I David Lassner UNIVERSITY President of HAWAI'I" DEPT. CQMM. NO. $3 SYSTEM December 14,2016 The Honorable Ronald D. Kouchi, The Honorable Joseph Souki, Speaker President and Members of the Senate and Members of the House of Representatives Twenty-N i nt h State Legislature Twenty-Ni nt h State Legislature Honolulu, Hawai'i 9681 3 Honolulu, Hawai'i 9681 3 Dear President Kouchi, Speaker Souki, and Members of the Legislature: For your information and consideration, the University of Hawai'i is transmitting one copy of the Annual Report on Research and Training Revolving Fund 201 5-2016 (Section 304A-2253, Hawai'i Revised Statutes) as requested by the Legislature. In accordance with Section 93-16, Hawai'i Revised Statutes, this report may be viewed electronically at: http://www. hawaii.edu/offices/aovernment-relations/2017-lenislative-reports/. Should you have any questions about this report, please do not hesitate to contact Stephanie Kim at 956-4250,or via e-mail at [email protected]. Sincerely, DavidQd Lassner President Enclosure 2444 Dole Street, Bachrnan Hail Honolulu, Hawai'i 96822 Telephone: (808) 956-8207 Fax: (808) 956-5286 An Equal Opportunity/Affirmative Action Institution UNIVERSITY OF HAWAI‘I SYSTEM ANNUAL REPORT REPORT TO THE 2017 LEGISLATURE Annual Report on Research and Training Revolving Fund 2015-2016 HRS 304A-2253 November 2016 ANNUAL REPORT ON THE RESEARCH AND TRAINING REVOLVING FUND 2015-2016 INTRODUCTION The Research and Training Revolving Fund continues to be very effective in stimulating research, which results in extramural contracts and grants. This report summarizes the investments of the Fund for 2015-2016 and indicates the effectiveness of this support. Procedures for awarding grants from the Fund were the same as in previous years. The Governor’s approved guidelines for the administration and investments of the Fund: 1. The funds were administered by the Vice President for Research & Innovation (VPRI), the UH Mānoa Vice Chancellor for Research (VCR), and the University Research Council within the general guidelines approved by the University President. 2. The funds were administered in the four categories described under Part I – Fund Investments. I. FUND INVESTMENTS Pursuant to HRS Section 304A-2253, $49,924,695 was deposited into the Research and Training Revolving Fund and invested as follows: A. Scholarly Development Fund The Scholarly Development Fund serves two purposes. The first is to provide seed money support to develop research projects or training programs for extramural funding. The second is to provide travel funds for University professionals that enable them to communicate research and new ideas at international, national or regional meetings, and to permit contact with extramural funding agencies. Investments A total of $350,000 was invested in Professional Travel by the UH Mānoa VCR distributed as follows: The Council reviewed 249 travel requests totaling $567,545. It made 249 awards totaling $311,375. Table 1 lists the Professional Travel recipients. A total of $75,000 was invested in Professional Travel for UH West O‘ahu and was distributed as follows: Page 2 of 39 The Council reviewed 63 travel requests totaling $106,439. It made 46 awards totaling $75,399. Table 2 lists the Professional Travel recipients. Investments for 2015-2016: $425,000 B. Facilitating Services Fund The Facilitating Services Fund is used to support the research, instruction and public service missions of the University units that generated overhead revenue. The fund is invested in proportion to the overhead revenue generated by each of the units. Effective FY 1999, the Deans and Directors of the units were granted the authority to expend these funds at their own discretion. Investments A total of $25,353,532 was invested in the fund. Table 3 lists the distribution by unit. Investments for 2015-2016: $25,353,532 C. Project Development Fund The Project Development Fund is used to facilitate research and training in new or developing fields, provide matching funds for the acquisition of research equipment, and to promote participation in professional organizations. Investments The UH Mānoa VCR made 47 awards totaling $5,387,908. Table 4 lists the Project Development Fund recipients. $1,500 was invested in the Student Excellence in Research Awards by the UH Mānoa VCR. Table 5 lists the Student Excellence in Research Awards recipients. Investments for 2015-2016: $5,389,408 D. Vice President for Research and Innovation Investments: A total of $9,153,203 was invested for infrastructure: FY 2016 RCUH Management Fees 3,979,596 A‐133 Audit 58,022 High Speed Internet Connection 1,170,000 Technology Transfer 844,280 Systemwide Research Support 3,101,305 TOTAL 9,153,203 Page 3 of 39 The VPRI made 26 awards totaling $5,868,831 in support of programs summarized in Table 6. Investments for 2015-2016: $15,022,034 E. Summary of Investments Carry Forwards Expenditures Committed to Available Allocation / Adjustments Total Available FY 2015 be Spent Balance Professional Travel 425,000 154,785 579,785 412,985 166,800 - Facilitating Services 25,353,532 22,894,821 48,248,353 26,473,565.16 21,774,788 - Project Development Fund Vice Chancellor for Research 9,129,021 1,895,605 11,023,126 5,457,133.16 5,565,993 - Student Excellence in Research Awards 1,500 - 1,500 1,500 - - Astronomy Programs 2,496,236 (752,945.93) 1,743,290 1,443,117 300,173 - Vice President for Research & Innovation 3,366,203 (1,692,337) 1,673,866 7,451,797.25 (5,777,932) - Research Infrastructure 9,153,203 269,800 9,423,003 8,272,639 1,150,364 - TOTAL 49,924,695 22,769,727 72,692,922 49,512,736 23,180,186 - Page 4 of 39 II. RESULTS OF SEED MONEY AND PROFESSIONAL TRAVEL AWARDS A. Extramural Awards to Recipients of Seed Money Recipients of these funds are actively seeking new sources to support their research. The Scholarly Development Fund (“Fund”) is very important in this connection, especially for younger faculty not yet having established a track record. Once they have initiated research with seed money, they can cite initial results, and thus make a much stronger case for receiving additional support. Results from seed money are not always immediate, but may occur sometime after a seed money award. The results reported herein thus may be due to funds invested in earlier years. The Fund was initiated in 1975. The Research Council awards for seed money from the Fund give due consideration to the potential for generating extramural support. Faculty receiving seed money awards must indicate their plans for extramural funding to further research. During the last fiscal year, no awards were given for seed money. B. Extramural Awards to Faculty Receiving Travel Support The recipients of these travel awards are all productive scholars with active research agendas. The presentation of their research results at major professional meetings allows the investigators to meet with potential sponsors and exchange ideas with colleagues. It also exposes the broader professional community, including funding agencies, to the work being accomplished at the University of Hawai‘i, results in increased professional recognition of investigator and the University, and leads to additional funding. III. TOTAL EXTRAMURAL SUPPORT FOR RESEARCH/TRAINING, 2015-2016 Attached summary table, Table 7 for research and non- research projects, each of which gives comparative figures for awards made to the University, the past five years. In 2015-2016, research awards worth $199,840,628 and training awards worth $191,493,900 were received. Page 5 of 39 LIST OF TABLES Table 1 Professional Travel Awards Annual Report – Mānoa Table 2 Professional Travel Awards Annual Report – West O‘ahu Table 3 Distribution of Facilitating Services Fund Table 4 Project Development Fund Awards Table 5 Student Excellence in Research Awards Table 6 VP for Research & Innovation Awards Table 7 Five-Year Summary of Research and Non-Research Grants and Contracts Awarded Page 7 of 39 Table 1 2015 – 2016 Professional Travel Awards Annual Report - Mānoa Group Estimated Funds Amount Last Name First Name Rank Department Conference Title of Presentation Count Requested Approved 1Abinales Patricio I‐5Asian Studies $1,440.00 $1,000.00 Southeast Asian Studies in Asia Conference So Young, So Educated, So Thuggish: Fraternities and Violence in the Philippines Nakem International Conference on Mother Tongue‐Based 2 Agcaoili Aurelio I‐4Indo‐Pacific Languages, Linguistics and Literature $1,700.00 $1,300.00 Policy Analysis of the Mother Tongue‐Based Multilingual Education in the Philippines Multicultural Education 2016 3Ai Jing I‐4 Financial Economics and Institutions $2,750.00 $1,500.00 World Risk and Insurance Economics Congress “Why Use Agents? Consumer Reference Manipulation in Life Insurance Markets” Pacific Currents: An Indigenous Futurity without the State and Workshop on American Quarterly 4 Aikau Hokulani I‐4 Political Science $1,798.62 $1,500.00 American Studies Association Review and Editorial Process Association for Computational Linguistics‐ 9th Workshop on 5Alvarez Aitor S‐5Center for Language and Technology $1,919.00 $1,000.00 Language Technology for Cultural Heritage, Social Sciences, Enriching Digitized Medieval Manuscripts: Linking Image, Text and Lexical Knowledge and Humanities 6Aoude Ibrahim I‐5 Ethnic Studies $2,077.00 $1,000.00 The State of Iraq and Iraqi Studies Since Regime Change The Iraq War and Regional Conflict Council on Social Work Education 61st Annual Program 7 Aparicio Elizabeth I‐3Social Work $2,013.60