1. 1 Administrator’s Forum Ray Martinez, Director of Government Relations Oct. 7, 2008 Government Relations Update

2. 2 Government Relations Responsibilities Identify and prioritize Rice’s legislative and grant objectives and develop and execute strategies for achieving them Cultivate relationships with state and federal decisionmakers Inform, advise and deploy Rice leaders and faculty Arrange visits by government and public officials Build a grassroots and grasstops network Coordinate with higher education associations and institutions

3. 3 Government Relations Setting Rice’s agenda: Conduct “Call for Proposals” in collaboration with vice president for public affairs, vice provost for research, deans, department chairs, institute and center directors and key faculty –Funding requests go through an internal review and prioritization process – President Leebron and Provost Levy make final decisions. Ensure Rice’s funding proposals are prepared and submitted to congressional delegation by deadline. Work to achieve priorities.

4. 4 Government Relations Measures of success Measurable increase in grants, special appropriations and earmarks Improved relationships with key political leaders Measurable increase in faculty members invited to testify before and advise policymakers

5. 5 Getting ready January 2008: Rice University issues its first formal “Call for Proposals” to deans and faculty for FY 2009 funding priorities. February 2008: Subcommittee on Energy and the Environment holds congressional hearing on Rice campus. Major milestones in 2008

6. 6 Getting ready April 2008: Rice delegation visits Capitol Hill to advocate for legislative priorities. Delegation visits with Reps. John Culberson, Nick Lampson and Gene Green, and with staff for Sens. Kay Bailey Hutchison and John Cornyn, House Speaker Nancy Pelosi and Majority Leader Steny Hoyer. May 2008: Rice hires new D.C. government affairs firm. Major milestones in 2008

7. 7 Getting ready June 2008: Public Affairs begins regular “Government Relations update,” a weekly e- mail to more than 100 faculty and staff. July 2008: Rice formally became “federal registrant” to comply with revised federal ethics laws. August 2008: Texas Lt. Gov. David Dewhurst visits Rice. September 2008: Rep. Culberson and Dr. Andrew von Eschenbach, commissioner of the Food and Drug Administration, tour Rice labs. October 2008: “Call for Proposals” to deans and faculty for FY 2010. Major milestones in 2008

8. 8 Selection of Federal Government Relations Firm Government Relations

9. 9 Selection of new federal lobby firm “Request for Proposals” sent to 12 prospective firms in February 2008. RFP indicated Rice University’s interest in three particular areas: (1) demonstrated knowledge and contacts with relevant federal agencies; (2) extensive experience with and knowledge of Capitol Hill; (3) strong interest in working directly with Rice University staff and faculty to cultivate greater understanding of federal government relations process which could yield new opportunities for sponsored research. Eleven (11) firms submitted proposals for consideration.

10. 10 Government Relations Overall one-year objectives 1.Legislative advocacy Strategic relationship-building (Texas delegation; key congressional members and staff); Leveraging opportunities to increase Rice University’s federal presence and profile (i.e., identifying emerging policy issues and trends; assist with getting Rice faculty invited for congressional testimony and/or agency peer-review panels). 2.Executive branch advocacy Enhance relationships with decision-makers in key federal agencies; Identify additional opportunities for faculty to compete for research grant funding. 3.Strengthen on-campus buy-in and participation 4.Coalition-building

11. 11 FY 2009 Federal Funding Priorities

12. 12 Rice’s growth in federal research is strong relative to peers Institution2001-2006 Duke90.2% MIT56.5% Rice51.0% Princeton49.9% Washington U.43.3% Stanford40.5% Yale39.0% Harvard34.3% AAU Median49.5%

13. 13 Rice’s total federal research is well below peers Institution2006 Total Federal Research Expenditures Stanford$540,069,000 Columbia$451,187,000 Duke$414,419,000 Washington U.$408,402,000 Harvard$403,458,000 Yale$348,500,000 Princeton$117,845,000 Rice$ 53,880,000

14. 14 RICE UNIVERSITY Sponsored research funding (all sources) FISCAL YEAR TOTAL FY 2003$ 57.4 FY 2004$ 67.1 FY 2005$ 70.5 FY 2006$ 71.8 FY 2007$ 77.1 FY 2008Over $100 million!

15. 15 Federal Issues in FY 2009

16. 16 Federal issues in FY 2009 1.Presidential election: Distraction Higher education is not likely to be a central issue, but criticism of tuition and endowments continues 2.Earmarks: Under attack A recent Senate vote to eliminate earmarks for one year failed by a wide margin, but momentum remains to eliminate or reduce “pork” 3.Federal budget Congress recently passed a continuing resolution to fund domestic agencies through March 2009; action on appropriations bills could slide even further.

17. 17 Federal issues in FY 2009 University endowments and college affordability Senate Finance Committee leaders Max Baucus, D- Montana, and Charles Grassley, R-Iowa, call for detailed reports on higher ed finances – endowments, tuition, student aid. Months later, reports still being digested. Grassley and Rep. Peter Welch, D-Vermont, held a roundtable on the issue last month. So far no action to regulate tuitions or impose mandatory payouts on endowments, but threat still looms.

18. 18 Federal issues in FY 2009 Higher Education Opportunity Act of 2008 HEOA signed into law Aug. 14, 2008. Department of Education holding hearings to develop rules for implementation. Adds extensive reporting and disclosure requirements across a range of activities including university finances, textbooks, peer-to-peer file sharing and more. The DOE will publish annual lists that report schools with largest tuition increases beginning July 1, 2011. Institutions must post “college cost calculator” on Web site.

19. 19 State Priorities Update

20. 20 Texas Cancer Prevention and Research Institute (CPRI): $3 billion in funding for cancer research Developing Rice’s proposals (Rice lead: Gene Levy) Malcolm Gillis named vice chair of the CPRI governing board Severe Storm Prediction, Education and Evacuation from Disaster (SSPEED) Center: Program authorized by Texas Legislature in 2007 2009 state legislative priorities

21. 21 Cross registration for schools in the Gulf Coast Consortium(Rice lead: Dean Kathleen Matthews) Right-to-carry arms on college campuses (Rice lead: Chief Bill Taylor) Proposed restructuring of state financial aid Total TEG funding for Rice for FY ’08-’09 was $2.4 million Additional state priorities

22. 22 Federal Ethics and Reporting Requirements

23. 23 Passed by Congress on Sept.14, 2007, HLOGA strengthens ethics rules for all elected officials, political appointees and staff of the legislative and executive branches. Primarily focuses on institutions and corporations that employ a federal lobbyist Restricts allowable activities and increases the frequency and detail of reporting requirements Because Rice employs full-time lobbyist and retains the services of a lobbying firm in D.C., it is subject to the new rules –All Rice employees must comply with HLOGA. Honest Leadership and Open Government Act (HLOGA)

24. 24 Covered executive branch official: The president The vice president Officers and employees of the executive office of the president Any official serving in an executive level I through V position Any member of the uniformed services serving at grade 0-7 or above Schedule C employees Honest Leadership and Open Government Act (HLOGA)

25. 25 Covered legislative branch official: A member of Congress An elected officer of either the House or the Senate An employee who works for a member, committee, leadership staff of either the Senate or House, a joint committee of Congress, a working group or caucus organized to provide services to members, and any other legislative branch employee serving in a position described under section 109(13) of the Ethics in Government Act of 1978. Honest Leadership and Open Government Act (HLOGA)

26. 26 Lobbying disclosure reports: Government Relations will compile and file all required reports on a quarterly basis. The following information is needed: –Time spent lobbying a “covered official” from legislative and/or executive branch –Time spent preparing for lobbying activity (work done with the intent that the results will be used for lobbying contact) –All expenditures made with the eventual intent of lobbying (travel, meals, entertainment, etc.) –Exceptions to lobbying activity include: Testimony given before Congress, divulging information expressly requested by Congress or a federal agency and preparing information for a grant request Honest Leadership and Open Government Act (HLOGA)

27. 27 Lobbying disclosure reports – EXAMPLE! Ray, I met with John Smith who is the legislative director for Congressman Benjamin Franklin at 2 p.m. on Feb. 30, 2009 to discuss a nanoscience research initiative at Rice. The meeting with Mr. Smith lasted for approximately 20 minutes and I shared a presentation with him describing how Rice would use earmarked funds to dramatically enhance the use of nanotechnology in alternative energy solutions. The presentation was prepared specifically for my visit to congressional staff and agency representatives in Washington, DC and I spent approximately two hours preparing the presentation. At 4 p.m. on Feb. 30, 2009, I met with Dr. Gimme Sun, the deputy director of the Department of Energy for Solar Energy Systems and used the same presentation described above. The total cost of my trip to DC was $1,000 for airfare, $200 for meals, and $30 for local transportation. Approximately, 10% of the time I was in DC was spent discussing the nanoscience initiative with Mr. Smith and Dr. Sun, so I am estimating that I spent $123 on lobbying activities. The remainder of my time was spent working with collaborators at Georgetown University on research. Honest Leadership and Open Government Act (HLOGA)

28. 28 Gifts: Rice University and all of its employees are now heavily restricted from providing gifts of any kind to any “covered employee.” The “$50 dollar or less” rule has been removed from the books! Rice employees should no longer offer anything of value to any covered governmental official without full reimbursement including, but not limited to: –Meals, alcoholic beverages, parking fees, etc. –Tickets to sporting events or concerts –Travel or hotel accommodations –In an attempt to avoid any violation, an employee may not use personal funds to pay for any of the above items, either. Honest Leadership and Open Government Act (HLOGA)

29. 29 THERE ARE EXCEPTIONS TO THE GIFT RULE… BUT BE CAREFUL! Personal friendship of up to $250—Rice employee must pay for said gift with own funds and there must have be an established history of, not only friendship, but mutual gift giving between the parties Nominal foods at a meeting—bagel, coffee, muffin, etc. An item of nominal value—greeting card, baseball caps and t-shirts (*Note: these are the only items that are permitted under this clause, not something of equal value to a t-shirt, but a t-shirt only) Books or other informational material Special plaques or awards Meals at special meetings of groups of constituents, as long as a lobbyist is not in attendance (civic group, student group, etc.) Any political donation lawfully made under the Federal Election Campaign Act Honest Leadership and Open Government Act (HLOGA)

30. 30 Accountability and punishment: The new rules broaden accountability for ethics violations. If a faculty member, administrator, or staff person is found in violation of federal ethics laws, Rice University is also found in violation. The punishment for infringements have been increased as well, with the maximum civic penalty raised to $100,000 and the criminal penalty heightened to 5 years in prison. Honest Leadership and Open Government Act (HLOGA)

31. 31 Check out our new Web site! Rice University Government Relations http://www.staff.rice.edu/staff/Home4.asp?SnID=2 http://www.staff.rice.edu/staff/Home4.asp?SnID=2