Managing the University Research Enterprise Juan M. Sanchez Vice President for Research August 19, 2014 Topics Overview of Research at UT Austin Selected Policies Overview: Objectivity in Research Policy (Conflict of Interest) Research Misconduct Intellectual Property President William C. Powers Vice President for Research Juan M. Sanchez Research Integrity Officer Robert Peterson Associate Vice President Federal Relations Ellyn Perrone Associate Vice President ACES Kurt Bartelmehs Assistant Vice President Michelle Lee, Admin Associate Rebecca Knape, Admin. Associate Finance and Administration Cindy Brown Assistant Vice President Awards and Programs Liza Scarborough Coordinator Terisha Thomas, Executive Assistant Rachel Ginsberg, Admin. Associate . Organized Research Centers Support Units Animal Resources Center Glen Otto Director Office of Research Support Wayne Patterson Associate Vice President and Director Office of Industry Engagement Bill Catlett Director Office of Tech. Commercialization Dan Sharp Associate Vice President and Director Office of Sponsored Projects Susan Sedwick Associate Vice President and Director Applied Research Laboratories Clark Penrod Executive Director Center for Agile Technology David Brant Director Center for Electromechanics Robert Hebner Director IC² Institute Robert Peterson Director Center for Identity Suzanne Barber Director Institute for Computational Eng & Science J. Tinsley Oden Associate Vice President and Director Texas Advanced Computing Center Dan Stanzione Executive Director Updated 6.10.2014 Trends in R&D Expenditures (Source: NSF Academic R&D Expenditures) Total R&D Expenditures Expenditures ($MM) 650 632 622 634 590 600 553 566 550 503 500 477 450 400 2006 2009 2010 2011 2012 80 400 373 350 350 355 355 Expenditures ($MM) 352 Expenditures ($MM) 2008 2013 Business Financed Federally Financed 336 314 300 2007 295 250 70 68 2011 2012 71 56 60 49 50 40 68 43 33 36 30 20 200 2006 2006 2007 2008 2009 2010 2011 2012 2013 2007 2008 2009 2010 2013 Federal Funding by Agency UT Austin NASA 4% UC Berkeley NASA 4% Others 8% DOD 34% DOE 12% Others 9% DOE 13% DOD 10% NSF 24% HHS 20% NSF 22% FY 2011 Total = $ 355 million HHS 40% FY 2011 Total = $ 336 million R&D Expenditures by Field Social Sciences, 2.7% Psychology, 1.6% Medical Sciences, 3.8% Educa on, 4.9% Others, 6.5% Engineering, 33.4% Biological and Other Life Sciences, 10.4% Computer Science/Math, 11.6% Physical Sciences, 13.0% Environmental Sciences, 12.2% National Rankings by Non-Medical R&D Expenditures Expenditures at top 20 institutions, ranked by all non-medical school R&D expenditures: FY 2011 Rank Institution 1 Johns Hopkins U. a 2 U. WI, Madison 3 U. MI, Ann Arbor 4 MA Institute of Technology 5 U. CA, Berkeley 6 TX A&M U., College Station 7 PA State U. 8 M. D. Anderson Cancer Ctr. 9 GA Institute of Technology 10 U. TX, Austin 11 U. MN, Twin Cities 12 Purdue U., West Lafayette 13 U. CA, Davis 14 U. IL, Urbana-Champaign 15 U. WA, Seattle 16 U. CA, Los Angeles 17 U. CA, San Diego 18 Cornell U. 19 U. MD, College Park 20 OH State U. (Dollars in thousands) All non-medical school R&D expenditures All medical school R&D expenditures 1,498,845 766,796 734,294 723,610 707,945 705,720 698,031 663,279 655,375 632,171 586,191 578,231 546,878 545,669 545,391 542,640 542,407 511,194 495,382 492,914 646,463 344,846 544,829 0 0 0 96,815 0 0 0 261,228 0 161,018 0 603,142 439,717 466,971 270,457 0 339,212 All R&D expenditures 2,145,308 1,111,642 1,279,123 723,610 707,945 705,720 794,846 663,279 655,375 632,171 847,419 578,231 707,896 545,669 1,148,533 982,357 1,009,378 781,651 495,382 832,126 Top 10 Institutions without a Medical School (FY 2011) Ranking by Total Total expenditures Expenditures Rank Ranking by Federal Federal Expenditures Ranking by Business Business Expenditures Expenditures Ranking by Nonprofit Non Profit Expenditures Expenditures Ranking by State, State, Local Local & Inst. & Inst. Expenditures Expenditures MD Anderson 98,151 TAMU 318,466 1 MIT 723,610 MIT 489,080 MIT 110,006 2 Berkeley 707,945 GA Tech 427,867 Berkeley 86,769 Berkeley 84,443 MD Anderson 269,146 3 TAMU 705,720 UT Austin 355,437 UT Austin 68,479 MIT 73,453 Purdue 249,999 4 MD Anderson 663,279 U of MD 338,780 MD Anderson 59,582 Purdue 37,717 VA Poly 216,451 5 GA Tech 655,375 Berkeley 336,191 TAMU 54,880 TAMU 35,839 Berkeley 181,691 6 UT Austin 632,171 Illinois 323,454 GA Tech 42,190 UT Austin 31,031 UT Austin 170,202 7 Purdue 578,231 TAMU 291,812 Illinois 34,639 VA Poly 19,019 GA Tech 168,884 8 Illinois 545,669 Purdue 259,948 Purdue 28,656 GA Tech 12,728 Illinois 168,782 9 U of MD 495,382 MD Anderson 236,400 VA Poly 22,777 Illinois 8,094 U of MD 140,576 10 VA Poly 450,058 VA Poly 189,198 U of MD 6,133 U of MD 2,597 MIT 17,056 Total R&D Expenditures in the Physical Sciences (FY 2011) Rank 1 Ranking by Total expenditures in the Physical Sciences Caltech 2 Johns Hopkins 3 U. AZ 4 MIT 5 U. MD, College Park 6 U. TX, Austin 7 Stanford U. 8 U. CO, Boulder 9 Cornell U. 10 Berkeley Ranking by Total Expenditures in Astronomy 225,641 176,047 175,930 115,445 104,202 97,738 97,040 96,858 93,632 90,463 U. AZ Berkeley Johns Hopkins U. CO, Boulder U. HI, Manoa U. MD MIT U. CA, Santa Cruz U. TX, Austin U. Chicago Ranking by Total Expenditures in Chemistry 131,509 49,819 43,370 42,275 36,411 26,269 20,336 19,951 16,923 14,199 Rutgers Calterch Northwestern U. GA Tech U. IL, Harvard U. U. CA, San Diego U. TX, Austin U. NC, Chapel Hill MIT Ranking by Total Expenditures in Physics 37,302 35,393 32,213 31,424 29,306 29,007 27,326 26,985 26,806 26,376 Caltech Johns Hopkins MI State U. U. MD, College Park MIT FL State U. U. CA, Los Angeles U. TX, Austin Cornell U. U. WI, Madison 179,284 90,028 66,999 64,154 61,334 57,570 54,117 51,496 43,711 36,655 Total R&D Expenditures in Engineering (FY 2011) Rank Ranking by Total Expenditures in Engineering 1 Johns Hopkins 2 GA Tech 3 MIT 4 PA State 5 TX A&M 6 SUNY, Albany 7 Purdue 8 U. MI, Ann Arbor 9 U. TX, Austin 10 VA Polytechnic 11 OH State U. 12 Berkeley 13 U. IL 14 Stanford U. 15 U. MD, College Park 16 U. WI, Madison 17 NC State U. 18 U. CA, San Diego 19 U. WA, Seattle 20 U. MN Ranking by Total Expenditures in Aerospace enginering 854,997 451,494 305,042 276,101 263,765 246,554 216,949 205,299 204,701 194,811 166,439 164,287 147,255 121,699 116,928 116,207 113,678 109,397 107,059 97,401 Johns Hopkins UT State U. GA Tech Wichita State U. U. CO, Boulder U. AL, Huntsville MIT TX A&M U. MD, College Park PA State U. MI, Ann Arbor SUNY, Albany Stanford U. Purdue U. TX, Austin Princeton U. U. TN, Knoxville U. FL U. WA, Seattle U. IL Ranking by Total Expenditures in Chemical engineering 105,406 61,238 55,762 42,242 41,196 22,479 22,326 20,060 18,639 16,837 11,601 11,155 11,090 10,991 10,626 10,564 10,354 9,751 9,624 9,586 U. TX, Austin MIT OK State GA Tech TX A&M SUNY, Albany OH State U. NC State U. Johns Hopkins U. CO, Boulder PA State U. SC, Columbia U. MA, Amherst U. DE Purdue MI State U. U. Akron U. CA, Davis U. WI, Madison Stanford U. Ranking by Total Expenditures in Civil engineering 36,931 32,138 31,108 28,053 27,683 26,401 25,225 22,043 18,955 18,775 16,613 16,450 15,724 15,557 14,322 13,994 13,398 13,191 12,990 12,823 TX A&M VA Polytechnic SUNY, Albany Purdue U. CA, Berkeley U. TX, Austin U. CA, Davis GA Tech U. IL U. IA Rutgers U. FL U. MN PA State U. South FL U. UT UT State U. MIT U. MI, Ann Arbor IA State U. Ranking y Total Expenditures in Electrical engineering 67,352 53,684 47,227 40,563 38,013 33,085 26,880 26,071 25,027 21,115 20,879 20,607 20,363 18,509 17,912 17,338 16,073 15,551 15,446 15,334 Johns Hopkins GA Tech U. CA, Berkeley PA State U. CA, San Diego U. MI, Ann Arbor MIT SUNY, Albany U. IL Purdue AZ State U. U. TX, Austin VA Polytechnic OH State U. Stanford U. U. WA, Seattle U. CA, Santa Barbara U. CA, Los Angeles Vanderbilt U. MS State U. Ranking by Total Expenditures in Mechanical enfineering 245,330 167,938 88,793 80,731 67,742 51,217 49,054 46,266 43,016 42,370 40,216 39,402 38,452 31,939 31,730 31,429 30,887 23,765 23,016 21,919 Johns Hopkins GA Tech U. Rochester PA State OH State U. MIT U.S. Air Force Academy Purdue VA Polytechnic TX A&M U. MI, Ann Arbor SUNY, Albany Stanford U. U. MD, College Park U. IL U. SC, Columbia FL State U. U. MN U. TX, Austin MI Technological U. Biomedical Engineering: # 31; Total Expenditures ~ $ 10 million Ranking by Total Expenditures in Materials engineering 171,794 74,832 69,865 66,372 57,650 49,716 48,406 42,996 39,298 39,154 36,878 33,719 27,512 27,044 26,617 22,824 19,368 17,962 16,088 14,907 PA State U. Dayton Princeton U. GA Tech U. ME MIT U. CA, Santa Barbara OH State U. U. TX, Austin Northwestern U. SUNY, Albany NC State U. U. IL Clemson U. VA Polytechnic U. TN, Knoxville U. FL CO School of Mines U. MD, College Park U. DE 74,256 45,009 31,608 27,795 26,991 26,930 26,468 24,380 22,926 18,296 18,022 17,580 16,364 14,641 12,717 11,493 11,377 11,262 11,106 10,274 R&D Expenditures in Math and Computer Sciences (FY 2011) Rank Ranking by Total Expenditures in Mathematics 1 Johns Hopkins 2 U. WA, Seattle 3 M. D. Anderson 4 U. TX, Austin 5 NC State U. 6 Rutgers 7 U. MI, Ann Arbor 8 Brown U. 9 PA State 10 TX A&M 11 U. MN 12 IA State U. 13 NY U. 14 Stanford U. 15 Duke U. Total expenditures 32,764 29,706 20,185 19,814 18,202 17,011 14,148 13,059 11,732 11,719 11,130 11,083 11,077 10,170 9,581 Federally financed expenditures 30,318 27,972 5,999 12,808 10,548 11,993 7,484 9,243 8,815 5,586 8,338 4,220 10,643 7,890 7,067 Ranking by Total Expenditures in Computer Sciences U. Southern CA Carnegie Mellon U. Johns Hopkins GA Tech U. IL U. TX, Austin U. Chicago MIT PA State U. MD, College Park U. CA, San Diego OR Health and Science U. OH State U. U. TN, Knoxville U. UT Total expenditures 100,668 95,836 95,389 77,966 69,426 62,366 51,948 50,127 41,648 39,215 35,918 33,863 33,426 25,965 24,172 Federally financed expenditures 96,637 84,913 87,812 57,370 46,060 52,665 49,498 35,120 32,822 25,572 16,797 29,478 9,445 22,894 15,577 Total R&D Expenditures in Environmental Sciences (FY 2011) Rank Ranked by total All environmental expenditures in all sciences environmental sciences 1 U. WA 2 Woods Hole 3 U. CA, San Diego 4 TX A&M 5 CO State, Ft. Collins 6 U. CO, Boulder 7 U. HI, Manoa 8 Columbia 9 U. TX, Austin 10 U. NH Atmospheric sciences 179,584 149,491 139,142 131,467 126,631 94,557 86,166 80,567 70,809 68,712 25,270 0 15,431 5,531 37,895 32,619 1,380 18,428 0 40,664 Earth sciences 6,971 0 31,949 5,510 88,736 51,268 17,056 62,139 59,241 10,590 Oceanography 78,990 149,491 91,755 105,296 0 244 63,152 0 9,294 17,458 Other Science Fields ranked by NSF: • • Social Sciences: #30, Total Expenditures approx. $ 17 million Psychology: #42, Total expenditures approx. $ 9 million Total R&D Expenditures in Non Science & Engineering (FY 2011) Rank Institution 1 Brown U. 2 U. MO, Columbia 3 U. WI, Madison 4 U. TX, Austin 5 U. MI, Ann Arbor 6 Purdue 7 U. FL 8 U. South FL, Tampa 9 U. AK, Fairbanks 10 U. CA, Los Angeles 11 Stanford U. 12 GA State U. 13 OH State U. 14 Columbia 15 U. CA, Berkeley 16 U. WA, Seattle 17 TX Tech U. 18 U. PA 19 AZ State U. 20 Vanderbilt U. All non-S&E fields 120,635 100,688 88,919 73,794 66,133 58,230 53,883 51,597 42,638 39,907 39,578 38,504 38,103 37,727 37,019 36,007 34,751 34,514 31,648 31,225 Business 2,865 140 30,127 8,986 10,129 11,940 3,107 5,749 2,856 5,932 855 7,991 1,930 2,846 3,750 1,310 8,787 11,906 2,039 36 Communication, journalism, and library science Education 801 224 2,918 5,831 1,572 2,226 3,536 5,404 22 156 791 48 908 7,117 1,570 485 14,104 6,573 1,080 11,544 7,837 3,190 35,924 31,084 17,918 5,689 8,002 23,167 2,286 24,865 34,542 11,156 29,394 728 18,102 10,830 6,894 7,415 2,601 17,182 Humanities 15,865 50 12,665 1,637 15,516 3,623 1,139 884 180 5,486 431 2,974 3,319 4,553 3,726 1,799 2,011 2,720 4,135 1,026 Law 0 1 2,124 95 3,722 0 126 0 0 1,939 487 1,354 1 6,283 9,545 632 585 1,038 623 1,159 Social work 0 0 469 4,408 5,597 0 50 2,791 0 0 0 609 1,375 9,538 0 18,679 650 4,223 2,625 0 Visual and performing arts 3,116 0 1,034 409 1,440 446 265 1,307 0 1,529 0 692 236 357 326 293 1,720 639 1,252 36 Other 90,151 97,083 3,658 21,344 10,239 34,306 37,658 12,295 37,294 0 2,472 13,680 940 6,305 0 1,979 0 0 17,293 242 Trends in Commercialization Disclosures Filed 200 180 160 140 120 100 80 60 40 20 0 188 Patents Issued (US+ Foreign) 120 179 157 154 168 161 139 129 100 72 80 99 93 40 2007 2012 2013 0 2005 2006 2007 2008 2009 2010 2011 2012 2013 2004 2005 30 50 25 32 40 24 11 12 0 2004 13 10 0 2005 26 0 2006 12 11 1 2007 2009 2010 2011 10 20 20 17 10 10 8 2 7 6 2008 2009 2010 2011 2012 2013 7 3 18.3 14.3 15 9 9 11 4 25.6 20.3 22 16 30 2008 Licensing Revenues ($MM) 60 0 2006 32 Licenses 10 43 20 2004 20 43 101 68 61 54 53 60 97 11.6 10 5.4 6.7 8.4 10.9 6.8 5 0 Op ons Non-Exclusive Exclusive 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Strategic Goals for Commercialization • Sustain current focus on due diligence and deal quality – Focus on Industry friendly practices (e.g. use of “Technology Validation Agreements”) • Sustain current investment in IP protection • Develop deep relationships with top-tier counsel – Leverages counsel’s relations with potential licensees – Allows counsel to develop familiarity with UT rules & practices • Leverage Licensing opportunities to generate research funding – Helps sustain faculty’s research program – Strengthen licensee’s commitment to the technology – Focuses on licensees with the resources for successful commercialization • Facilitate startup formation – Nurture relationships with VC and Angel Investors Selected Policies Overview Objectivity in Research/Conflict of Interest: “Promoting Objectivity in Research by Managing, Reducing or Eliminating Financial Conflicts of Interest” Research Misconduct “Misconduct in Science and Other Scholarly Activities” Intellectual Property “Regent’s Rules and Regulations: Series 90000” Objectivity in Research or UTS-175 (Conflict of Interest) Policy at http: //www.policies.utexas.edu/policies Search for “Objectivity in Research” Elements of the Policy: • Policy applies broadly to ALL research, whether externally funded or not. • Requires training every 4 years • Individual must identify ALL research in which in the individual is engaged • Sponsored project: Easy (preloaded on electronic system from OSP). • Research Gifts • Institutionally Funded Objectivity in Research or UTS-175 (continued) • Financial Interest Disclosure (FI) – • • Includes spouse, dependent children, and adults who reside in the same household … and “financially interdependent…” Determination of Financial Conflict of Interest (FCOI) by “COI Official” If FCOI, must develop “management plan” – – – Meet Chair/Director as appropriate to discuss FCOI In some cases disclose to students Disclose FCOI in publications • All kept in electronic database • Policy calls for periodic audits Objectivity in Research or UTS-175 (continued) What to Disclose: • PUBLICLY TRADED ENTITY: – Payments and/or equity interest of more than $5,000 (aggregated over 12 months) • NON-PUBLICLY TRADED ENTITY: – Payments of more than $5,000 (salary, consulting fees, paid authorship) – Any equity interest • • • • INTELLECTUAL PROPERTY AND ROYALTIES (not paid by the University) TRAVEL (with some exceptions) GIFTS (that aggregate to more than $250 from a single organization) FIDUCIARY POSITIONS (in a for-profit or nonprofit entity in the preceding twelve months; such as a member of the board of directors, an officer, or other executive or management position, for which the individual received any form of remuneration or reimbursement for expenses) Objectivity in Research or UTS-175 (continued) Exclusions: • Salary, royalties, or other remuneration paid by the University • Income from seminars, lectures, or teaching engagements sponsored by a federal, state, or local government or a U.S. institution of higher education • Income from service on an advisory committee or review panel for a federal, state, or local government or a US institution of higher education • Income from investment vehicles, such as mutual funds or retirement accounts • Travel reimbursed or sponsored by a federal, state, or local government agency, or a US institution of higher education Scientific Misconduct or Misconduct in Other Scholarly Research First academic in the U.S. to be jailed (in 2006) for falsifying data in a grant application: Prof. Eric T. Poehlman, University of Vermont On sentencing, Judge William Sessions III said "I generally think deterrence is significant, perhaps more so in this case. The scientific community may be watching." Sessions reprimanded Poehlman for his misconduct, saying he had "violated the public trust." Crack Down on Scientific Fraudsters By ADAM MARCUS and IVAN ORANSKYJULY 10, 2014 • Dr. Dong-Pyou Han: NIH grant for AIDS vaccine development (spiked rabbit blood with human antibodies to fake response). • Predictably, Dr. Dong-Pyou Han gets caught. • Dr. Han resigns, Iowa State returns $500k of Dr. Han’s salary to NIH, NIH rescinds rest of the grant ($1.4M) and imposes three-year ban on funding. • BUT, Iowa Senator Chuck Grassley finds out (”seems like a light penalty…”).. • So, Dr. Dong-Pyou Han gets arrested and charged with four felony counts… Scientific Misconduct or Misconduct in Other Scholarly Research Policy: http://www.policies.utexas.edu/policies/misconduct-science-and-otherscholarly-activities YES — Fabrication, falsification, or plagiarism (plus other serious deviations from ethical standards for proposing, conducting, or reporting research) NO — Ordinary errors, good faith differences in interpretations or judgments of data, scholarly or political disagreements, good faith personal or professional opinions, or private moral or ethical behavior or views Scientific Misconduct or Misconduct in Other Scholarly Research Report ALL allegations (oral or written) to VPR or to the Research Integrity Officer (RIO). RIO conducts “inquiry” to determine if an “investigation” is needed. If research is Federally funded, then the Agency is notified (Office of Research Integrity for NIH, etc.) Investigation Report submitted to the Provost for final decision/adjudication. If Federally funded research, decision, report, etc. sent to Feds Critical Issue: Confidentiality. Scientific Misconduct or Misconduct in Other Scholarly Research As a Department Chair, What Should YOU Do? Take time to read the policy. Notify your faculty of policy and reporting requirements. Notify the Office of VPR (RIO) immediately of any allegation. Respect strict confidentiality. Intellectual Property Full Policy: http://www.utsystem.edu/bor/rules/#A10 Plain English: http://www.utsystem.edu/ogc/IntellectualProperty/IPpolicy_english.htm Encourages “development of inventions…” for “the best interest of the public, the creator, and the sponsor, if any…” Applies to all employees: faculty, postdocs, and students (graduates and undergraduates). Board of Regents owns IP in some cases. Provides exemptions for “scholarly works.” Establishes royalty sharing with inventor. Intellectual Property Board Owns IP if: (typically inventions, discoveries, trade secrets, trade & service marks, software) Created by an employee within the course and scope of employment. Created using University facilities or state financial support. Commissioned by University (work for hire). Results from research supported by Federal funds or third party sponsorship. Intellectual Property Author/Researcher Owns IP if: IP is unrelated to the employee's job responsibilities and the employee made no more than incidental use of University resources. The invention has been released to the inventor. If the intellectual property is embodied in a scholarly, educational, artistic, musical, literary or architectural work in the author's field of expertise, even though such a work may be within the scope of employment and even if System resources were used. Possible Changes UT System Task Force Recommendations (draft): 1. Re-write IP policy to “..enhance brevity, simplicity of language, and clarity of intent.” 2. Policy “should affirm student ownership of student created IP.” 3. “…commercialization and discovery efforts should be consider in institutional processes related to promotion and tenure.” 4. Flexibility in royalty sharing between institution and faculty (30% to 50%). 5. UT System should be charged to assess commercialization on the campuses. 6. UTS should “appraise” strategies for a more aggressive use of facilities in university-industry partnerships. 7. UT System Institute for Transformational Learning should be charged to assess educational technologies and how IP and commercialization are managed at UT institutions. Contacts for High Level Assistance Robert Peterson, Office of the Vice President for Research Scientific Misconduct Wayne Patterson, Office of Research Support Human Subjects, Bio-Safety, Research with Animals Conflict of Interest Dan Sharp, Office of Technology Commercialization IP, Technology licensing and commercialization issues Bill Catlett, Office of Industry Engagement Research Contracts with Industry Susan Sedwick, Office of Sponsored Projects Proposals, Contracts & Grants, Material Transfer Agreements, Restricted Data Use Agreements, Export Controls Or Me on all of the above… Questions? Thank you.