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Hogan Report on RF

Hogan Report on RF

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Published by: Casey Seiler on Jun 03, 2011
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10/07/2011

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 ___________________________________ 
 
REPORT TOSUNY Chancellor Nancy ZimpherSUNY Senior Vice-Chancellor Monica RimaiREVIEW OFTHE RESEARCH FOUNDATION – SUNY RELATIONSHIP ___________________________________ Clifford StrombergThe Law Firm of Hogan Lovells US LLPWashington, DCMay 2011
 
 
 
C O N T E N T S
 
Page
SCOPE OF THIS REPORT
..............................................................................................2
 
EXECUTIVE SUMMARY
..................................................................................................5
 
REPORT ON SUNY RESEARCH FOUNDATION RELATIONSHIP
..............................13
 
1.
 
Pre-Award Functions and Stimulating the Growth of Research........................13
 
2.
 
Grant Administration.........................................................................................19
 
3.
 
Disputes and Litigation......................................................................................24
 
4.
 
Compliance Functions......................................................................................25
 
5.
 
Technology Transfer and Commercialization...................................................29
 
6.
 
Legal Support....................................................................................................43
 
7.
 
Affiliated Entities and Ventures.........................................................................45
 
8.
 
Costs and Charges...........................................................................................51
 
9.
 
Communication, Collaboration and Transparency............................................57
 
10.
 
Legal Separation Between the RF and SUNY..................................................62
 
11.
 
Mission and Governance..................................................................................68
 
RECOMMENDATIONS
...................................................................................................76
 
LIST OF CHARTS
#1 Growth in SUNY Sponsored Research...............................................................14#2 SUNY versus Comparable Institutions: Growthin Total Federal Research.........................................................................15#3 Sources of SUNY Research Funding..................................................................17#4 SUNY Research Compared to Endowment Assets............................................18#5 Categories and Locations of RF Employees.......................................................20#6 Top Universities (plus SUNY): Research Expenditures,License Income and Return on Research Expenditures...........................32#7 SUNY-RF Technology Transfer Performance Over Time...................................34#8 Rate of SUNY Indirect Cost Recovery by Sponsor.............................................54#9 Trends in Indirect Cost Recovery........................................................................55#10 Sponsored Program Revenue Projections..........................................................83#11 Sponsored Program Revenue and F&A Recovery Analysis...............................84
LIST OF INTERVIEWEES
..............................................................................................85
 
 
REPORTTo: SUNY Chancellor Nancy ZimpherSUNY Senior Vice President and Chief Operating Officer Monica RimaiFrom: Clifford Stromberg, Hogan Lovells US LLPDate: March 2011Re: Review of The Research Foundation SUNY RelationshipSCOPE OF THIS REPORT
The Chancellor asked Hogan Lovells to review the legal status of the ResearchFoundation of SUNY (the “RF”), and its operational relationships with SUNY and theSUNY campuses, including importantly SUNY’s four health science centers (“HSCs”),which perform a large part of the research administered by the RF. We performed thisreview during the period October 2010 - February 2011.A.
Interviews
. We interviewed more than 50 people, including:1. Most of the RF’s management.2. A significant number of RF Board Members.3. Most of the leadership team at SUNY Stony Brook’s HSC.4. Most of the leadership team at SUNY Upstate’s HSC.5. Most of the leadership team at SUNY Downstate’s HSC.6. Most of the leadership team at SUNY Buffalo’s HSC.7. A few leaders suggested to us at some other major SUNY campuses (Albany,Binghamton, CNSE).8. Officials at SUNY Central Administration.After preparing a draft of this Report, we interviewed several top RF managers asecond time, in order to check certain facts and obtain responses on issues.

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