprocess•Awareness of IP benefits financially benefit
18
Reduce faculty research administrative burden
19
Activities Responsible Short Term (2 year) Long Term (5 year) Impact ResourcesGroup Measurable Outcomes Measurable Outcomes
“Urgent care facility”: OVCR; Better support for Pis, especially Sustained support for Pis Improved faculty Urgent CareProvides support to PIs OVPRI(ORS) those from smaller units satisfaction and Facility for facultywith poor administrative Metrics: • Satisfaction surveys
success in researchers;infrastructure, and also • # requests processed externally- Possibly locatedcoordinates cookbooks & • Response times supported within the evolvingIistserv • # PIs supported research, from faculty and staff
• # units supported proposal support office at• # grants supported generation to the Manoa.• $grants supported conduct of
research, to thepreparation offinal_reports.
Create & maintain online Urgent Care Availability & use of cookbooks Improved efficiency for common Urgent care I ITScookbooks I FAQs for Facility, ITS, + Metrics administrative tasks & reduced staff effort & web-common administrative experienced admin • # individual “recipes” posted administrative burden for Pis serverprocedures I sample staff • # clicks I downloads Metricsjustification language (for • Faculty satisfaction as measured byPis) surveys
• decrease in “rejected” or ‘returned”forms to PIs
Listserv (or similar system) Urgent Care Improved clarity regarding Improved clarity regarding administrative Urgent care I ITSfor exchanging ideas & Facility, ITS, & administrative procedures and tasks staff effort & serverdiscussing administrative experienced admin issues. • Faculty satisfaction as measured byissues, for PIs and Admins staff Metrics:
• # new posts on Iistserv surveys
• # responses to new Iistservposts
• # Iistserv users 20
Activities Responsible Short Term (2 year) Long Term (5 year) Impact ResourcesGroup Measurable Outcomes Measurable Outcomes
Regular training for Fiscal Urgent Care Improved training on Improved efficiency in processing Urgent care facilityAdministrators, Research Facility & CR5 & administrative procedures administrative tasks & reduced staff I ORS staffAdministrators, Program CRC, CTTED, administrative burden for Pis effort / RCUH/CRCAdministrators, and Junior Export Controls, Metrics:
& OTTED, ExportPis on grant administration RCUH, FMC • # training sessions offered Metrics:
Controls and FMO• # attendees • Faculty satisfaction as measured by• # subjects/topics offered surveys
Business improvement OVCR; CVCAFC; Simplification & standardization Reduced administrative burden for Pis Faculty, uppercommittee (related to CVPRI (ORS, of common administrative tasks admin, ORS, CRC,grants administration) CRC, CTTED, Metrics:
Export Controls,Export Controls); • Faculty satisfaction as measured by
CITED, RCUHRCUH surveys
and FMC• time reduction in common
administrative tasks
Two potential “bold action” items were discussed by the subcommittee:Change culture of “risk aversion” amongst administrators to encourage an innovative yet compliant approach byproviding continuing education and training. Increasing the knowledge base of administrators will promote “problemsolving” in facilitating research. (rationale: risk aversion commonly results in unnecessary paperwork and thusincreases administrative burden to Pis)
Have State Auditors review “administrative efficiency” in addition to “compliance”. (rationale: this would mirror arecent change in Federal Audits)
21
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Activities Responsible Short Term (2 year) Long Term (5 year) Impact Resources
Group Measurable Outcomes Measurable Outcomes
Gather data about Core Facilities Comprehensive inventory of core Improved core facilities Improvements in OVCR, OVPRIcore research Subgroup facilities services infrastructure research productivityfacilities Research
Consolidation of services, less Improved business models in Enhanced recruitment infrastructure grantsduplication of resources place of new faculty
College RTRFSustainable funding Better support of
young faculty Fee for servicerevenue
Modern, more efficientcores Subscription/license
feesSustainable models ofcore_support
Engage campus Core facilities Identification of best practices Improved communication across Improvements to Core Directorsstakeholders in directors, OVCR and duplication of effort cores, leveraged resource services and supportdiscussion of best sharing Access to trainingpractices Improved business models Increase in research venues
Network of core expertise skills from trainingStrategic grant support professionals opportunities Administrative
supportIncrease in training opportunities Strategic leveraging of
investments andImproved sustainability models human resources
Create a ITS-Cl, OVCR Online searchable information Strategic planning linked to data Increase in research OVCR, OVPRI,clearinghouse for resource for campus core productivity ITS-Clresearch core facilities Easy identification of campusfacilities needs Easy access to
Improved access to campus resources and servicesresources
JH System Search
JOHN A. BURNSSCHOOL OF MEDICINE
MAKA GIFT UH FOUNDATION
)ABSOM Search
The John A. Burns School of Medicine is committed to the support and enhancement of crucial cores to encourageresearch. The preeminent goal of a core is to provide excellent service to a growing cadre of investigators from anenlarging circle of departments and institutions. Cores aim to maintain growth and enhance sustainability of coreservices. Most cores have three primary goals: service, teaching, and creation of new knowledge. Each core providesaccess to the latest techniques required by investigators to support hypothesis-driven research. Cores develop andimplement training and education workshops. Cores also develop innovative and improved techniques, newtechnologies or applications of expertise in its field. By centralizing services and resources within cores, researchers are
Learn Care Discover
ABSL-3/BSL-3 BlocontainmentCore
Connect
Biolnformatics Core
About Us
Bioreposltory Core
Biostatistics Core
Genomics Core Facility
Hlstopathology Core
Magnetic Resonance Imaging(MRI) Core
Microscopy — Imaging Core
Cores
Molecular and CellularImmunology Core
Murine Behavior andElectrophysiology Core
Murine Phenotyping Core
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Activities Responsible Group Short Term (2 year) Long Term (5 year) Impact ResourcesMeasurable Outcomes Measurable Outcomes
(1) Provide more OVCR Increased number of Doubled number of • Improved • New mechanisms toopportunities for undergraduates doing research undergraduates doing research undergraduate measureundergraduates to do educational experience, undergraduatementored research Metrics: Metrics:
via an enhanced research involvement• # undergrad honors theses, • Increased UROP fundingresearch culture across campusother theses, and undergraduate • NSF REU site program
• Improved student including atresearch experiences. retention departmental level• # awards and amount of funding
• Creation of a Centerfor undergraduate researchfor Undergraduate• NSF REU funding levelResearch• # undergraduate student
publications• #undergraduate student
presentations
(2) Identify existing OVCR List of programs, projects, faculty An increase in existing • Improved awareness • Creation of a Centerprograms for currently providing student undergraduate and graduate of existing opportunities for Undergraduateundergraduate and research opportunities research opportunities • New collaborations Researchgraduate student research across faculty • Engagement with
OGE• Campus-wide survey
(3) Identify and eliminate OVCR List of barriers and impediments Elimination of barriers and Create a research- • Student surveychallenges associated with to undergraduate and/or impediments friendly culture by • Faculty surveyundergraduate and graduate student research facilitating the • Program surveygraduate student research undergraduate and • Creation of a Center
graduate student for Undergraduateresearch experience Research
• Engagement withOGE 26
Activities Responsible Group Short Term (2 year) Long Term (5 year) Impact ResourcesMeasurable Outcomes Measurable Outcomes
(4) Encourage & facilitate OVCR, OVCAA List of programs with an Increase in programs with Improved Creation of a Centerprograms to have an undergrad research requirement undergrad research requirement undergraduate for Undergraduateundergraduate research educational experience, Researchrequirement via an enhanced
research culture.(5) Publicize OVCR Increased awareness of All undergraduate and graduate Students at UHM • Creation of a Center
undergraduate and undergraduate and graduate students have ready access to list understand and take for Undergraduategraduate student research student research opportunities of active research opportunities advantage of research Researchopportunities across campus opportunities for more • UH announcements
fully-rounded (e.g., Ka Leo; Theeducational experience Manoa Graduate, etc.)
(6) Continue GA tuition OVCR; OVCAA; GA tuition waivers still available GA tuition waivers still available Facilitation of graduate Engagement withwaivers UHM Chancellor’s Increased number of GAs research OGE
Office(7) Credit faculty for OVCR; OVCAA Formalized faculty credit for Double the number of faculty Increase in faculty and • Teaching credit for
mentoring undergraduate mentoring undergrad research to mentoring undergraduate student research and mentoring researchresearch increase number of faculty research. scholarship • Course release for
mentoring undergrad research; mentoring studentresearch
• UHPA involvement• TPRC guidelines
(8) Communicate the value OVCR Increase in number of All undergraduate students aware Increase in awareness Creation of a Centerof research to undergraduate students aware of of value of incorporating research of value of research in for Undergraduateundergraduates value of research experience in education an undergraduate Research
degree
27
Hawaiian Place of Learning: Alignment with Strategic Planning Committee Enqacied Scholarship WorkingGroupAs part of the Achieving Our Destiny Strategic Planning Committee, a working group on Engaged Scholarshiprecommended in Spring 2013 targeted research support for Native Hawaiian Community Engaged Scholarship.The requested funds (initial commitment of $100,000 annually to be divided between student and faculty support)were to be used to support: (1) Native Hawaiian student or faculty members in any academic field whose workintends to advance Native Hawaiian communities; and (2) any student or faculty member participating in NativeHawaiian community-engaged scholarship. The RAC recommends that the student portion of this 2013 initiativebe revitalized and funded consistent with the research strategic goal to ‘Enable and Support Student Research’ asit would directly support many of the proposed activities.
Center for Undergraduate Research (CUR)Many of the recommendations are aligned with the creation of a Center for Undergraduate Research (CUR) atUHM. The UHM-CUR would: (1) house the Undergraduate Research Opportunity (UROP) program on campus;(2) be a clearinghouse of information for undergraduate research opportunities across campus, primarily via apublically accessible CUR website, but also through workshops and other events;(3) support an undergraduate journal devoted to publishing undergraduate research;(4) coordinate undergraduate research presentations across programs on campus; and(5) support faculty grant applications for and administration of NSF-Research Experiences for Undergraduates(REU) programs focused on funding undergraduate research on campus. The CUR would coordinate with Pis tocreate research foci, facilitate the submission of NSF-REU grant proposals, and help with the overalladministration of funded programs. We envision a minimum of three additional NSF-REU site programs acrosscampus accommodating —150-200 students annually. In addition, the CUR would be a valuable resource for anyP1 asking for NSF-REU supplemental funding for funded NSF research proposals.
Understand — and communicate — the impact of research
29
Activities Short Term (2 year) Long Term (5 year) Impact ResourcesMeasurable Outcomes Measurable Outcomes
Identify and network Comprehensive map of Highly visible network of Improved coordination OVCR, OVPRIcommunications communications network communications professionalspersonnel and capacity Increased efficiency Buy in from all unit heads
Defined network of communicators Strategic hiring to build or replace (reduced redundancy)communications personnel (socialmedia) Identify resource needs
Define best practices Network developed best practices, State, nationally and Streamline and increased use Increased resourcefor identified audiences and standard operating procedures internationally recognized model of communications services allocation G- fundedand media types . . . for communicating impact of positon(s) RTRFtailored to be meaningful to diverse . .
. . research and training Stimulate funding (developaudiences (local and national capacity for broader impacts) Project managementmedia, legislators, social media capacity, meeting spacesusers)
Interact research and Dedicated, dynamic website for Increase diversity and number of Increased visibility and OVCR, OVPRI. ITS, alltraining activities with communication. Platform communication products transparency unitscommunications showcasing outreach activities, generatedcapacity library of best practices, SOPs Increased awareness of the Administrative support
contacts and tools. Increase in importance, variety and value of# audiences targeted UH research and training to the IT budget, dedicated
Increased use of the # website hits from state, national state, nation and world webmaster andcommunications resources and international sources communication network# website hits — within UH system # outside media queries for Increased attractiveness and coordinator# direct contacts experts commentaries on findings competitiveness# outreach products of others or outreach participation Buy in from deans and# tools used directors
Activities Short Term (2 year) Long Term (5 year) Impact ResourcesMeasurable Outcomes Measurable Outcomes
Highlight Hawaii’s Coordinated communications Thematic outreach campaigns, Evidence of cross disciplinary Project manager/thematicunique research activities built to be multidisciplinary and interaction. A showcase for our coordinatorthemes, training dynamic, reflecting new collaborative and modernframeworks and knowledge or new cohort activities university environment Strategic planningfacilities # teams assembled and over time
coordinated Stimulation of programmatic Administrative buy in# products generated # themes scale fundingDiversity of players (people, units) # users and viewers# views and mentions
Communications and Regular training workshops — how Outreach as an expectation, as Work force development, new OVCR, OVPRI. Collegeoutreach training to message, different mechanisms the norm for all. skills training RTRF
for distribution, tuning to audience(local and national media, State, nationally and Meeting roomslegislators, social media etc.) internationally recognized for
research and training — higher Budget for trainers# participants position on comparative indices
# frequency of workshops# outreach products generated
Interact and capitalize Capacity interacted with appropriate Generating and maintaining State, national and international OVCR, OVPRI. Collegeon unique off- campus units (e.g. Waikiki aquarium with exhibits as part of student training recognition for unique research, RTRFresources as venues HIMB, Kewalo Marine Lab and the training and physical capacity.for outreach undergrad and grad marine biology Dynamic exhibits and lecture Budget
students researchers series showcasing cutting edge Increased buy in and resourcingknowledge Buy in from unit heads
# exhibits showcasing UH research and unit personnel# visitors Engaged local community, larger# of media mentions volunteer network
THE BIG ISSUES:Comprehensive review of the Organized Research Units
• new ORUs?
• re-organized ORUs?
• new models?
Expectations for Research Faculty, including teaching
Strategic hiring, including across Organized Research Units and AcademicUnits
32
Next Steps
• Early Fall — socialize recommendations more widely via website,
faculty and staff surveys, and several Research Town Halls
• Finalize recommendations and action plans by December, 2016
33
Office of the Vice President for Research and Innovation
UNIVERSITYof HAWAIi®
SYSTEM
U!VESITY OHHLOARO Or FE(:: H
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MEMORANDUM
August 30, 2016
SPECIFIC ACTION REQUESTED:
We respectfully request that the Board of Regents (BOR) Committee on Research andInnovation approve in concept a 2-track approach (for convenience, called Track 1 “Format” andTrack 2 “Content”) to streamline and update existing University of Hawaii (UH) public rules,regents’ policies, executive policies, administrative procedures, and collective bargainingagreements on University-generated patents and copyrights, and allow the Office of the VicePresident for Research sufficient flexibility to implement the plan.
RECOMMENDED EFFECTIVE DATE:
The recommended effective date is upon Board approval.
ADDITIONAL COST:
A significant portion of the cost to implement these activies is currently budgeted within theadministrative or support costs for the research and training mission of the University. It may benecessary to consult with external attorneys who specialize in patent law to assure that newsubstantive content complies with federal requirements.
2444 Dole Street, Bachman HallHonolulu, Hawai’i 96822
Telephone: (808) 956-5006 • Fax: (808) 956-5286
An Equal Opportunity/Affirmative Action Institution
TO:
VIA:
FROM:
SUBJECT:
Eugene Bal III, ChairpersonBoard of Regents Committee on Research and Innovation
David LassnerPresident
Vassilis L. SyrmcVice President for esearcn and Innovation
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RECOMMEND APPROVAL OF PROPOSAL TO REPEAL UNIVERSITY OFHAWAI’I ADMINISTRATIVE RULES AND REVISE REGENTS POLICIES,EXECUTIVE POLICIES, AND ADMINISTRATIVE PROCEDURES FORPATENTS AND COPYRIGHTS
Chairperson Eugene Bal IllAugust 30, 2076Page 2
PURPOSE:
This plan will integrate the various internal University policies and procedures into a morecoherent set of authorities, and in this manner promote the strategic initiative to achieve a highperformance system of higher education. Updating the content to reflect current peer universitypractices on intellectual property also supports the Hawai’i Innovation Initiative.
BACKGROUND:
Current University Policies for Patent and Copyright
Current University Public Rules recognize the interests of several entities in intellectual propertycreated by University employees: the University, the public interest, the creator’s/inventor’sinterests, and if applicable, the entity that funded the research that created the intellectualproperty. These interests are, at times, best served if the newly created intellectual property isfreely and immediately disseminated and shared within the University, with the larger researchcommunity, and with the public and private sectors. At other times, it may be more appropriateif the ownership rights to the intellectual property and the corresponding rights to the revenuestreams were established and clearly allocated between and among the “inventor” of theintellectual property, and the University as the employing institution, and the general public, orthe private company sponsoring the research.
Current University procedures describe the process by which the inventor must disclose apotentially patentable discovery, the disclosure forms to use, and role and responsibilities of theUniversity’s Patent and Copyright Committee. Current policies describe how the costs to obtaina patent or a copyright may be allocated among the University parties. Current policies alsodescribe how licensing fees or royalty revenues from third parties wishing to license theintellectual property is shared between the faculty or staff creator and the University.
Current Format
There are currently 5 sites where the University policies and procedures on patents andcopyrights may be found:
• Administrative Rules (interchangeably called “Public Rules”) established under HRSChapter 91. The University’s administrative rules on Patents and Copyright are currentlylocated at Title 20, Chapter 3 (last revised in June 22, 1981). Chapter 3 is attached asAttachment 1.
• Regents Poilcy on Patent and Copyright currently designated as RP 1 2.205 (lastapproved as to form on October 31, 2014). Regents Policy 12.205 is attached asAttachment 2.
• Executive Policy on the Administration of Patent and Copyright currently designated asEP 12.205 (last approved as to form on October, 31, 2014). These Executive Policiesare attached as Attachment 3.
Chairperson Eugene Bal IIIAugust 30, 2016Page 3
• Administrative Procedures including AP 5.500 “Procedures for Invention Identification,Disclosure and Reports under State Funding; AP 5.501 “Procedures for Copyrights ofWork Produced for Hire”; and AP 5.502 “Procedures for Invention Identification,Disclosure and Reports under Extramural Contract Patent Clauses.” TheseAdministrative Procedures are attached as Attachments 4a, 4b, and 4c.
• Collective Bargaining Agreements with any of the several bargaining units within theUniversity, such as Article Xl Intellectual Property, Patents, and Copyrights” in thecurrent 2015-2017 UPHA-BOR Contract with faculty. Article XI is attached asAttachment 5.
Summary of Proposed Approach to Integrate and Update Policies
Track 1 (Format) will relocate the content of the Public Rules, Chapter 3, Title 20, to moreappropriate sections of the Board of Regents Policies (RP 12.205) or the Executive Policies (EP12.205). After the content of Chapter 3 has migrated to internal University polices, and after theBoard has approved the revised Regents Policy, Chapter 3 in its entirety would be repealed viaan expedited repeal procedure permitted by HRS § 91-3(f). Formatting simplification alsoenvisions that the content of the Administrative Procedures would be integrated into the currentExecutive Policies and reformatted as Executive Policies and Procedures. After theAdministrative Procedures have been integrated into the Executive Policies and Procedures, theAdministrative Procedures can be repealed. In this manner, the current set of five types ofdocuments where policies, procedures, and guidelines for Patents and Copyrights at theUniversity can be found will be consolidated and coherently integrated into three types: (a)Regents Policies; (b) Executive Policies and Procedures; (c) applicable Collective BargainingAgreements.
Track 2 (Content) will update the substance of the consolidated Regents Policies, ExecutivePolicies and Procedures, and relevant collective bargaining agreements to reflect currentpractices among peer research universities, to reflect recent organizational realignments andrevised delegation of authority within the University, and to ensure coherence and consistency.Faculty and professional staff unions will be consulted throughout this Track 2, because thisTrack will review pertinent provisions in the collective bargaining agreements.
PROPOSED TRACK 1: CONSOLIDATING AND INTEGRATING FORMAT
A. Moving Public Rules Content to Internal Policies, Approving the Revised RegentsPolicy and Executive Policy, and Thereafter Repealing Public Rules
A cross-walk indicating where existing sections of Public Rules, Chapter 3 migrate isattached as Attachment 6. A pro forma text of the proposed Regents Policy and Executivepolicies, subject to further review, consultation, and if necessary negotiation with affectedUniversity employee unions, are attached as Attachment 7 (Regents Policy) and Attachment8 (Executive Policy). After the Regents Policy reflecting the content of Chapter 3 isapproved the University will seek to repeal Chapter 3 in its entirety.
Chairperson Eugene Bal IllAugust 30, 2016Page 4
1. Justification to Replace Administrative Rule with University Policy.
Current Public Rule Chapter 3, Title 20 applies to research work and invention“performed in the university by or under the direction of the research and teaching staffsof the university.” The Chapter 3 procedures set forth how “persons employeed by theuniversity” submit their ideas for patentable inventions “through their immediatesupervisor to a university patent and copyright committee.” Notably, Chapter 3 does notgovern how residents of the State of Hawai’i may disclose, obtain, protect, or transferpatents or copyrights.
It is thus not appropriate that these University policies be formatted as an AdministrativeRule, subject to the Chapter 91 procedures to adopt, amend, and repeal public rules.See, definition of “Rule” for purposes of HRS § 91-1 (“Rule” does not include regulationsconcerning only the internal management of an agency and not affecting private rights ofor procedures available to the public, nor does the term include declaratory rulingsissued pursuant to section 91-8, nor intra-agency memoranda.)
In addition, because patent and copyrights are regulated, fundamentally, at the federallevel, repealing a University public rule will have minimal impact on the basic principlesand doctrines of patents and copyrights applicable to the public.
2. Expedited Process to Repeal a Chapter of a Public Rule
Section, HRS § 91-3(f) provides an expedited procedure to repeal an entire section orchapter of an administrative rule. A copy of HRS § 91-3 is attached as Attachment 9.The two essential steps to repeal an entire chapter of an agency’s public rules include(1) informing the public via a 30 day published notice of the chapter to be repealed, theproposed date of the repeal, and the location where the chapter may be reviewed inperson, and (2) posting the full text of the chapter to be repealed on the Internet.
This expedited process may be extended, however, if an interested person petitions theBoard to reject the repeal of Title 20, Chapter 3. If the Board concurs with the petitioner,the Board may direct a public hearing in accordance with HAR § 20-1-21(c). We areconfirming with the Governor’s office whether Governor approval is required for theexpedited repeal process.
B. Integrating Executive Policy with Administrative Procedures, Approving revisedExecutive Policy and Procedures, and Thereafter Repealing AdministrativeProcedures
The second component of Track 1 (Format) is to move the content of the AdministrativeProcedures, currently found in Administrative Procedures AP 5.500, (Procedures forInvention Identification, Disclosure and Reports under State Funding); AP 5.501 (Procedurefor Copyrights of Work Produced for Hire); AP 5.502 (“Procedures for InventionIdentification, Disclosures and Reports under Extramural Contract Patent Clauses”) into anew format to be called “Executive Policies and Procedures” (EPPs).
Chairperson Eugene Bal IIIAugust 30, 2016Page 5
The new EPP format is a recommendation of a system wide task force to streamlineUniversity Systemwide Policies and Procedures Information Systems. An integrated EPPon Patent and Copyrights will be one of the first subject matters to be placed in this newEPP format. During the consolidation, overlapping and duplicative sections of theAdministrative Procedures will be eliminated, and the substantive policy provisions will bemore tightly integrated with the implementing procedures.
A pro forma Executive Policies and Procedures for Patent and Copyrights that integrates theExecutive Policies with the Administrative Procedure is not available at this time. BecauseBoard approval is required for revisions to Regents Policies, the priority task is to move thecontent of Chapter 3, Title 20 to Regents Policy for approval, and subsequently repealChapter 3. Consolidating the Executive Policies with the Administrative Procedures,approving the new Executive Policies and Procedures, and thereafter repealing the internalAdministrative Procedures can be accomplished by the administration at a later date.
PROPOSED TRACK 2: CONTENT UPDATE TO REFLECT PEER PRACTICES ANDUNIVERSITY ORGANIZATION
In parallel with the reformatting the Public Rules, the Regents Policies, and the ExecutivePolicies and Procedures, the content will be updated, in consultation with affected faculty and, ifapplicable, consultation with administrative, professional and technical staff. The contentupdate may cover the following topics:
• Updating references to reflect current names of committees and UH administrative titles.
• Clarifying the totes and interaction of the University Patent and Copyright Committeeand Office of Technology Transfer and Economic Development (OTTED) staff in theinvention disclosure review and patenting decision making processes.
• Possibly incorporating language regarding educational materials and distance learningfrom collective bargaining agreements into the policy and procedure.
• Permitting new technology and forms for invention disclosures (e.g., myinvention) andcopyright notifications.
• Developing guidelines or policies for data ownership and management, includingresearch materials.
ACTION RECOMMENDED:
It is recommended that the BOR Committee on Research and Innovation approve in conceptthis 2-Track approach to reformat and update University policies and procedures for Universitygenerated patents and copyrights, in particular, the placement of Chapter 3 content into BoardPolicy or Executive Policy, approval of the revised Board Policies, and expedited repeal ofChapter 3 thereafter. If the Committee concurs, it is requested that this 2-track plan be forward
Chairperson Eugene Bal IIIAugust 30, 2016Page 6
to the full Board with a Committee recommendation to approve the approach with sufficientflexibility delegated to the Vice President for Reseach and Innovation to implement.
Attachments
1) Current HAR Public Rules, Title 20, Chapter 32) Current RP 12.205, Patent and Copyright Policy3) Current EP 12.205, Administration of the Patent and Copyright4) Current Administrative Procedures: a) A5.500; b) A5.501; C) A5.5025) Current UHPA Article Xl6) Migration Cross-Walk from Title 20 Chapter 3 to Regents Policies or Executive Policies7) Pro Forma Regents Policy following Rule Migration8) Pro Forma Executive Policies following Rule Migration* [to be supplied with or without
integration with Administrative Procedures]9) HRS § 91-3 Procedure for adoption, amendment, or repeal of rules.
c: Cynthia Quinn, Executive Administrator and Secretary to the Board of Regents
Attachment 1
Viewing Policy RP 12.205
Title
Patent and Copyright Policy
Header
Regents Policy Chapter 12, ResearchRegents Policy RP 12.205, Patent and Copyright PolicyEffective Date: Mar. 17, 2011 Prior Dates Amended: Oct. 31, 2014 (recodified)Review Date: August 2019
I. Purpose
To set forth policy regarding patents and copyrights.
II. Definitions
No policy specific or unique definitions apply.
III. Board of Regents Policy
A. (See Administrative Rules, Title 20, University of Hawai‘i, Chapter 3 and appropriatecollective bargaining agreement.)
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, [email protected]
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Attachment 2
approved as to Form: Cynthia Quinn
October 31, 2014 Date
VI. References
A. http://www.hawaii.edu/offices/bor/ B. http://hawaii.edu/offices/bor/adminrules/chapter03.pdf C. http://www.hawaii.edu/ohr/docs/collbarg.htm D. EP 5.500
VII. Exhibits and Appendices
No Exhibits and Appendices found
Approved
Executive Administrator and Secretary of the Board of Regents
Topics
No Topics found.
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Viewing Policy EP 12.205
Title
Administration of the Patent and Copyright
Header
Executive Policy Chapter 12, Research Executive Policy EP 12.205, Administration of the Patent and Copyright Policy Effective Date: October 2014 Dates Amended: March 1985Responsible Office: Office of the Vice President for ResearchGoverning Board of Regents Policy RP 12.205, Patent and Copyright PolicyReview Date: August 2019
I. Purpose
A. To define, clarify and protect the rights and equities of inventors and authors, theUniversity, the Research Corporation of the University of Hawai‘i, any governmental orprivate sponsor of research, and the public, with respect to inventions and original works,by providing for just and equitable recognition of the legitimate interests of each of theabove in such inventions and works.
B. To encourage broad utilization of the results of University research and to provide avehicle for the transfer of new technology and ideas from the University to the communityat large, by permitting exploitation (both commercial and otherwise) in the public interestand for the public benefit, in a manner consistent with the integrity and objectives of theacademic process, including the goal of public dissemination of the results of research.
C. To stimulate innovative and creative scholarship, research and writing and itsrecognition, by facilitating where appropriate the receipt of fair economic rewards therefrom in the form of royalty payments to inventors and authors from licensees (in the caseof inventions) and publishers (in the case of written or similar works).
D. To protect and benefit scholars and researchers in the University by promotingrecourse to the patenting and copyright process and by providing information, support andliaison concerning the procedures and problems involved therein.
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Attachment 3
E. To encourage and assist scholars and researchers in identifying potentially patentable discoveries, to require prompt and early reporting thereof to the Patent and Copyright Committee and to promote scholarly publication concerning such discoveries in a manner that does not prejudice the obtaining of a patent.
F. To devise and promulgate clear and practicable regulations, procedures and forms for the reporting and disclosure of original works that may be copyrightable, discoveries that may prove patentable and the timely prosecution of patent applications in appropriate cases.
G. To provide for the patenting or licensing or both of any invention or the copyrighting and licensing or both of any work, where appropriate, through the H. Patent and Copyright Committee or a patent management organization or publishing entity designated by that Committee.
I. To protect the rights, as agreed, of any government or private sponsor of research in any invention or work that may be generated by such research, and to ensure compliance with the other terms of any such research grant.
J. To protect the rights of the University in inventions or other original works which result from the use of University funds or facilities by faculty, employees, students or trainees.
II. Definitions
No policy specific or unique definitions apply.
III. Executive Policy
RP 12.205 of the University of Hawai‘i Board of Regents Bylaws and Policies establishes the University Patent and Copyright Policy.
Because it is desirable and expedient for the University of Hawai‘i to provide uniform rules and procedures for the regulation and administration of intellectual property rights generated by the activities of its faculty, employees and others associated with the University, the following objectives, policies and procedures are established for the University's administration of the Patent and Copyright Policy.
A. PATENT AND COPYRIGHT COMMITTEE (PCC)
1. Membership of PCC: The PCC shall consist of the following ten persons:
a. The incumbent Director of Research of the University of Hawai‘i or his or her designated representative, who shall serve as the Chairman and Convener of the PCC.
b. Two representatives of the Research Corporation of the University of Hawai‘i (RCUH) may be appointed by the Executive Director of the RCUH for three-year terms.
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c. Director of Procurement and Property Management.
d. The Legal Consultant to the PCC, who shall be an ex officio non-voting member.
e. Five persons selected from among the faculties and administration of the University and appointed by the President of the University or his designee for a period of three years.
2. Meetings of PCC:
a. The PCC shall meet as often as the Chairman and Convener deems necessary, save that there shall be at least one meeting per academic semester.
3. Powers and Duties of PCC:
a. The PCC shall have the following powers and duties:
(1) To interpret and apply the Patent and Copyright Policy.
(2) To evaluate inventions for patentability, scientific merit and economic feasibility, and where desirable to seek expert advice to assist it in making such determinations.
(3) To decide on the category into which an invention or original work falls for the purposes of determining who has or shares the equity therein.
(4) To determine the patent or related rights or equities of the University and other interested parties in an invention and to decide on the appropriate division of royalties.
(5) To assign inventions to the RCUH for the evaluation, patenting and licensing of inventions, and to procure the receipt of royalties or other benefits by the University, provided that, notwithstanding the above, any royalty agreement may in the discretion of the PCC provide for payment of royalties into a special fund maintained by RCUH and administered in accordance with the wishes of the University of Hawai‘i solely for research, development and other educational purposes.
(6) To release patent rights to the inventor in the absence of overriding obligations to outside sponsors of research, in cases where it is deemed equitable or appropriate to do so, subject to the written approval of the President or a person designated by the President.
(7) To submit its decisions on patent and copyright matters to the President of the University, or to a person designated by the President for such purposes.
(8) To provide assistance and advice to faculty and other research personnel concerning all aspects related to the patenting of inventions and the copyright in original works.
(9) To ensure an effective system of patent and copyright administration by means
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of an ongoing review of applicable policies and procedures and to make reports and recommendations to the President thereon.
(10) To do all things necessary to achieve the objects of the Patent and Copyright Policy, without being limited by the specific powers and duties enumerated above.
4. Appeals from Decisions of PCC:
a. Any person aggrieved by any decision of the PCC may appeal to the President of the University or his designated representative. Such appeal shall be in writing, shall state the grounds of appeal and shall be submitted to the President or such representative within THIRTY (30) days after notification of the ruling of the Committee. The decision of the President or his designee shall be final and binding.
B. PATENTS
1. When University has exclusive Patent Rights:
a. Subject to the provisions of the Policy with respect to relinquishment of rights and royalty sharing, the University shall have exclusive patent rights and title in and to any invention or discovery which emerges from any research, development or other program funded by the University, or is conceived or developed wholly or partially at the expense of the University or with the aid of its equipment, facilities or personnel.
2. When Inventor has Exclusive Patent Rights:
a. The University shall relinquish all rights to the inventor in the following cases:
(1) If the invention or discovery is adjudged by the PCC to have been made by the inventor independently of any contractual obligations to the University and without using University equipment, facilities or funds provided by the University or an outside sponsor.
(2) If the invention or discovery is a result of permissible consulting activities without any use of University facilities or of funds derived from the University or an outside research sponsor.
(3) If the invention or discovery was made with the aid of University facilities or funds, but the PCC, with the written approval of the President or his designated agent decides to waive the University's rights or equity therein.
3. Reporting Inventions:
a. All employees of the University, nonemployees who use University research facilities and those who receive grant or contract funds through the University shall promptly report and fully disclose any ideas for and/or reduction to practice of a potentially patentable invention or discovery to the PCC. The following procedure shall apply to such report and disclosure:
(1) The report and disclosure shall be submitted in writing at the earliest
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opportunity to the departmental head or immediate supervisor and shall include a written statement certifying whether the potentially patentable invention or discovery was the result of private research done independently of any contractual obligations to the University and without using University equipment, facilities or funds, or whether it was the product of research done with the benefit of such assistance or with the aid of any outside research sponsor.
(2) The departmental head or immediate supervisor to whom the report and disclosure are submitted shall review them and shall forward them to the PCC within THIRTY (30) days after receipt, together with a written opinion regarding the accuracy of the originator's statement submitted pursuant to Paragraph 3.1 and the reasons for such opinion.
(3) The Chairman of the PCC may in his discretion authorize an originator to submit the report, disclosure and required statement directly to the PCC without referring it to the departmental head or supervisor, if he is satisfied that good grounds exist for dispensing with such reference.
(4) The Chairman and members of the PCC shall take adequate steps to assure and preserve the confidentiality of all invention disclosure documents.
(5) The originator shall be notified of meetings of the PCC and may attend the meetings at which his report and disclosure will be considered .
(6) The PCC shall within NINETY (90) days of the submission of the report, disclosure and required statement notify the President of the University, or his designated agent, the originator and the departmental head or immediate supervisor of its decision with respect to the disposition of the matter and the respective rights or equities of any interested parties.
(7) The President or his designated agent may overrule in writing the decision of the PCC, but failing such action within THIRTY (30) days of submission of the decision to the President or such agent the decision of the PCC shall be binding on all parties, unless appealed within that time.
(8) The originator shall be notified in writing of the final decision of the University.
4. Duty of Inventor to Execute All Necessary Documents:
a. In cases where the University or an outside sponsor has an interest or equity in an invention or discovery, the inventor shall execute all such declarations, assignments or other documents as may be necessary in the course of invention evaluation, patent prosecution, or protection of patent rights in order to assure the title of the University or the RCUH or the University's ability to meet its overriding patent obligations arising from grants, contracts or other agreements of any kind with outside organizations, as the case may be.
5. Inventor's Share of Royalties:
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a. Except as otherwise agreed and subject to any contrary obligations arising from grants, contracts or other agreements with outside sponsoring organizations, the inventor's share of royalties derived from the exploitation of any patent shall be as follows:
(1) The inventor shall be entitled to receive FIFTY PERCENT (50%) of the net royalties received, "net royalties" being defined as gross royalty receipts less all costs incurred in connection with the patent.
(2) If there are two or more inventors, each inventor shall share equally in the said FIFTY PERCENT (50%) share, unless all inventors have previously agreed in writing to a different distribution and have notified the University in writing thereof.
(3) Distribution of the inventor's share shall be made annually in February from the amount of net royalties if any, received during the previous calendar year.
(4) In the event of any litigation, actual or imminent, or any other action to protect patent rights, distribution of royalties may be withheld until resolution of the dispute.
6. Voluntary Transfer of Private Invention to University and Royalty Sharing:
a. A purely private invention, developed by a University employee independently of any contractual obligations and without any cost to the University or an outside sponsoring organization, may be voluntarily offered to the PCC for the purposes of patenting, development and exploitation as if it were an invention in which the University had an interest. If such offer is accepted by the PCC, the inventor shall assign his rights to the University or the RCUH and shall receive SEVENTY-FIVE PERCENT (75%) of the net royalties (being gross receipts less costs), if any, derived from the exploitation of the patent.
7. Outside Employment and Avoiding Conflict of Interest:
a. Subject to any other approval that may be required pursuant to University or departmental regulations, Collective Bargaining Agreement, or Faculty Handbook and in order to avoid any conflict of interest, before any member of the University's faculty or research personnel enters into an agreement with an outside employer which provides for or contemplates the grant or any patent rights to the outside employer arising from the outside employment, the following procedure must be adopted:
(1) Such members shall notify his Dean or Director in writing of the nature of the outside employment and the extent of the patent rights to be granted to the outside employer.
(2) The Dean shall forthwith submit the notification to the Chairman of the PCC, together with his written recommendation thereon.
(3) Unless the Chairman of the PCC notifies the member to the contrary in writing within THIRTY (30) days of the submission of the request, the University shall be deemed to have waived its rights to any invention or discovery made during the outside employment described in the request to the extent necessary to give effect to the grant of
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the patent rights therein described.
(4) If the Chairman of the PCC objects in writing within the aforementioned period of THIRTY (30) days, the member shall not enter into the proposed employment agreement insofar as it provides for or contemplates the grant of patent rights to the outside employer with respect to any invention or discovery made by the member while in the employ of the University and in which the University has any rights under this Policy.
8. Criteria Governing Outside Commercial Sponsorship of Research:
a. Contracts and other arrangements between the University and outside commercial sponsors of research must comply with the following criteria :
(1) Research investigators and the University shall be free to disseminate and publish the results of sponsored research, provided that in order not to jeopardize applications for patents the University may agree that any proposed publication will be submitted to the sponsor with notice of intent to submit for publication and that unless the sponsor in writing requests a delay within TWO (2) months from the date of such notice, the investigators or the University shall be free to proceed with immediate publication. However, if the sponsor requests a delay, the submission of the manuscript will be withheld for the period requested, but in no event for longer than SIX (6) months from the date of the notice of intent to submit for publication and only in order to permit the sponsor to prepare and file the necessary application.
(2) The University shall retain the right to take title to any patentable inventions or discoveries arising from the undertaking of sponsored research, except that the University may grant an exclusive license to the sponsor for a period not exceeding EIGHT (8) years and bearing a royalty to be agreed upon, or may grant a royalty-free license if the University has incurred no substantial expense and such a license is deemed appropriate.
(3) Any agreement or arrangement with the commercial sponsor shall not impose any restrictions upon the University in conflict with its established policies and practices, but shall permit performance of the research or other
C. COPYRIGHTS
1. Scope:
a. The Policy covers books or other written materials, as well as other original works of authorship in the various forms copy rightable under the copyright laws of the United States and international copyright conventions.
2. Rights of Faculty and Staff:
a. Except in the case of works written or produced for hire, and subject to any restrictions imposed by outside sponsoring or funding organizations, a member of the faculty or staff of the University who writes or produces any work shall have exclusive rights thereto, including the ownership of copyright therein.
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3. Rights to Classroom, Educational and Professional Materials:
a. Faculty and staff members shall own all rights to materials prepared on their own initiative for classroom, educational or professional purposes, and shall be exclusively entitled to the benefit of any royalties derived there from.
4. Works for Hire:
a. A work written or produced for hire is defined as:
(1) A work commissioned by the University and prepared by an employee who is hired or assigned by the University specifically to produce such work.
(2) A work prepared by a person who is not a regular employee of the University but who is specifically commissioned by the University to produce it pursuant to a signed written agreement which provides that the work shall be considered a work for hire.
5. Rights in Works for Hire:
a. With respect to works for hire, the University shall have exclusive rights, including the copyright, but subject to any contrary terms of the employee's employment agreement and any restrictions contained in any contract with or grant from an outside sponsor, the faculty or staff member who prepared or produced the work shall be entitled to receive such proportions, as the PCC in its discretion may determine, of the net royalties (gross receipts less all costs), if any, which may be derived from the sale or licensing of such work. However, such sale or licensing shall be within the sole discretion of the University, which shall be under no obligation to develop royalties there from.
6. Notification to PCC of Intent to Publish Works:
a. A faculty or staff member who writes or produces a work which he or she intends to publish or exploit commercially shall notify the PCC in writing through the departmental head or immediate supervisor of such intention, providing appropriate details of the work and the circumstances of its preparation and seeking a determination from the PCC as to whether the work is or is not a work for hire.
IV. Delegation of Authority
The University's Patent and Copyright Committee (PCC) shall be vested with authority to administer this Policy throughout the University system and all matters appertaining to patents and copyrights which may emanate from any of the University's constituent campuses shall be referred to the PCC for disposition in accordance with such policy.
V. Contact Information
Subject Matter Experts
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Signed David Lassner
October 31, 2014 Date
Leonard Gouveia [email protected] 956-4740
Office of the Vice President for Research and Innovation, telephone number: (808) 956-4740; and email [email protected] may be contacted for information relating to this Executive Policy.
VI. References
A. Link to superseded Executive Policies in old format https://www.hawaii.edu/policy/archives/ep/
B. Link to Administrative Procedures in old format https://www.hawaii.edu/policy/archives/apm/sysap.php
VII. Exhibits and Appendices
No Exhibits and Appendices found
Approved
President
Topics
No Topics found.
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Prepared by the Office of Research Administration.This is a NEW procedure.
A5.500March 1985
A5.000 ACADEMIC AFFAIRS
P 1 of 3
A5.500 PROCEDURES FOR INVENTION IDENTIFICATION, DISCLOSURE AND REPORTSUNDER STATE FUNDING
1. Purpose.
The University Patent and Copyright Policy contains clauses relatingto the respective rights of the University with respect to inventionsdeveloped under research projects funded by the State. It is essentialthat the Principal Investigator be thoroughly familiar there with, andcomply promptly with the procedural requirements relatingto invention identification, timely disclosure and reporting.
2. Objective.
The general procedures outlined below should be followed to assureuniformity and responsiveness in the handling of such inventions.
3. Applicability.
These procedures apply to all inventions conceived and/or developedunder State funding.
4. Procedure.
The Principal Investigator (P.I.) shall maintain laboratory notebooksor equipment records as are reasonably necessary to document theconception and/or the first actual reduction to practice ofinventions, and to show that the procedures for identifying anddisclosing inventions are followed. These records shall be availableupon request of the University and its duly appointed representatives.
(1) The P. I. shall furnish the Office of Research Administrationwith an invention disclosure. The disclosure shall be submittedin writing at the earliest opportunity to the departmental heador immediate supervisor and shall include a written statementcertifying whether the potentially patentable invention ordiscovery was the result of private research done independently
Attachment 4a
A5.500P 2 of 3
of any contractual obligations to the University and withoutusing University equipment, facilities or funds, or whether itwas the product of research done with the benefit of suchassistance or with the aid of any outside research sponsor.
(2) The departmental head or immediate supervisor to whom thedisclosure is submitted shall review it and shall forward it tothe PCC within THIRTY (30) days after receipt, together with awritten opinion regarding the accuracy of the originator'sstatement submitted pursuant to Paragraph (1) and the reasons forsuch opinion.
(3) The Chairman of the PCC may at his discretion authorize theoriginator to submit the disclosure and required statementdirectly to the PCC without referring it to the departmental heador supervisor if he is satisfied that good grounds exist fordispensing with such reference.
(4) The Chairman and members of the PCC shall take adequate steps toassure and preserve the confidentiality of all inventiondisclosure documents.
(5) The originator shall be notified of meetings of the PCC and mayattend the meetings at which his disclosure will be considered.
(6) The PCC shall within NINETY (90) days of the submission of thedisclosure and required statement notify the President of theUniversity, or his designated agent, the originator and thedepartmental head or immediate supervisor of its decision withrespect to the disposition of the matter and the respectiverights or equities of any interested parties.
(7) The President or his designated agent may overrule in writing thedecision of the PCC, but failing such action within THIRTY (30)days of submission of the decision to the President or such agentthe decision of the PCC shall be binding on all parties, unlessappealed within that time.
(8) The originator shall be notified in writing of the final decisionof the University.
(9) In cases where the University or an outside sponsor has aninterest or equity in an invention or discovery, the inventorshall execute all such declarations, assignments or otherdocuments as may benecessary in the course of invention evaluation, patentprosecution, or protection of patent rights in order to assure
A5.500P 3 of 3
the title of the University or the RCUH or the University'sability to meet its overriding patent obligations arising fromgrants, contracts or other agreements of any kind with outsideorganizations, as the case may be.
5. A guide to faculty on Inventions and Patents is available in theOffice of Research Administration.
Prepared by the Office of Research AdministrationThis is a NEW procedure.
A5.501March 1985
A5.500 ACADEMIC AFFAIRS
P 1 of 2
A5.501 PROCEDURES FOR COPYRIGHTS OF WORK PRODUCED FOR HIRE
1. Purpose.
The University Patent and Copyright Policy contains provisions inrespect to the ownership of any copyright on materials produced as aresult of work for hire. It is essential that all employees of theUniversity and non-employees who have been specifically commissioned bywith and comply promptly with the procedural requirements describedbelow.
2. Objective.
The general procedure outlined below should be followed to assureuniformity and responsiveness in the handling of such material.
3. Applicability.
The Policy covers books or other written materials, as well as otheroriginal works of authorship in the various forms copyrightable underthe copyright laws of the United States and International copyrightconventions.
4. Definition.
A work written or produced for hire is defined as:
(1) A work commissioned by the University and prepared by an employeewho is hired or assigned by the University specifically to producesuch work.
(2) A work prepared by a person who is not a regular employee of theUniversity but who is specifically commissioned by the Universityto produce it pursuant to a signed written agreement whichprovides that the work shall be considered a work for hire.
5. Rights in Works for Hire.
With respect to works for hire, the University shall have exclusiverights, including the copyright, but subject to any contrary terms ofthe employee's employment agreement and any restrictions contained inany contract with or grant from an outside sponsor, the faculty or staffmember who prepared or produced the work shall be entitled to receive
Attachment 4b
A5.501P 2 of 2
such proportions, as the PCC in its discretion may determine, of the netroyalties (gross receipts less all costs), if any, which may be derivedfrom the sale or licensing of such work. However, such sale orlicensing shall be within the sole discretion of the University, whichshall be under no obligation to develop royalties therefrom.
6. Procedure
(1) A faculty or staff member who writes or produces a work which heor she intends to publish or exploit commercially shall notify thePCC in writing through the departmental head or immediatesupervisor of such intention, providing appropriate details of thework and the circumstances of its preparation and seeking adetermination from the PCC as to whether the work is or i6 not awork for hire.
(2) The departmental head or immediate supervisor to whom the reportis submitted shall review it and shall forward it to the PCCwithin THIRTY (30) days after receipt, together with a writtenopinion regarding the accuracy of the originator's statementsubmitted pursuant to Paragraph (1) and the reasons for suchopinion.
(3) The originator shall be notified of meetings of the PCC and mayattend the meetings at which his report will be considered.
(4) The PCC shall within NINETY (90) days of the submission of thereport and required statement notify the President of theUniversity, or his designated agent, the originator and thedepartmental head or immediate supervisor of its decision withrespect to the disposition of the matter and the respective rightsor equities of any interested parties.
(5) The President or his designated agent may overrule in writing thedecision of the PCC, but failing such action within THIRTY (30)days of submission of the decision to the President or such agentthe decision of the PCC shall be binding on all parties, unlessappealed within that time.
(6) The originator shall be notified in writing of the final decisionof the University.
(7) In cases where the University or an outside sponsor has aninterest or equity in the work, the author shall execute all suchdeclarations, assignments or other documents as may be necessaryin order to assure the title of the University.
7. A guide to faculty on Inventions and Patents is available in the Officeof Research Administration.
Prepared by the Office of Research Administration.This is a NEW procedure.
March 1985A5.502
A5.000 ACADEMIC AFFAIRS
P 1 of 4
A5.502 PROCEDURES FOR INVENTION IDENTIFICATION, DISCLOSURE AND REPORTSUNDER EXTRAMURAL CONTRACT PATENT CLAUSES
1. Purpose.
Extramural contracts and grants usually contain patent clausesrelating to the respective rights or options available to the partiesin respect to inventions developed thereunder. If a contract or grantcontains such a clause, it is essential that the PrincipalInvestigator be thoroughly familiar therewith, and comply promptlywith the procedural requirements relating to invention identification,timely disclosure and reporting; otherwise the patent rights availableto the University, and the continuing contract or grant relationshipbetween the contracting agency and the University may be placed injeopardy.
2. Objective.
The general procedures outlined below should be followed to assureuniformity and responsiveness in the handling of such inventions. Asused herein the words "contract" also refers to "grant".
3. Applicability.
These procedures apply to all inventions conceived and/or developedunder extramural funding.
4. Procedure.
The Principal Investigator (P.I.) shall maintain laboratory notebooksor equipment records as are reasonably necessary to document theconception and/or the first actual reduction to practice ofinventions, and to show that the procedures for identifying anddisclosing inventions are followed. These records shall be availableupon request of the funding agency, or the University and their dulyappointed representatives.
Attachment 4c
A5.502P 2 of 4
A. The P. I. shall furnish the funding agency through the Office ofResearch Administration:
(1) A complete technical disclosure for such invention withinthe period specified in the contract, usually within six (6)months after conception or first actual reduction topractice, which ever occurs first in the course of thecontract but in any event prior to any sale, public use, orpublication of such invention. The disclosure shall identifythe contract and inventor(s), and be sufficiently completein technical detail, and appropriately illustrated bydiagram to convey a clear understanding of the purpose, andphysical, chemical, biological, or electricalcharacteristics of the invention;
(2) Interim reports, as required in the contract [usually atleast every twelve (12) months from date of contract]; aform similar to the attached Exhibit A, or the appropriateform specified by the funding agency, may be used for thispurpose. It should list inventions during that period andcertify that all inventions have been disclosed, or thatthere are no inventions;
(3) A final report, as required in the contract [usually withinthree (3) months after completion of the work]; Exhibit A,or the appropriate agency form, may be used for thispurpose.
(4) As required by OMB Circular A-124, the Office of ResearchAdministration will disclose each subject invention to theFederal agency (when the project is federally funded) withintwo months after the inventor discloses it in writing to thePatent and Copyright Committee.
(5) The Patent and Copyright Committee will recommend to theChancellor who will elect in writing whether or not toretain title to any such invention by notifying the Federalagency funding the project within twelve months ofdisclosure to the Committee.
(6) The University will file its initial patent applicationwithin the time limits specified in OMB-Circular A-124.
B. In every subcontract initiated by the P. I. under a primecontract containing a patent rights clause, the University shall
A5.502P 3 of 4
include the prime contract patent clause in order to notify thesubcontractor of the rights retained by the prime contractingagency in inventions resulting from the conduct of experimental,developmental, or research work by the subcontractor, and thatthe subcontractor is bound thereby. (The University Procurementand Property Management Office has appropriate general conditionsfor this purpose, and routinely attaches them to all subcontractsunder extramurally funded contracts.)
(1) The University is required under most prime contractscontaining a patent rights clause to notify the primecontractor promptly in writing of the award of eachsubcontract; the P. I. shall identify the subcontractor, theprime contract and the applicable patent rights clause, thenature of the work to be performed, date of award, andestimated completion and submit the same via the Office ofResearch Administration to the prime contractor on ExhibitA, or the appropriate agency form; upon completion of thesubcontract, a report thereof shall be submitted on thefinal report required by A(3), supra.
(2) All invention disclosures, reports, and other informationrequired of subcontractor under the patent rights clause maybe submitted to the University for transmission by the P. I.through the Office of Research Administration to the primecontractor.
(3) In the event of a refusal by a subcontractor to accept suchclause, the University and the P. I. shall promptly notifythe prime contracting agency setting forth the reasons forsubcontractors refusal and shall await written authorizationbefore proceeding with the subcontract.
(4) The funding agency is a third party beneficiary of anysubcontract clause granting rights to the funding agency ininventions; the University under such clause usuallyautomatically assigns to the agency all rights Universitywould have to enforce the subcontractor's obligations forthe benefit of the agency with respect to such inventions.Therefore, University would not normally be obligated toenforce the subcontractor's agreement relating to itsobligations to the funding agency.
C. All books (including laboratory notebooks), records, documents,and other supporting data relating to the invention(s) shall beretained for the period specified in the contract [usually three
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(3) years following final payment], to permit the funding agencyto examine such records, and to determine compliance with therequirements of the contract.
D. All rights in an invention may be forfeited to the funding agencyif the above requirements are not complied with; however, suchforfeiture shall not apply if it can be established that thefailure to disclose did not result from the fault or negligenceof the University.
E. Final payment under a contract may be withheld for failure of theUniversity to maintain appropriate records, and deliver to thefunding agency all of the required disclosures and final reports.
F. Each faculty and staff member engaged in research is subject toand bound by the above reporting requirements, as well asconditions relating to determination of the rights of the fundingagency, and the University in inventions or publishable materialsvis-à-vis the Inventor or Author which are specified in Board ofRegents Bylaws and Policies, Section 5-3(f), which also appear inAppendix H of the Faculty Handbook.
G. A guide to faculty on Inventions and Patents is available in theOffice of Research Administration.
ARTICLE XI, INTELLECTUAL
PROPERTY, PATENTS AND COPYRIGHTS
GENERAL SCOPEExcept in the case of works written or produced for hire, and subject to any restrictions imposed by outside sponsoring or funding organizations, a Faculty Member who writes or produces any work shall have exclusive rights thereto, including the ownership of copyright.
It is recognized that there are usually three (3) interests involved in connection with research work and invention performed with the resources of the University. These three (3) interests are the Faculty Member researcher or inventor, the University, and the general public whose taxes support the University. If the research is financed wholly or in part by an outside agency, there exists an additional interest. Rights, royalties, and other net profits shall be shared fairly amongst
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Attachment 5
the parties. The Faculty Member will receive a share of the net profits from the sale or exploitation of patents according to the following schedule: (a) for total net profit up to $100,000, the amount assigned to the Faculty Member shall be 2/3; (b) for total net profit above $100,000 up to $200,000, the amount assigned to the Faculty Member shall be 1/2; (c) for total net profit above $200,000 up to $300,000, the amount assigned to the Faculty Member shall be 5/12; and d) for total net profit above $300,000, the amount assigned to the Faculty Member shall be 1/3.
A. CLASSROOM LECTURES AND THE RECORDING OF PRESENTATIONSFaculty Members shall own all rights to materials prepared on their own initiative for classroom, educational or professional purposes, and shall be exclusively entitled to the benefit of any royalties derived therefrom.
Class syllabi and instructional materials created by Faculty Members shall be treated as materials prepared on their own initiative for classroom and educational purposes, provided that the Employer may require, for the sole purpose of complying with accreditation requirements or program articulation, that Faculty Members provide copies of syllabi or instructional materials to designated managerial personnel. The Employer’s use of syllabi or instructional materials shall be used strictly for these purposes, and the release of these materials by Faculty Members does not entitle or allow the Employer or any other Faculty Member(s) to publish or reuse them without the Faculty Member’s written consent.
For personal educational purposes, students may record classroom lectures or other presentations, using tape recorders or other electronic or mechanical devices, unless the Faculty Member denies permission for such recording. Permission shall
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not be denied when the student requires such devices as the result of a physical disability.
B. DISTANCE LEARNING AND MULTIMEDIA PRESENTATIONSThe Employer may transmit or record for transmission any classroom instruction, lecture or other instructional or performance event produced by Faculty as a part of a program of distance learning, e.g., HITS and SkyBridge, where the Faculty Member has received either an equivalent reduction in other classroom assignments or overload compensation as set forth in Article XXI, Salaries. The Employer, however, may not sell or re-transmit in future semesters any such recording except under the terms of a written agreement between the Employer and the Faculty Member providing each party with a fifty percent (50%) interest in the net profits from either the sale or rebroadcast.
Faculty Members engaged in technology mediated instruction or distance learning require adequate training, equipment and technical support. Where these are not available the Faculty Member may not be required to engage in technology mediated instruction or distance programs. The class size (the total of all students at all sites) will not exceed the seat load of a comparable, traditionally taught class unless agreed to by the Faculty Member.
C. PATENTS AND COPYRIGHTSThe rights of Faculty Members relating to patents and copyrights shall be governed by the University of Hawaii Patent and Copyright Policy (effective1/22/68, revised 6/22/81), the Executive Policy E5.500 [EP 12.205] Administration of the Patent and Copyright Policy, and the Administrative Procedures
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A5.500, A5.501, and A5.502 (as in effect on 3/85), which are incorporated herein by reference. (See R-10, R-11, R-12, R-13, R-14 of Reference Section.)
© Copyright - University of Hawaii Professional Assembly All Rights Reserved
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MIGRATION NOTES: Mapping of Hawai‘i Administrative Rules (HAR) Title 20, Chapter 3
To University Regents Policy (RP) and Executive Policy (EP)
Transfer of Title 20, Chapter 3 Sections to University Policies
HAR UNIVERSITY POLICY COMMENTS §20-3-1, Equities RP 12.205, III.A., Patents To improve clarity, the last
sentence was eliminated and the prior sentence modified. The intent is maintained. In some cases, obtaining a patent is in the best interests of all parties, but the process is subject to procedures or restrictions under specific agreements with a research sponsor.
§20-3-2(a) & (b), Procedures andtiming of action
EP 12.205, III.B.3., Reporting Inventions
§20-3-2(c), Procedures and timingof action
EP 12.205, III.B.2., When Inventor has Exclusive Patent Rights
§20-3-2(d), Procedures and timingof action (President’s waiver)
EP 12.205, III.B.2.a.(3). & III.B.2.b.
§20-3-2(d), Procedures and timingof action (Appeals)
EP 12.205, III.A.4., Appeals from Decisions of PCC
§20-3-3, Inventions resulting frompersonal or private research
EP 12.205., III.B.1.a.
§20-3-4, Inventions resulting fromresearch supported by State funds
EP 12.205, III.B.1.b. & III.B.5., Inventor’s Share of Royalties
To emphasize that collective bargaining agreement can modify net profit share, added language. Added definition for university supported research.
§20-3-5, Inventions from researchsupported by an outside agency
EP 12.205, III.1.c.
§20-3-6, Copyrights RP 12.205, III.B., Copyrights; EP 12.205, III.C.1. to III.C.3.
To improve clarity and eliminate redundant language reference to books or similar materials or other forms of copyrightable material was modified. The intent is maintained. The policy is designed to cover copyrightable material under US law or international copyright agreements.
§20-3-6, Copyrights (Works forhire)
EP 12.205, III.C.4. & III.C.5. & III.C.7.
§20-3-7, Financial agreements EP 12.205, III.D.
Attachment 6
MIGRATION NOTES: Mapping of Hawai‘i Administrative Rules (HAR) Title 20, Chapter 3
To University Regents Policy (RP) and Executive Policy (EP)
Housekeeping Changes
UNIVERSITY POLICY SECTION COMMENTS RP 12.205, Patent and Copyright Policy
VI. References 1. Eliminated URL for Hawai‘i Administrative Rule Title 20, Chapter 3 under B because we propose to eliminate
2. Updated URL for collective bargaining agreements on University Office of Human Resources (OHR) web site under C
3. Updated reference for Patent and Copyright EP from 5.500 to 12.205 under D
EP 12.205, Administration of the Patent and Copyright Policy
Various Updated official names and entities involved in current process 1. Replaced Vice President of
Research with Vice President for Research and Innovation
2. Replaced Research Corporation of the University of Hawai‘i (RCUH) with Office of Technology Transfer and Economic Development (OTTED)
3. Replaced Executive Director of RCUH with OTTED Director
4. Replaced Procurement and Property Management with Office of Procurement and Real Property Management.
EP 12.205, Administration of the Patent and Copyright Policy
Various Updated terms to be gender neutral 1. Replaced Chairman with Chair 2. Replaced “his” with context
specific, gender neutral terms (e.g., the inventor’s share instead of his share; the President’s designee instead of his designee; etc.)
EP 12.205, Administration of the Patent and Copyright Policy
VI. References Updated URLs for A. and B.
Page 1 of 2
Board of Regents Policy, RP 12.205 Patent and Copyright Policy
Regents Policy Chapter 12, Research Regents Policy RP 12.205, Patent and Copyright Policy Effective Date: Mar. 17, 2011 Prior Dates Amended: Oct. 31, 2014 (recodified) Review Date: August 2019
I. Purpose
To set forth policy regarding patents and copyrights.
II. Definitions
No policy specific or unique definitions apply.
III. Policy
A. A. Patents. The principle is hereby recognized that there are usually threeinterests involved in connection with research work and invention performed in the university by or under the direction of the research and teaching staffs of the university. These three interests are represented by the research worker or inventor; the university; and the general public whose taxes or gifts support the university. If the research is financed wholly or in part by an outside agency there exists an additional interest.
In general, these interests are best served by immediate publication and dissemination of the results of the research. In some cases, however, the interests of all are best protected and furthered by patenting the discoveries and inventions resulting from the research, subject to procedures or restrictions contained in specific agreements with a federal or other agency sponsoring or funding the research.
B. Copyrights. This policy is designed to cover copyright of books and othercopyrightable materials under the laws of the United States or international copyright agreements.
Except for works produced or written for hire, any copyrightable material produced by a member of the faculty or staff of the university shall be the
Attachment 7
RP 12.205
Page 2 of 2
exclusive property of the author. The author may register the copyright or dedicate the work to the public, subject to any restrictions imposed by sponsoring or funding agencies not under university control.(See Administrative Rules, Title 20, University of Hawai‘i, Chapter 3 and appropriate collective bargaining agreement.)
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, [email protected] VI. References A. http://www.hawaii.edu/offices/bor/ B. http://hawaii.edu/offices/bor/adminrules/chapter03.pdf BC. http://www.hawaii.edu/ohr/faculty-staff/cberhttp://www.hawaii.edu/ohr/docs/collbarg.htm CD. EP 12.2055.500 Approved: approved as to Form: _____________________________ ___________ Cynthia Quinn Date Executive Administrator and Secretary of the Board of Regents
v3 8/12/16
Page 1 of 11
Executive Policy, EP 12.205 Administration of the Patent and
Copyright
Executive Policy Chapter 12, Research Executive Policy EP 12.205, Administration of the Patent and Copyright Policy Effective Date: October 2014 Dates Amended: March 1985 Responsible Office: Office of the Vice President for Research and Innovation Governing Board of Regents Policy RP 12.205, Patent and Copyright Policy Review Date: August 2019
I. Purpose
A. To define, clarify and protect the rights and equities of inventors and authors, theUniversity, the Research Corporation of the University of Hawai‘i, any governmental orprivate sponsor of research, and the public, with respect to inventions and originalworks, by providing for just and equitable recognition of the legitimate interests of eachof the above in such inventions and works.
B. To encourage broad utilization of the results of University research and to provide avehicle for the transfer of new technology and ideas from the University to thecommunity at large, by permitting exploitation (both commercial and otherwise) in thepublic interest and for the public benefit, in a manner consistent with the integrity andobjectives of the academic process, including the goal of public dissemination of theresults of research.
C. To stimulate innovative and creative scholarship, research and writing and itsrecognition, by facilitating where appropriate the receipt of fair economic rewards therefrom in the form of royalty payments to inventors and authors from licensees (in thecase of inventions) and publishers (in the case of written or similar works).
D. To protect and benefit scholars and researchers in the University by promotingrecourse to the patenting and copyright process and by providing information, supportand liaison concerning the procedures and problems involved therein.
E. To encourage and assist scholars and researchers in identifying potentiallypatentable discoveries, to require prompt and early reporting thereof to the Patent andCopyright Committee and to promote scholarly publication concerning such discoveriesin a manner that does not prejudice the obtaining of a patent.
Attachment 8
EP 12.205
Page 2 of 11 F. To devise and promulgate clear and practicable regulations, procedures and forms for the reporting and disclosure of original works that may be copyrightable, discoveries that may prove patentable and the timely prosecution of patent applications in appropriate cases. G. To provide for the patenting or licensing or both of any invention or the copyrighting and licensing or both of any work, where appropriate, through the H. Patent and Copyright Committee or a patent management organization or publishing entity designated by that Committee. HI. To protect the rights, as agreed, of any government or private sponsor of research in any invention or work that may be generated by such research, and to ensure compliance with the other terms of any such research grant. IJ. To protect the rights of the University in inventions or other original works which result from the use of University funds or facilities by faculty, employees, students or trainees. II. Definitions No policy specific or unique definitions apply. III. Executive Policy RP 12.205 of the University of Hawai‘i Board of Regents Bylaws and Policies establishes the University Patent and Copyright Policy. Because it is desirable and expedient for the University of Hawai‘i to provide uniform rules and procedures for the regulation and administration of intellectual property rights generated by the activities of its faculty, employees and others associated with the University, the following objectives, policies and procedures are established for the University"’s administration of the Patent and Copyright Policy. A. PATENT AND COPYRIGHT COMMITTEE (PCC) 1. Membership of PCC: The PCC shall consist of the following ten persons: a. The incumbent Vice PresidentDirector forof Research and Innovation of the University of Hawai‘i or his or her designated representative, who shall serve as the Chairman and Convener of the PCC.
EP 12.205
Page 3 of 11 b. Two representatives of Office of Technology Transfer and Economic Development (OTTED) the Research Corporation of the University of Hawai‘i (RCUH) may be appointed by the OTTEDExecutive Director of the RCUH for three-year terms. c. Director of the Office of Procurement and Real Property Management (OPRPM). d. The Legal Consultant to the PCC, who shall be an ex officio non-voting member. e. Five persons selected from among the faculties and administration of the University and appointed by the President of the University or the President’shis designee for a period of three years. 2. Meetings of PCC: a. The PCC shall meet as often as the Chairman and Convener deems necessary, save that there shall be at least one meeting per academic semester. 3. Powers and Duties of PCC: a. The PCC shall have the following powers and duties: (1) To interpret and apply the Patent and Copyright Policy. (2) To evaluate inventions for patentability, scientific merit and economic feasibility, and where desirable to seek expert advice to assist it in making such determinations. (3) To decide on the category into which an invention or original work falls for the purposes of determining who has or shares the equity therein. (4) To determine the patent or related rights or equities of the University and other interested parties in an invention and to decide on the appropriate division of royalties. (5) To assign inventions to OTTEDthe RCUH for the evaluation, patenting and licensing of inventions, and to procure the receipt of royalties or other benefits by the University, provided that, notwithstanding the above, any royalty agreement may in the discretion of the PCC provide for payment of royalties into a special fund maintained by OTTED RCUH and administered in accordance with the wishes of the University of Hawai‘i solely for research, development and other educational purposes. (6) To release patent rights to the inventor in the absence of overriding obligations to outside sponsors of research, in cases where it is deemed equitable or appropriate to do so, subject to the written approval of the President or a person designated by the President.
EP 12.205
Page 4 of 11 (7) To submit its decisions on patent and copyright matters to the President of the University, or to a person designated by the President for such purposes. (8) To provide assistance and advice to faculty and other research personnel concerning all aspects related to the patenting of inventions and the copyright in original works. (9) To ensure an effective system of patent and copyright administration by means of an ongoing review of applicable policies and procedures and to make reports and recommendations to the President thereon. (10) To do all things necessary to achieve the objects of the Patent and Copyright Policy, without being limited by the specific powers and duties enumerated above. 4. Appeals from Decisions of PCC: a. Any person aggrieved by any decision of the PCC may appeal to the President of the University or the President’shis designated representative. Such appeal shall be in writing, shall state the grounds of appeal and shall be submitted to the President or such representative within THIRTY (30) days after notification of the ruling of the PCCCommittee. The decision of the President or the President’shis designee shall be final and binding within the University. B. PATENTS 1. When University has exclusive Patent Rights:Determination of equity interests:
a. Inventions resulting from personal or private research. The University shall have no vested interest in inventions clearly resulting from personal or private research and developed by an inventor on personal time, without cost or expense to the University. Such inventions may be voluntarily offered to by the faculty member to the PCC for the possible securing of a patent and for subsequent developing, processing and exploitation under University aegis. If such offer is accepted by the PCC, the inventor shall assign the inventor’s rights to the University of Hawai‘i and shall thereafter be entitled to receive seventy-five percent (75%) of the net profits if any (amount received by the University, less costs) derived from any exploitation of the patent.
b. Inventions resulting from research supported by State funds. Inventions resulting from research wholly supported by State funds shall become the property of the University of Hawai‘i. Staff members shall assign their rights to the University of Hawai‘i and shall be entitled to a share of the net profits derived from any exploitation of the patent in accordance with Section III.B.5. of this policy.
1. University supported research. Subject to the provisions of the patent and copyright policy with respect to relinquishment of rights and royalty sharing,
EP 12.205
Page 5 of 11
the University shall have exclusive patent rights and title in and to any invention or discovery which emerges from any research, development or other programs of the University or that is conceived or developed wholly or partially at the expense of the University or with the aid of its equipment, facilities or personnel. Such inventions or discoveries shall be treated like inventions resulting from research supported by State funds.
c. Inventions resulting from research supported by an outside agency. Inventions resulting from research supported by an outside agency, either wholly or in part, shall be governed by the agreement covered by the work. In the absence of such provisions, the invention shall be regarded as deriving from the category of State or university supported research.
a. Subject to the provisions of the Policy with respect to relinquishment of rights and royalty sharing, the University shall have exclusive patent rights and title in and to any invention or discovery which emerges from any research, development or other program funded by the University, or is conceived or developed wholly or partially at the expense of the University or with the aid of its equipment, facilities or personnel. 2. When Inventor has Exclusive Patent Rights: a. The University shall relinquish all rights to the inventor in the following cases: (1) If the invention or discovery is adjudged by the PCC to have been made by the inventor independently of any contractual obligations to the University and without using University equipment, facilities or funds provided by the University or an outside sponsor. If the final unappealed decision of the PCC is that such invention was the result of personal or private research, such decision may be used by the inventor as evidence in establishing the priority of the invention. (2) If the invention or discovery is a result of permissible consulting activities without any use of University facilities or of funds derived from the University or an outside research sponsor. (3) If the invention or discovery was made with the aid of University facilities or funds, but the PCC, with the written approval of the President or the President’shis designated agent decides to waive the University"’s rights or equity therein. 3. Reporting Inventions: a. All employees of the University, nonemployees who use University research facilities and those who receive grant or contract funds through the University shall promptly report and fully disclose any ideas for and/or reduction to practice of a potentially patentable invention or discovery to the PCC. The following procedure shall apply to such report and disclosure:
EP 12.205
Page 6 of 11 (1) The report and disclosure shall be submitted in writing at the earliest opportunity to the departmental head or immediate supervisor and shall include a written statement certifying whether the potentially patentable invention or discovery was the result of personal or private research done independently of any contractual obligations to the University and without using University equipment, facilities or funds, or whether it was the product of research done with the benefit of such assistance or with the aid of any outside research sponsor. (2) The departmental head or immediate supervisor to whom the report and disclosure are submitted shall review them and shall forward them to the PCC within THIRTY (30) days after receipt, together with a written opinion regarding the accuracy of the originator"’s statement submitted pursuant to III.B.3.a. Paragraph 3.1 and the reasons for such opinion. (3) The Chairman of the PCC may, at the Chair’sin his discretion, authorize an originator to submit the report, disclosure and required statement directly to the PCC without referring it to the departmental head or supervisor, if the Chairhe is satisfied that good grounds exist for dispensing with such reference. (4) The Chairman and members of the PCC shall take adequate steps to assure and preserve the confidentiality of all invention disclosure documents. (5) The originator shall be notified of meetings of the PCC and may attend the meetings at which the originator’shis report and disclosure will be considered . (6) The PCC shall within NINETY (90) days of the submission of the report, disclosure and required statement notify the President of the University, or the President’shis designated agent, the originator and the departmental head or immediate supervisor of its decision with respect to the disposition of the matter and the respective rights or equities of any interested parties. (7) The President or the President’shis designated agent may overrule in writing the decision of the PCC, but failing such action within THIRTY (30) days of submission of the decision to the President or such agent the decision of the PCC shall be binding on all parties, unless appealed within that time. (8) The originator shall be notified in writing of the final decision of the University. 4. Duty of Inventor to Execute All Necessary Documents: a. In cases where the University or an outside sponsor has an interest or equity in an invention or discovery, the inventor shall execute all such declarations, assignments or other documents as may be necessary in the course of invention evaluation, patent
EP 12.205
Page 7 of 11 prosecution, or protection of patent rights in order to assure the title of the University or the RCUH or the University"’s ability to meet its overriding patent obligations arising from grants, contracts or other agreements of any kind with outside organizations, as the case may be. 5. Inventor"’s Share of Royalties: a. Except as otherwise agreed and subject to any contrary obligations arising from grants, contracts or other agreements with outside sponsoring organizations, the inventor"’s share of royalties derived from the exploitation of any patent shall be as follows: (1) Unless modified by collective bargaining agreement, theThe inventor shall be entitled to receive FIFTY PERCENT (50%) of the net royalties received, "net royalties" being defined as gross royalty receipts less all costs incurred in connection with the patent. (2) If there are two or more inventors, each inventor shall share equally in the said FIFTY PERCENT (50%) share, unless all inventors have previously agreed in writing to a different distribution and have notified the University in writing thereof. (3) Distribution of the inventor"’s share shall be made annually in February from the amount of net royalties if any, received during the previous calendar year. (4) In the event of any litigation, actual or imminent, or any other action to protect patent rights, distribution of royalties may be withheld until resolution of the dispute. 6. Voluntary Transfer of Private Invention to University and Royalty Sharing: a. A purely private invention, developed by a University employee independently of any contractual obligations and without any cost to the University or an outside sponsoring organization, may be voluntarily offered to the PCC for the purposes of patenting, development and exploitation as if it were an invention in which the University had an interest. If such offer is accepted by the PCC, the inventor shall assign his rights to the University or the RCUH and shall receive SEVENTY-FIVE PERCENT (75%) of the net royalties (being gross receipts less costs), if any, derived from the exploitation of the patent. 67. Outside Employment and Avoiding Conflict of Interest: a. Subject to any other approval that may be required pursuant to University or departmental regulations or, Collective Bargaining Agreement, or Faculty Handbook and in order to avoid any conflict of interest, before any member of the University"’s faculty or research personnel enters into an agreement with an outside employer which
EP 12.205
Page 8 of 11 provides for or contemplates the grant or any patent rights to the outside employer arising from the outside employment, the following procedure must be adopted: (1) Such members shall notify their respectivehis Dean or Director in writing of the nature of the outside employment and the extent of the patent rights to be granted to the outside employer. (2) The Dean shall forthwith submit the notification to the Chairman of the PCC, together with the Dean’shis written recommendation thereon. (3) Unless the Chairman of the PCC notifies the member to the contrary in writing within THIRTY (30) days of the submission of the request, the University shall be deemed to have waived its rights to any invention or discovery made during the outside employment described in the request to the extent necessary to give effect to the grant of the patent rights therein described. (4) If the Chairman of the PCC objects in writing within the aforementioned period of THIRTY (30) days, the member shall not enter into the proposed employment agreement insofar as it provides for or contemplates the grant of patent rights to the outside employer with respect to any invention or discovery made by the member while in the employ of the University and in which the University has any rights under this Policy. 78. Criteria Governing Outside Commercial Sponsorship of Research: a. Contracts and other arrangements between the University and outside commercial sponsors of research must comply with the following criteria : (1) Research investigators and the University shall be free to disseminate and publish the results of sponsored research, provided that in order not to jeopardize applications for patents the University may agree that any proposed publication will be submitted to the sponsor with notice of intent to submit for publication and that unless the sponsor in writing requests a delay within TWO (2) months from the date of such notice, the investigators or the University shall be free to proceed with immediate publication. However, if the sponsor requests a delay, the submission of the manuscript will be withheld for the period requested, but in no event for longer than SIX (6) months from the date of the notice of intent to submit for publication and only in order to permit the sponsor to prepare and file the necessary application. (2) The University shall retain the right to take title to any patentable inventions or discoveries arising from the undertaking of sponsored research, except that the University may grant an exclusive license to the sponsor for a period not exceeding EIGHT (8) years and bearing a royalty to be agreed upon, or may grant a royalty-free
EP 12.205
Page 9 of 11 license if the University has incurred no substantial expense and such a license is deemed appropriate. (3) Any agreement or arrangement with the commercial sponsor shall not impose any restrictions upon the University in conflict with its established policies and practices, but shall permit performance of the research or other investigation in the same manner and subject to the same administrative requirements applicable to research financed with the University’s own funds. C. COPYRIGHTS 1. Scope: a. The Policy covers books or other written materials, as well as other original works of authorship in the various forms copy rightable materials under the copyright laws of the United States and international copyright conventions. 2. Rights of Faculty and Staff: a. Except in the case of works written or produced for hire, and subject to any restrictions imposed by outside sponsoring or funding organizations, a member of the faculty or staff of the University who writes or produces any work shall have exclusive rights thereto, including the ownership of copyright therein. 3. Rights to Classroom, Educational and Professional Materials: a. Faculty and staff members shall own all rights to materials prepared on their own initiative for classroom, educational or professional purposes, and shall be exclusively entitled to the benefit of any royalties derived there from. 4. Works for Hire: a. A work written or produced for hire is defined as: (1) A work commissioned by the University and prepared by an employee who is hired or assigned by the University specifically to produce such work. (2) A work prepared by a person who is not a regular employee of the University but who is specifically commissioned by the University to produce it pursuant to a signed written agreement which provides that the work shall be considered a work for hire. 5. Rights in Works for Hire:
EP 12.205
Page 10 of 11 a. With respect to works for hire, the University shall have exclusive rights, including the copyright, but subject to any contrary terms of the employee"’s employment agreement and any restrictions contained in any contract with or grant from an outside sponsor, the faculty or staff member who prepared or produced the work shall be entitled to receive such proportions, as the PCC in its discretion may determine, of the net royalties (gross receipts less all costs), if any, which may be derived from the sale or licensing of such work. However, such sale or licensing shall be within the sole discretion of the University, which shall be under no obligation to develop royalties there from. 6. Notification to PCC of Intent to Publish Works: a. A faculty or staff member who writes or produces a work which he or she intends to publish or exploit commercially shall notify the PCC in writing through the departmental head or immediate supervisor of such intention, providing appropriate details of the work and the circumstances of its preparation and seeking a determination from the PCC as to whether the work is or is not a work for hire. 7. Resolving Concerns about the Copyright Policy
a. Should any controversy concerning the copyright policy arise, it will be referred to the PCC, which will make a recommendation for action to the President or the President’s designee.
D. Financial Agreements 1. The President, after consulting with the PCC, may enter into financial agreements as the President deems equitable whenever a staff member at personal expense desires to patent an invention or copyright written works which resulted from research supported by State funds or works produced or written for hire by the University, only in instances when the PCC disclaims interest in patenting or copyrighting the work produced by the staff member. IV. Delegation of Authority The University"’s Patent and Copyright Committee (PCC) shall be vested with authority to administer this Policy throughout the University system and all matters appertaining to patents and copyrights which may emanate from any of the University"’s constituent campuses shall be referred to the PCC for disposition in accordance with such policy. V. Contact Information
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Page 11 of 11 Office of the Vice President for Research and Innovation, telephone number: (808) 956-4740; and email [email protected] may be contacted for information relating to this Executive Policy. VI. References A. Link to superseded Executive Policies in old format https://www.hawaii.edu/policy/archives/ep/ B. Link to Administrative Procedures in old format https://www.hawaii.edu/policy/archives/apm/sysap.php Approved: ______________________________ October 31, 2014 David Lassner Date President
§91-3 Procedure for adoption, amendment, or repeal of rules.(a) Except as provided in subsection (f), prior to the adoption ofany rule authorized by law, or the amendment or repeal thereof, theadopting agency shall:
(1) Give at least thirty days' notice for a public hearing. The notice shall include:
(A) A statement of the topic of the proposed ruleadoption, amendment, or repeal or a generaldescription of the subjects involved; and
(B) A statement that a copy of the proposed rule to beadopted, the proposed rule amendment, or the ruleproposed to be repealed will be mailed to any interested person who requests a copy, pays the required fees for the copy and the postage, if any, together with a description of where and how the requests may be made;
(C) A statement of when, where, and during what times theproposed rule to be adopted, the proposed ruleamendment, or the rule proposed to be repealed may be reviewed in person; and
(D) The date, time, and place where the public hearingwill be held and where interested persons may beheard on the proposed rule adoption, amendment, or repeal.
The notice shall be mailed to all persons who have made a timely written request of the agency for advance notice of its rulemaking proceedings, given at least once statewide for state agencies and in the county for county agencies. Proposed state agency rules shall also be posted on the Internet as provided in section 91-2.6; and
(2) Afford all interested persons opportunity to submit data, views, or arguments, orally or inwriting. The agency shall fully consider all written and oral submissions respecting the proposed rule. The agency may make its decision at the public hearing or announce then the date when it intends to make its decision. Upon adoption, amendment, or repeal of a rule, the agency, if requested to do so by an interested person, shall issue a concise statement of the principal reasons for and against its determination.
(b) Notwithstanding the foregoing, if an agency finds that animminent peril to the public health, safety, or morals, to livestock and poultry health, or to natural resources requires adoption, amendment, or repeal of a rule upon less than thirty days' notice of hearing, and states in writing its reasons for such finding, it may proceed without prior notice or hearing or upon such abbreviated notice and hearing, including posting the abbreviated notice and hearing on the Internet as provided in section 91-2.6, as it finds practicable to adopt an emergency rule to be effective for a period of not longer than one hundred twenty days without renewal.
(c) The adoption, amendment, or repeal of any rule by anystate agency shall be subject to the approval of the governor. The
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adoption, amendment, or repeal of any rule by any county agency shall be subject to the approval of the mayor of the county. This subsection shall not apply to the adoption, amendment, and repeal of the rules of the county boards of water supply. (d) The requirements of subsection (a) may be waived by the governor in the case of the State, or by the mayor in the case of a county, whenever a state or county agency is required by federal provisions to adopt rules as a condition to receiving federal funds and the agency is allowed no discretion in interpreting the federal provisions as to the rules required to be adopted; provided that the agency shall make the adoption, amendment, or repeal known to the public by:
(1) Giving public notice of the substance of the proposed rule at least once statewide prior to the waiver of the governor or the mayor; and
(2) Posting the full text of the proposed rulemaking action on the Internet as provided in section 91-2.6.
(e) No adoption, amendment, or repeal of any rule shall be invalidated solely because of:
(1) The inadvertent failure to mail an advance notice of rulemaking proceedings;
(2) The inadvertent failure to mail or the nonreceipt of requested copies of the proposed rule to be adopted, the proposed rule amendment, or the rule proposed to be repealed; or
(3) The inadvertent failure on the part of a state agency to post on the website of the office of the lieutenant governor all proposed rulemaking actions of the agency and the full text of the agency's proposed rules as provided in section 91-2.6.
Any challenge to the validity of the adoption, amendment, or repeal of an administrative rule on the ground of noncompliance with statutory procedural requirements shall be forever barred unless the challenge is made in a proceeding or action, including an action pursuant to section 91-7, that is begun within three years after the effective date of the adoption, amendment, or repeal of the rule. (f) Whenever an agency seeks only to repeal one or more sections, chapters, or subchapters of the agency's rules because the rules are either null and void or unnecessary, and not adopt, amend, or compile any other rules:
(1) The agency shall give thirty days' public notice at least once statewide of the proposed date of repeal and of:
(A) A list of the sections, chapters, or subchapters, as applicable, being repealed; and
(B) A statement of when, where, and during what times the sections, chapters, or subchapters proposed to be repealed may be reviewed in person;
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(2) The agency shall post the full text of the proposed sections, chapters, or subchapters to be repealed on the Internet as provided in section 91-2.6; and
(3) Any interested person may petition the agency regarding the sections, chapters, or subchapters proposed to be repealed, pursuant to section 91-6.
This subsection does not apply to the repeal of one or more subsections, paragraphs, subparagraphs, clauses, words, phrases, or other material within a section that does not constitute the entire section to be repealed. [L 1961, c 103, §3; am L 1965, c 96, §139a; Supp, §6C-3; HRS §91-3; am L 1973, c 13, §1; am L 1979, c 64, §1; am L 1985, c 68, §2; am L 1989, c 64, §2; am L 1998, c 2, §§27, 28; am L 1999, c 301, §2(2); am L 2000, c 283, §6; am L 2012, c 149, §2]
Cross References Additional requirements for publication of notice of public hearings, see §92-41.
Attorney General Opinions The "General Requirements and Covenants" of public works contracts are rules as defined by section 91-1 and any amendments require notice and a public hearing. Att. Gen. Op. 66-10. Section is limited to rules having the force and effect of law; AG Opinion 66-10 superseded. Att. Gen. Op. 72-5. State agency required by subsection (a)(1) to publish notice of hearing must in addition comply with publication requirements of section 92-41. Att. Gen. Op. 73-12. Board cannot adopt "policy" which would have the effect of amending a rule, without following HAPA requirements. Att. Gen. Op. 81-11. Notices are not required to be in the legal section of a newspaper. Att. Gen. Op. 89-4. Substantial changes in proposed rules made after public hearing require additional hearing where material is included on subject not covered in original notice or change was not advocated or discussed at original hearing. Att. Gen. Op. 91-05. For the repeal of rules, this section and §92-41 did not require individual notice to all property owners potentially affected by the change in the rules but only notice by publication, and a mailing to those persons who requested advance notice of department's rulemaking proceedings. Att. Gen. Op. 97-4.
Case Notes Where defendant did not give notice and hold public hearing pursuant to subsection (a) before issuing approval of use of wood preservative, defendant's approval, together with defendant's
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conditions of approval, would appear to be rulemaking. 939 F. Supp. 746. Changes may be made in a rule between the original proposed and presented at a public hearing and as finally adopted. Substantial change in a rule after a public hearing may require another public hearing. 50 H. 156, 434 P.2d 516. Notice should fairly apprise interested parties of what is being proposed so they can formulate and present rational responses to the proposal. 64 H. 389, 642 P.2d 530. "Substance" of proposed rules defined. 64 H. 389, 642 P.2d 530. Rule enabling insurance commissioner to prescribe endorsements did not give carte blanche authority to sidestep the independent requirements of chapter 91. 67 H. 148, 682 P.2d 73. Adoption by reference of future amendments unlawful. 67 H. 451, 691 P.2d 365. No waiver of notice and hearing requirements allowed where agency had discretion to interpret federal provisions as to required rules. 68 H. 80, 705 P.2d 17. Inadequate notice, discussed. 70 H. 135, 764 P.2d 1233. Department provided adequate notice under this chapter of its intent to hold public hearings on proposed amendments to its administrative rules; nothing in chapter or case law requires that notice of public hearings on proposed amendments be published only after the effective date of the statute authorizing such amendments. 88 H. 307, 966 P.2d 619. Where city appraiser's unwritten methodology for determining imparted value fell within definition of a rule for purposes of §91-1(4), city needed to follow rulemaking procedures set forth in this section prior to applying imparted value deductions toward golf course assessments. 89 H. 381, 974 P.2d 21. Notice of public hearing met all requirements of this section; no merit to points on appeal that court erroneously dismissed claims that proposed hearing room was too small and that separate hearings should be held on neighbor islands. 10 H. App. 210, 863 P.2d 344. Sections 183D-22 and 183D-10.5 provided the authority for the department of land and natural resources to require payment of a fee for a hunting-related article such as a stamp; however, since game bird hunting was an activity permitted under chapter 183D, the department was required under §183D-3 to adopt a rule pursuant to this section when setting the stamp fees for hunting. 117 H. 16 (App.), 175 P.3d 126. Since the addition of two extra hunting days to each week of the hunting season concerned "conditions for entry into game management areas, and public hunting areas designated by the department of land and natural resources" and "open seasons" for hunting, the express language of §183D-3 mandated that in order to add the two weekdays for bird hunting, the department had to amend Hawaii administrative rule 13-122-4 pursuant to chapter 91. 117 H. 16 (App.), 175 P.3d 126. Cited: 715 F. Supp. 2d 1115.
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