UNIVERSITY OF MINNESOTA BOARD OF REGENTS Friday, September 12, 2008 9:00 - 11:30 a.m. 600 McNamara Alumni Center, Boardroom Board Members Patricia Simmons, Chair Clyde Allen, Vice Chair Anthony Baraga Dallas Bohnsack Linda Cohen John Frobenius Venora Hung Steven Hunter Dean Johnson David Larson David Metzen Maureen Ramirez AGENDA 1. Recognition of Regents Professors - R. Bruininks (p. 2) 2. Introduction of UMF President & CEO - R. Bruininks (p. 4) 3. Approval of Minutes - Action - P. Simmons 4. Report of the President - R. Bruininks 5. Report of the Chair - P. Simmons 6. Receive and File Reports (pp. 5-52) A. Annual Report on Legal Matters B. Quarterly Report of Grant & Contract Activity C. Annual Asset Management Report 7. Report of the All-University Honors Committee - Review/Action - R. Bruininks (p. 53) 8. Gifts - Review/Action - S. Goldstein (pp. 54-70) 9. Quarterly Summary of Expenditures - Review/Action - P. Simmons (pp. 71-74) 10. Report of the Faculty Consultative Committee - E. Hoover (pp. 75-77) 11. University Plan, Performance & Accountability Report - Review - R. Bruininks/ T. Sullivan (pp. 78-233) 12. State Biennial Budget Request 2009-2011 - Review - R. Bruininks (pp. 234-235) 13. Report of the Educational Planning & Policy Committee - D. Larson 14. Report of the Facilities Committee - D. Metzen 15. Report of the Audit Committee - L. Cohen 16. Report of the Faculty, Staff & Student Affairs Committee - J. Frobenius 17. Report of the Finance & Operations Committee - S. Hunter 18. Report of the Litigation Review Committee - A. Baraga 19. Old Business 20. New Business 21. Adjournment UNIVERSITY OF MINNESOTA BOARD OF REGENTS Board of Regents September 12, 2008 Agenda Item: Recognition of Regents Professors review review/action action discussion Presenters: President Robert H. Bruininks Purpose: policy background/context oversight strategic positioning To recognize four newly appointed Regents Professors at the University of Minnesota: Professor Allen Goldman, Institute of Technology Professor Steven Ruggles, College of Liberal Arts Professor Eric Sheppard, College of Liberal Arts Professor Madelon Sprengnether, College of Liberal Arts Outline of Key Points/Policy Issues: Professor Allen Goldman is a professor of physics and astronomy at the University. He has conducted groundbreaking research in the area of condensed matter physics, including superconductivity, low-dimensional electronics systems, and the superconducting-metal-insulator transition. He is described by his colleagues around the world as a "towering giant in the field of condensed matter physics," and "one of the premier experimentalists in the field worldwide." Professor Steven Ruggles is a professor of history at the University. He has emerged as one of the most widely known historical demographers in the world. Colleagues describe him as a "scholar of astonishing breadth of knowledge and productivity whose work has reshaped the field of historical demography and has had a profound effect on the fields of sociology, economics, and history." Professor Eric Sheppard is a professor of geography at the University. His contributions are recognized globally and have transformed the core understanding of the space economy, urban transfrmation, regional development, globalization and geographic science. His colleagues describe him as a "towering intellect, a universally admired educator and a highly respected leader." 2 Professor Madelon Sprengnether is a professor of english at the University. She is a nationally and internationally recognized scholar in the field of literature, women's studies and psychoanalysis, and the study of human psychological functioning and behavior. Her work is described as "profoundly creative, original, interdisciplinary, and transformative." Background Information: Appointment of these Regents Professors was approved by the Board of Regents on June 13, 2008, and exemplify the University's strong commitment to recruiting, mentoring, rewarding, and retaining world-class faculty and staff who are innovative, energetic, and dedicated to the highest standards of excellence. The Regents Professorship was established in 1965. It is the highest recognition given by the University to a member of its faculty for outstanding academic distinction in scholarly or artistic work, teaching, or contributions to the public good. Once designated a Regents Professor, faculty members hold the title for as long as they remain at the University. 3 UNIVERSITY OF MINNESOTA BOARD OF REGENTS Board of Regents September 12, 2008 Agenda Item: Introduction of UMF President and CEO review review/action action discussion Presenters: President Robert H. Bruininks Purpose: policy background/context oversight strategic positioning To introduce L. Steven Goldstein as the new University of Minnesota Foundation President and Chief Executive Officer to the Board of Regents and University community. Outline of Key Points/Policy Issues: Background Information: L. Steven Goldstein graduated from the University of Minnesota in 1973 with a degree in history, at which point he began a 13-year career with Carmichael-Lynch Advertising, eventually becoming senior vice president, and later serving in such leadership positions as vice president and general manager of WCCO Radio, co-founder of Colfax Communications, and chairman of Internet Broadcasting. Steven has been a trustee of the University of Minnesota Foundation since 2000 and vice president of strategic initiatives since 2005, focusing on developing new revenue streams to support the University's strategic goals. He has extensive volunteer nonprofit experience, including past service as president of the University of Minnesota Alumni Association, and board member of the Walker Art Center, Blake School, Minneapolis Foundation, and Greater Twin Cities United Way; Steven is currently a trustee of the Bush Foundation. 4 UNIVERSITY OF MINNESOTA BOARD OF REGENTS Board of Regents September 12, 2008 Agenda Item: Receive and File Reports review review/action action discussion Presenters: Regent Patricia Simmons Purpose: policy background/context oversight strategic positioning Outline of Key Points/Policy Issues: Background Information: There are three items for receipt and filing: 1. Annual Report on Legal Matters 2. Quarterly Report of Grant & Contract Activity 3. Annual Asset Management Report 5 Office of the General Counsel Annual Report | 2008 Annual Report | 2008 6 MISSION STATEMENT OF THE OFFICE OF THE GENERAL COUNSEL • To safeguard the constitutional authority of the Board of Regents and those who act in its behalf to govern the University effectively. • To represent the University in adversarial forums zealously and in accordance with the highest standards of integrity and ethics. • To protect the University’s legal interests in all transactions, thereby protecting the investment of the citizens of Minnesota in the University. • To provide preventive legal services and counsel to University officials so that all the institution’s activities comply with applicable laws and University policies. • To protect the principles of due process in the University’s treatment of faculty, staff, students and all other members of the University community. 7 TABLE OF CONTENTS I. Introduction ..........................................................................................................................1 II. Litigation Activity .................................................................................................................2 A. Court Decisions ........................................................................................................2 B. Labor Arbitrations, Grievances and Administrative Agency Charges ..........................3 C. Internal University Proceedings and Investigations ....................................................4 D. Settlements ................................................................................................................4 III. Transactional Activity ............................................................................................................4 A. Technology Commercialization and Patent Protection ..............................................5 B. Research Agreements and Sponsored Projects ............................................................5 C. Copyrights and Trademarks .......................................................................................6 D. Real Estate Transactions and Development ................................................................7 E. Commercial Transactions ..........................................................................................8 IV. Legal Advice and Preventive Law Activities ............................................................................9 V. Institutional Compliance Office ..........................................................................................11 VI. Athletic Compliance Office .................................................................................................12 VII. Records and Information Management Office .....................................................................13 VIII. Report on the Use of Outside Counsel ................................................................................13 IX. Biographical Notes ..............................................................................................................14 8 INTRODUCTION During FY 2008 OGC undertook two Twenty-seven years ago the Office of the Gen- important