Annual Research Report
June 2012

This Page Intentionally Left Blank

Enterprise Metrics

Enterprise Size
Total Research Expenditures

1,200

Goal
Total

1,000

800

UofA

600

400
ASU
200

NAU

0

ABOR Enterprise Plan
Total
Goal
Difference

2007
782.7

2008
831.2

2009
873.1
873.1
0.0

2010
944.8
945.1
-0.3

2011
996.6
1009.3
-12.7

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
224.4
26.6
531.8
782.7

2008
259.5
25.8
545.9
831.2

2009
281.6
26.2
565.3
873.1

2010
329.3
28.8
586.6
944.8

2011
355.2
30.8
610.6
996.6

6

Discovery and Scholarly Impact
Invention Disclosures Transacted

350
Total
Goal
300

250

200
ASU
150

UofA

100

50
NAU

0

ABOR Enterprise Plan
Total
Goal
Difference

2007
262

2008
257

2009
306
310
-4

2010
327
327
0

2011
332
327
5

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
152
6
104
262

2008
147
9
101
257

2009
164
17
125
306

2010
187
9
131
327

2011
170
12
150
332

7

Discovery and Scholarly Impact
U.S. Patents Issued

40
Total
35
Goal
30
25
20

UofA
ASU

15
10
5
0

NAU

ABOR Enterprise Plan
Total
Goal
Difference

2007
35

2008
36

2009
32
30
2

2010
33
33
0

2011
37
32
5

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
15
2
18
35

2008
16
1
19
36

2009
20
1
11
32

2010
17
3
13
33

2011
18
0
19
37

8

Economic Development
Intellectual Property Income (in Millions)

6.0

5.0

4.0

Total
Goal

3.0
ASU
2.0
UofA
1.0

NAU

0.0

ABOR Enterprise Plan
Total
Goal
Difference

2007
5.5

2008
2.9

2009
3.6
3.9
-0.3

2010
4.0
4.5
-0.5

2011
3.8
3.7
0.1

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
4.0
0.0
1.5
5.5

2008
1.7
0.0
1.1
2.9

2009
2.6
0.0
1.0
3.6

2010
2.7
0.0
1.3
4.0

2011
2.3
0.0
1.4
3.8

NOTE: Intellectual Property Income reported here includes: (1) Licensing revenue (including Options); (2) Licensee Legal Reimbursements; and (3)
Other Revenues resulting from Technology Transfer Activities. For the purposes of each institution’s peer group comparison, the Intellectual Property
Income reported on page 30 of the institution’s report only includes Licensing Revenue (including Options). Analyses relating these values can be
found in the Technology Transfer Statistical Exhibits on page 45 of each institution’s report.

9

Economic Development
Startup Companies

20
18

Total
Goal

16
14
12
10

ASU

8

UofA

6
4
2
0

NAU

ABOR Enterprise Plan
Total
Goal
Difference

2007
7

2008
7

2009
12
12
0

2010
10
11
-1

2011
18
17
1

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
4
0
3
7

2008
1
0
6
7

2009
5
0
7
12

2010
4
0
6
10

2011
10
0
8
18

10

Economic Development
Doctoral Degrees Conferred

1,600
Total
Goal

1,400
1,200
1,000

UofA

800
600

ASU
400
200
NAU
0

ABOR Enterprise Plan
Total
Goal
Difference

2007
924

2008
957

2009
1,514
1,514
0

2010
1,405
1,406
-1

2011
1,453
1,438
15

ABOR Institutions
Arizona State University
Northern Arizona University
The University of Arizona
Total

2007
376
88
460
924

2008
418
87
452
957

2009
587
103
824
1,514

2010
490
91
824
1,405

2011
545
95
813
1,453

11

This Page Intentionally Left Blank

Annual Research Report - FY2011

Introductory Letter

ASU continued to advance on a rapid trajectory in fiscal year 2011 (FY11)
and remains one of the fastest-growing research enterprises, over the last
five years, among U.S. universities with portfolios exceeding $100 million in
research expenditures. Our discoveries are catalyzing real-world solutions
and igniting innovation within Arizona and around the world. As we expand
our research enterprise we remain committed to encouraging and supporting
research of the highest quality and broadest impact.
Our exceptional faculty members are the intellectual driving force expanding
and delivering new knowledge and technologies in strategic research areas
ranging from new diagnostic tests and cancer vaccines to reliable and
efficient next-generation fuels.
To ensure the continued growth and impact of our research enterprise, we
not only nurture the success of existing research faculty but also engage
outstanding new talent to energize and advance the enterprise. ASU
continues to grow its faculty base through strategic hires across several
disciplines. We are attracting and retaining the best and brightest faculty in
the nation. For example, as of June 2011, the ASU faculty includes three
Nobel Laureates and 63 American Association for the Advancement of
Science Fellows.
During FY11, ASU’s research has achieved national and international
impact. For example, the School of Life Sciences was recently ranked in the
top 25 in the Quacquarelli Symonds Biological Sciences world rankings.
Also, Thomson Reuters Web of Knowledge ranked ASU 6th globally for the
citation impact of papers published by ASU scientists in the area of
chemistry and biochemistry.
Academic research is crucial to economic prosperity and human progress.
But ideas, products, and processes created in university labs do not migrate
automatically into practical applications. Through SkySong, the ASU
Scottsdale Innovation Center and Arizona Technology Enterprises (AzTE),
ASU’s exclusive intellectual property management and technology transfer
organization, we are accelerating the journey of ideas from laboratory to
marketplace, fostering entrepreneurship among students as well as faculty,
and forming partnerships that open opportunities for Arizona locally,
regionally, and internationally.
I am confident that this report will confirm the U.S. News and World Report
2011 designation of ASU as a top five school among the “schools to watch”
in the U.S. and validate our continued top-tier ranking and recognition as an
innovative leader in higher education.

Sincerely,

Sethuraman "Panch" Panchanathan

Table of Contents

Enterprise Size
Introduction
Selected Accomplishments
Total Research Expenditures
Average Growth Rate in Total Research Expenditures Over 3 years
Federally Financed Research Expenditures
Average Growth Rate in Federally Financed Research Expenditures Over 3 years
Net Research Square Feet
Total Research Expenditures per Square Foot
Total Faculty Population
Total Research Expenditures per Faculty

6
7
8
9
10
11
12
13
14
15

Discovery and Scholarly Impact
Introduction
Selected Accomplishments
Invention Disclosures Transacted
Invention Disclosures Transacted per $10 Million in Total Research Expenditures
U.S. Patents Issued
U.S. Patents Issued per $10 Million in Total Research Expenditures

18
19
20
21
22
23

Economic Development
Introduction
Selected Accomplishments
Licenses and Options Executed
Licenses and Options Executed per $10 Million in Total Research Expenditures
Intellectual Property Income
Intellectual Property Income per $10 Million in Total Research Expenditures
Startup Companies
Startup Companies per $10 Million in Total Research Expenditures
Doctoral Degrees Conferred
Doctoral Degrees Conferred per $10 Million in Total in Research Expenditures

26
27
28
29
30
31
32
33
34
35

Leadership and Recognition
Introduction
Selected Accomplishments
National Academy Members
National Academy Members per $10 Million in Total Research Expenditures

38
39
40
41

Technology Transfer Activity
Introduction
Technology Transfer Statistical Exhibits
Selected Patents Issued
Selected Licenses and Options Executed
Selected Startup Companies
Other Notable Activities

44
45
46
47
48
49

This Page Intentionally Left Blank

Enterprise Size

Enterprise Size
Introduction

Arizona State University continues to expand the depth, breadth, and impact of research activities. In FY11, we achieved a
new record in research-related expenditures and expect to maintain this bold trajectory in the future. Through strategic
engagement and investment across disciplines, we have laid the foundation for future knowledge-based achievements that
are the key to sustaining research growth. We concluded FY11 with $355.2 million in total research expenditures, a 7.9%
increase from the previous year. Our faculty submitted proposals worth a total of $1.3 billion and received $294 million in
awards over FY11. These numbers place ASU well within the top 20 U.S. universities with comparable research
enterprises.
While we have been very successful in seeking competitive external investment for creative and bold ideas, we view
research and innovation as a continuum driven by outcomes that result in economic and societal impact. In keeping with
this spirit, we renamed of the Office of the Vice President of Research and Economic Affairs to the Office of Knowledge
Enterprise Development (OKED). OKED helps make discovery possible at ASU by nurturing partnerships among internal
and external collaborators, promoting innovation and entrepreneurship, connecting academic research and discovery with
the community and the world, and providing “best in class” research administration.
The research enterprise also provides important social and economic dividends by attracting great minds, training the
next generation of scientists, and embedding itself in communities that provide context and guidance for discovery
and innovation.

6

Enterprise Size
Selected Accomplishments

•

Expenditures for FY 2011 reached $355.2 million, a new record (NSF HERD expenditures).

•

The university submitted more than $1.3 billion in proposals this
fiscal year and received more than $294 million in awards

•

ASU remains one of the fastest growing research enterprises over
the previous five years among universities with portfolios
exceeding $100 million in research expenditures (2005 – 2010
NSF Surveys).

•

ASU attained a rank well within the top 20 U.S. universities for
non-science and engineering research expenditures and remained
in the top 20 schools without a medical school (NSF Survey).

•

ASU was noted by the Chronicle of Higher Education as having
the second largest increase in ranking – a 30-position increase –
among the top 100 U.S. universities ranked by federally funded
research expenditures (NSF Survey).

•

The College of Nursing and Health Innovation was again ranked in
the top 15 for National Institutes of Health funding among colleges
of nursing.

•

The Mary Lou Fulton Teachers College was awarded a $43.4
million Teacher Incentive Fund (TIF) grant from the U.S.
Department of Education that will provide funding for
comprehensive school reform in Arizona.

•

The Flexible Display Center received a $9.3 million renewal award
from the Department of Defense. The center is developing a new
generation of electronic displays that are flexible, lightweight, and
low power. The center exemplifies a model partnership between
academia, industry, and government.

•

The Power Systems Engineering Research Center received a
$5.5 million renewal award from the Department of Energy. ASU is
the lead university in the multi-institutional center, which seeks to
engineer the future of electric energy systems.

•

The Biodesign Institute’s Center for Innovations in Medicine was awarded $5.3 million from the Defense Advanced
Research Projects Agency (DARPA) to develop a potential therapeutic that can protect soldiers against an unknown
pathogen pre-symptomatically.

•

ASU was awarded $18 million to establish the NSF-DOE Engineering Research Center for Quantum Energy and
Sustainable Solar Technologies. The Center will utilize quantum mechanics to develop photovoltaics and advanced
energy converters.

•

The School of Earth and Space Exploration faculty are leading a team to build an instrument for NASA'S OSIRIS-REx
mission, which will travel to an asteroid to collect samples and measurements. The instrument will analyze infrared
light emitted from the asteroid to map the minerals on its surface. It is the first piece of complicated space hardware to
be constructed on the ASU campus. The project is in collaboration with the University of Arizona.

7

Enterprise Size
Total Research Expenditures (in Millions)

600

500

Median

400
Actual
Goal
300

200

100

0

NSF Adj.

ABOR Peer Group
University of Wisconsin - Madison
University of Washington - Seattle
University of California - Los Angeles
University of Minnesota - Twin Cities
Ohio State University - Columbus
Pennsylvania State University - University Park
University of Texas - Austin
University of Illinois - Urbana-Champaign
University of Maryland - College Park
University of Iowa
Michigan State University
Rutgers the State University of NJ - New Brunswick
Arizona State University
Florida State University
Indiana University - Bloomington
University of Connecticut - Storrs
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X

X
X
X
X
X
X

8

2007
224.4

2008
259.5

2009
281.6
281.6
0.0

2010
329.3
329.3
0.0

2011
355.2
348.5
6.7

2007
840.7
756.8
823.1
624.1
720.2
582.4
446.8
473.9
359.8
363.2
360.9
281.2
224.4
189.6
143.6
108.7
405.0

2008
881.8
765.1
871.5
682.7
702.6
620.4
493.3
501.3
395.0
293.6
356.8
297.7
259.5
182.3
150.8
110.1
444.2

2009
952.1
778.0
890.0
741.0
716.5
666.6
506.4
563.7
409.2
329.9
373.2
323.6
281.6
195.2
161.3
109.8
457.8

2010
1,029.3
1,022.7
937.0
786.1
755.2
681.8
589.5
515.1
451.4
444.0
431.4
428.4
329.3
237.9
177.5
116.0
483.3

2011

355.2

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Total Research Expenditures Over 3 Years

18%
16%
14%
12%
Actual
Goal

10%
8%

Median

6%
4%
2%
0%

NSF Adj.

ABOR Peer Group
Rutgers the State University of NJ - New Brunswick
Arizona State University
University of Washington - Seattle
University of Texas - Austin
University of Iowa
Florida State University
University of Minnesota - Twin Cities
University of Maryland - College Park
Indiana University - Bloomington
University of Wisconsin - Madison
Michigan State University
Pennsylvania State University - University Park
University of California - Los Angeles
University of Illinois - Urbana-Champaign
University of Connecticut - Storrs
Ohio State University - Columbus
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X
X
X
X
X
X
X

2007
13.9%

2008
15.9%

2009
11.8%
11.8%
0.0%

2010
13.7%
13.7%
0.0%

2011
11.1%
10.4%
0.7%

2007
2.2%
13.9%
2.1%
9.3%
5.1%
4.1%
5.9%
3.4%
-1.1%
3.3%
3.5%
2.6%
2.1%
-2.1%
3.8%
11.7%
3.5%

2008
2.6%
15.9%
2.8%
6.3%
-3.6%
1.9%
7.6%
5.3%
7.2%
3.4%
2.3%
3.3%
3.5%
0.2%
2.9%
5.0%
3.4%

2009
4.9%
11.8%
0.0%
5.5%
-0.6%
1.8%
7.6%
5.0%
4.4%
4.6%
1.4%
5.6%
3.1%
5.9%
1.4%
3.3%
4.5%

2010
15.7%
13.7%
11.4%
9.8%
9.3%
8.4%
8.0%
7.9%
7.3%
7.0%
6.4%
5.4%
4.4%
3.2%
2.2%
1.6%
7.6%

2011

9

11.1%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Federally Financed Research Expenditures (in Millions)

350

Median

300

250

200
Actual
150

100

50

0

NSF Adj.

ABOR Peer Group
University of Washington - Seattle
University of Wisconsin - Madison
University of California - Los Angeles
University of Minnesota - Twin Cities
Pennsylvania State University - University Park
Ohio State University - Columbus
University of Texas - Austin
University of Illinois - Urbana-Champaign
University of Maryland - College Park
University of Iowa
Rutgers the State University of NJ - New Brunswick
Michigan State University
Arizona State University
Florida State University
Indiana University - Bloomington
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X
X
X
X

X
X
X
X
X
X

2007
114.6

2008
125.6

2009
134.6

2010
172.2

2011
185.8

2007
620.4
469.1
488.8
338.0
331.2
313.2
289.3
253.6
219.0
222.9
125.4
170.4
114.6
113.7
64.6
58.8
238.3

2008
614.1
474.4
471.9
364.1
359.7
335.1
324.3
266.9
236.4
229.9
130.9
152.9
125.6
110.6
68.3
58.5
251.7

2009
619.4
507.9
467.5
390.6
388.6
339.8
309.1
288.0
247.0
252.3
151.0
164.2
134.6
117.3
72.3
58.8
270.2

2010
829.9
545.2
538.5
426.4
411.3
399.9
350.3
303.9
297.9
282.5
224.9
214.1
172.2
134.8
71.2
64.4
300.9

2011

10

185.8

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Federally Financed Research Expenditures Over 3 Years

16%
Actual

14%
12%
10%
8%

Median

6%
4%
2%
0%

NSF Adj.

ABOR Peer Group
Rutgers the State University of NJ - New Brunswick
Arizona State University
University of Washington - Seattle
University of Maryland - College Park
Michigan State University
Ohio State University - Columbus
University of Iowa
University of Minnesota - Twin Cities
Pennsylvania State University - University Park
University of Texas - Austin
University of Illinois - Urbana-Champaign
Florida State University
University of Wisconsin - Madison
University of California - Los Angeles
Indiana University - Bloomington
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X
X
X
X
X

X
X
X
X
X

2007
13.0%

2008
10.0%

2009
7.0%

2010
14.9%

2011
14.3%

2007
3.2%
13.0%
-0.1%
6.6%
6.0%
3.3%
2.0%
3.2%
1.9%
7.1%
-2.6%
3.4%
2.8%
2.0%
-1.1%
-1.0%
3.0%

2008
2.3%
10.0%
0.5%
6.5%
-0.5%
4.5%
2.1%
4.5%
3.8%
8.4%
-2.6%
1.6%
-0.2%
0.2%
0.0%
-2.9%
1.8%

2009
8.3%
7.0%
-1.6%
5.6%
-0.7%
2.5%
5.3%
6.2%
6.8%
4.4%
3.0%
2.1%
1.2%
-1.1%
2.1%
-4.2%
2.8%

2010
22.9%
14.9%
11.3%
11.0%
9.2%
8.7%
8.3%
8.1%
7.5%
6.9%
6.2%
6.1%
5.2%
3.6%
3.4%
3.2%
7.8%

2011

11

14.3%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Net Assignable Square Feet

1,800,000
1,600,000
Median
1,400,000
1,200,000
1,000,000
Actual

800,000
600,000
400,000
200,000
0

NSF Adj.

ABOR Peer Group
University of Illinois - Urbana-Champaign
University of Minnesota - Twin Cities
University of Wisconsin - Madison
Pennsylvania State University - University Park
University of California - Los Angeles
Michigan State University
University of Washington - Seattle
Ohio State University - Columbus
University of Texas - Austin
Rutgers the State University of NJ - New Brunswick
University of Maryland - College Park
Florida State University
Arizona State University
University of Iowa
Indiana University - Bloomington
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X
X
X
X
X
X
X
X
X
X

2007
674,522

2008
674,522

2009
626,416

2010
626,416

2011
847,836

2007
4,319,500
3,678,316

2008
4,319,500
3,678,316

2010

2011

2,601,724
2,229,683
2,289,100
1,791,869
1,540,443
2,862,918
1,232,372
987,352
397,662
674,522
760,591
473,980
341,922
1,540,443

2,577,836
2,229,683
2,289,100
1,791,869
1,540,443
2,862,918
1,257,090
987,352
397,662
674,522
760,591
467,089
344,679
1,540,443

2009
4,561,500
3,684,378
2,844,272
2,652,558
2,496,563
2,324,423
1,795,359
1,487,468
1,480,462
1,017,607
712,085
675,000
626,416
616,700
507,758
374,364
1,483,965

626,416

847,836

12

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Research Expenditures per Net Assignable Square Foot

600

500

Actual

400
Median
300

200

100

0

NSF Adj.

ABOR Peer Group
University of Maryland - College Park
University of Iowa
Ohio State University - Columbus
Arizona State University
University of Washington - Seattle
University of California - Los Angeles
University of Texas - Austin
University of Wisconsin - Madison
Rutgers the State University of NJ - New Brunswick
Indiana University - Bloomington
University of Connecticut - Storrs
Florida State University
Pennsylvania State University - University Park
University of Minnesota - Twin Cities
Michigan State University
University of Illinois - Urbana-Champaign
Median

Med. Sch.

Actual

X
X
X
X

2007
333

2008
385

2009
450

2010
526

2011
419

2007
364
478
468
333
422
369
156

2008
400
386
456
385
427
391
172

2010

2011

526

419

228
303
318
477
224
170
158
110
318

237
323
320
458
241
186
156
116
323

2009
575
535
482
450
433
356
342
335
318
318
293
289
251
201
161
124
326

X
X
X
X
X
X
X
X

13

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Faculty Population

2,000
Actual

1,800

Median
1,600
1,400
1,200
1,000
800
600
400
200
0

NSF Adj.

ABOR Peer Group
Ohio State University - Columbus
University of Minnesota - Twin Cities
University of Wisconsin - Madison
University of Texas - Austin
Michigan State University
University of California - Los Angeles
University of Illinois - Urbana-Champaign
Pennsylvania State University - University Park
Arizona State University
University of Washington - Seattle
University of Iowa
Rutgers the State University of NJ - New Brunswick
University of Maryland - College Park
Indiana University - Bloomington
University of Connecticut - Storrs
Florida State University
Median

Med. Sch.

Actual

X
X
X
X
X
X
X
X
X
X
X
X

2007
1,358

2008
1,383

2009
1,773

2010
1,760

2011
1,758

2007
2,571
2,458
2,081
1,876
1,882
1,750
1,886
1,716
1,358
1,890
1,574
1,813
1,468
1,319
995
1,088
1,782

2008
2,588
2,489
2,064
1,887
1,885
1,753
1,900
1,711
1,383
1,607
1,549
1,850
1,472
1,329
1,012
1,127
1,732

2009
2,605
2,377
2,053
1,913
1,921
1,829
1,883
1,757
1,773
1,568
1,599
1,489
1,485
1,334
1,049
1,076
1,765

2010
2,602
2,319
2,047
1,981
1,948
1,840
1,856
1,748
1,760
1,548
1,572
1,519
1,472
1,368
1,186
1,079
1,754

2011
2,560
2,277
2,057
1,954
1,906
1,822
1,778
1,759
1,758
1,536
1,527
1,518
1,463
1,351
1,200
1,040
1,759

14

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Research Expenditures per Faculty

350,000

300,000
Median
250,000

Actual

200,000

150,000

100,000

50,000

0

NSF Adj.

ABOR Peer Group
University of Washington - Seattle
University of California - Los Angeles
University of Wisconsin - Madison
Pennsylvania State University - University Park
University of Minnesota - Twin Cities
University of Maryland - College Park
University of Texas - Austin
Ohio State University - Columbus
University of Iowa
Rutgers the State University of NJ - New Brunswick
University of Illinois - Urbana-Champaign
Michigan State University
Florida State University
Arizona State University
Indiana University - Bloomington
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X
X
X

X
X
X
X
X
X
X

2007
165,208

2008
187,638

2009
158,820

2010
187,128

2011
202,056

2007
400,416
470,333
403,975
339,411
253,926
245,068
238,148
280,127
230,777
155,101
251,267
191,739
174,233
165,208
108,873
109,201
241,608

2008
476,126
497,135
427,218
362,612
274,272
268,368
261,417
271,481
189,518
160,915
263,831
189,266
161,769
187,638
113,446
108,822
262,624

2009
496,203
486,602
463,770
379,423
311,729
275,549
264,699
275,033
206,317
217,337
299,368
194,265
181,454
158,820
120,943
104,665
269,866

2010
660,685
509,236
502,831
390,029
338,971
306,668
297,578
290,236
282,464
282,049
277,550
221,444
220,449
187,128
129,766
97,791
286,350

2011

15

202,056

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Discovery and Scholarly Impact

Discovery and Scholarly Impact
Introduction

Perpetual curiosity and a quest for discovery lie at the heart of the
research enterprise. In FY11, ASU researchers made discoveries and
created knowledge that drive toward solutions in everything from
cancer to genetic mutations to analyzing the communication patterns of
terrorists.
In FY11, ASU faculty continued to demonstrate exceptional scholarly
productivity in terms of the number of articles published in premier
research journals, citations of ASU publications by other researchers,
conferences sponsored for wide audiences and headlined by notable
presenters, and high-level invited talks.
Thomson Reuters Web of Knowledge ranked ASU 6th globally for the
citation impact of papers published in the area of chemistry and
biochemistry. ASU is ranked 23rd in the world in social sciences,
according to the Center for World-Class Universities, a ranking
compiled by Shanghai Jiao Tong University that uses several objective
indicators to rank world universities. These include the number of
alumni and staff winning Nobel Prizes in economics; number of highly
cited researchers in social sciences, economics, and business; number
of articles indexed in the social science citation index; and the number
of papers published in the top 20 percent of journals covering the social
sciences fields.
One notable accomplishment is that ASU has become the editorial
center for the internationally recognized Journal of Policy History, now
hosted by the School of Historical, Philosophical, and Religious
Studies. The quarterly publication is in its 25th year of publishing the
findings of historians, social scientists, legal scholars, and economists
from across the world.

Brianne Petritis, graduate student in the Biological
Design program

ASU recognized seven Regents’ Professors in 2011. Regents’
Professors are faculty members who have made pioneering
contributions in their areas of expertise, who have achieved a
sustained level of distinction, and who enjoy national and international
recognition for these accomplishments. The 2011 honorees include:
Luc Anselin, Paul Davies, Colleen Keller, Jerry Y.S. Lin, Gary
Marchant, Simon Ortiz, and Carlos Vélez-Ibáñez.
Beyond knowledge creation, the exceptional scholarship of our faculty
translates to real-world solutions and commercial products. Through
the translational services of AzTE, the exclusive intellectual property
management and technology transfer organization for ASU, our faculty
have submitted 170 invention disclosures and 93 new patent
applications, and secured 18 patents. In FY11, 10 start-up companies
based on ASU intellectual property were launched.

18

Regents’ Professor Simon Ortiz speaks to a class at
Westwood High School

Discovery and Scholarly Impact
Selected Accomplishments

•

•

Three articles by ASU researchers were prominently featured in premier, high-impact research journals in FY11.
o

Science published an article on self-assembling DNA
nanostructures, co-authored by Hao Yan, a professor in the
Department of Chemistry and Biochemistry. Research images
were also featured on the cover.

o

Nature Nanotechnology carried a cover highlight of an article by
Regents’ Professor Stuart Lindsay on the application of electron
tunneling in DNA sequencing.

o

ASU’s Center for Nanotechnology and Society, an NSF-funded
center, was featured in the October 2011 issue of Nature
Nanotechnology as a “robust project” that seeks to democratize
nanotechnology through the process of anticipatory governance.

Two ASU research initiatives have been recognized by the Department of
Defense for aiding U.S. government efforts to understand and effectively
operate in the human terrain during non-conventional warfare and other
missions.
o

o

•

Finding Allies for the War of Words: Mapping the Diffusion and
Influence of Counter-Radical Muslim Discourse, is a grant to the
Center for the Study of Religion and Conflict, a transdisciplinary
research center in the College of Liberal Arts and Sciences. It is
one of seven projects at U.S. universities funded by the Minerva
Research Initiative, a program of the Secretary of Defense that
focuses on areas of strategic importance to U.S. national security
policy.

Science and Culture Festival 2011

Identifying Terrorist Narratives and Counter-Narratives:
Embedding Story Analysis in Expeditionary Units is part of
research being conducted by the Consortium of Strategic
Communication in ASU’s Hugh Downs School of Human
Communication.

A team of students from the Center for Cognitive Ubiquitous Computing in
the Ira A. Fulton Schools of Engineering has created a technology device
to assist low-vision students with note-taking. The Note-Taker team won
first place in the U.S. and second place in the world for software design at
Microsoft’s Imagine Cup 2011. David Hayden, the inventor and a lowvision student himself, was inspired to create the device after facing
challenges in accessing classroom content.

David Hayden, Note-Taker student
team leader

•

The Science and Culture Festival 2011, sponsored by ASU’s Origins Project, drew thousands of attendees and
honored guests such as renowned astrophysicist Stephen Hawking, author Jean Auel (who wrote the “Clan of the
Cave Bear” and “Earth’s Children” books), filmmaker Werner Herzog, broadcaster Hugh Downs, choreographer Liz
Lerman, and philosopher A.C. Grayling.

•

The Center for Sustainable Health hosted the prestigious international Forum for Sustainable Health in Phoenix in
February 2011. The forum centered on the Global Biosignatures Network and creating partnerships between
academia and industry. Topics included a review of the current science and economics of biosignatures, with a
specific focus on health care systems.

19

Discovery and Scholarly Impact
Invention Disclosures Transacted

200
180

Goal
Actual

160
Median
140
120
100
80
60
40
20
0

AUTM Adj.

ABOR Peer Group
University of California - Los Angeles
University of Wisconsin - Madison
University of Washington - Seattle
University of Minnesota - Twin Cities
Arizona State University
University of Illinois - Urbana-Champaign
Ohio State University - Columbus
Rutgers the State University of NJ - New Brunswick
Pennsylvania State University - University Park
Michigan State University
University of Iowa
Indiana University - Bloomington
Florida State University
University of Connecticut - Storrs
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X

X
X
X
X
X
X
X
X

20

2007
152

2008
147

2009
164
164
0

2010
187
187
0

2011
170
172
-2

2007
267
409
335
193
152
201
165
77
108
161
87
80
44
36
110
139
146

2008
314
381
349
217
147
243
142
87
127
91
68
53
56
38
132
154
137

2009
333
333
349
244
164
203
163
71
105
129
70
48
45
42

2010
379
356
354
255
187
180
173
129
118
116
70
58
45
44

2011

146

151

170

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Discovery and Scholarly Impact
Invention Disclosures Transacted per $10 Million in Total Research Expenditures

8.00
7.00
6.00
Goal
Actual

5.00
4.00
Median

3.00
2.00
1.00
0.00

NSF Adj.

AUTM Adj.

ABOR Peer Group
Arizona State University
University of California - Los Angeles
University of Connecticut - Storrs
University of Illinois - Urbana-Champaign
University of Washington - Seattle
University of Wisconsin - Madison
University of Minnesota - Twin Cities
Indiana University - Bloomington
Rutgers the State University of NJ - New Brunswick
Michigan State University
Ohio State University - Columbus
Florida State University
Pennsylvania State University - University Park
University of Iowa
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X

X

X
X

X
X

X

X

X

X
X
X

X
X
X
X

21

2007
6.8

2008
5.7

2009
5.8
5.8
0.0

2010
5.7
5.7
0.0

2011
4.8
4.9
-0.1

2007
6.8
3.2
3.3
4.2
4.4
4.9
3.1
5.6
2.7
4.5
2.3
2.3
1.9
2.4
3.1
3.1
3.2

2008
5.7
3.6
3.4
4.8
4.6
4.3
3.2
3.5
2.9
2.6
2.0
3.1
2.0
2.3
3.3
3.1
3.3

2009
5.8
3.7
3.8
3.6
4.5
3.5
3.3
3.0
2.2
3.5
2.3
2.3
1.6
2.1

2010
5.7
4.0
3.8
3.5
3.5
3.5
3.2
3.2
3.0
2.7
2.3
1.9
1.7
1.6

2011
4.8

3.4

3.2

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Discovery and Scholarly Impact
U.S. Patents Issued

45.0
Median
40.0
35.0
30.0
25.0
20.0

Actual
Goal

15.0
10.0
5.0
0.0

AUTM Adj.

ABOR Peer Group
University of Wisconsin - Madison
University of Illinois - Urbana-Champaign
University of Washington - Seattle
Michigan State University
Pennsylvania State University - University Park
University of California - Los Angeles
University of Minnesota - Twin Cities
Ohio State University - Columbus
University of Iowa
Rutgers the State University of NJ - New Brunswick
Florida State University
Arizona State University
University of Connecticut - Storrs
Indiana University - Bloomington
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X
X
X
X
X
X
X

22

2007
15

2008
16

2009
20
18
2

2010
17
17
0

2011
18
17
1

2007
124
40
43
35
30
42
44
25
30
21
19
15
14
4
24
40
30

2008
98
38
56
48
34
42
37
15
24
33
11
16
11
3
23
25
29

2009
119
42
40
41
30
60
37
20
30
26
10
20
7
1

2010
133
69
69
52
48
47
46
38
32
29
21
17
16
3

2011

30

42

18

Rank
1
2
2
4
5
6
7
8
9
10
11
12
13
14

Discovery and Scholarly Impact
U.S. Patents Issued per $10 Million in Total Research Expenditures

0.80
0.70

Median

0.60
Actual
Goal

0.50
0.40
0.30
0.20
0.10
0.00

NSF Adj.

AUTM Adj.

ABOR Peer Group
University of Connecticut - Storrs
University of Illinois - Urbana-Champaign
University of Wisconsin - Madison
Michigan State University
Florida State University
University of Iowa
Pennsylvania State University - University Park
University of Washington - Seattle
Rutgers the State University of NJ - New Brunswick
University of Minnesota - Twin Cities
Arizona State University
Ohio State University - Columbus
University of California - Los Angeles
Indiana University - Bloomington
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X

X

X

X

X

X

X
X
X
X
X
X
X
X
X

X

23

2007
0.7

2008
0.6

2009
0.7
0.6
0.1

2010
0.5
0.5
0.0

2011
0.5
0.5
0.0

2007
1.3
0.8
1.5
1.0
1.0
0.8
0.5
0.6
0.7
0.7
0.7
0.3
0.5
0.3
0.7
0.9
0.7

2008
1.0
0.8
1.1
1.3
0.6
0.8
0.5
0.7
1.1
0.5
0.6
0.2
0.5
0.2
0.6
0.5
0.6

2009
0.7
0.7
1.2
1.1
0.5
0.9
0.5
0.5
0.8
0.5
0.7
0.3
0.7
0.0

2010
1.3
1.3
1.3
1.2
0.9
0.7
0.7
0.7
0.7
0.6
0.5
0.5
0.5
0.2

2011

0.7

0.7

0.5

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

This Page Intentionally Left Blank

Economic Development

Economic Development
Introduction

As the nation’s largest university and the only research university in the Phoenix metropolitan region, ASU provides
employment and training to thousands of individuals across a wide range of professional careers. Each year,
thousands of students graduate from ASU with the skills and knowledge needed to succeed in today’s most
challenging careers. These graduates create a lifetime of value for Arizona, returning the state’s investment in their
education.
Augmenting these substantial contributions to Arizona’s economic development, the resources aggregated at SkySong
train and support entrepreneurs, launch and accelerate new companies, attract companies to Arizona, open new
markets for Arizona companies in other countries through global partnerships, and partner ASU researchers with
companies to translate research discoveries into marketable applications. SkySong has supported 60 companies from
10 countries and houses ASU’s technology transfer services.
In October, ASU launched the Venture Catalyst at SkySong with a
generous $1 million grant from the Arizona Governor’s office, as
part of the federal stimulus program for economic development.
Venture Catalyst provides a suite of venture acceleration services
for ASU faculty, student, and alumni companies, as well as U.S.
and international firms, across all stages of development. Services
include entrepreneurial education, connections to mentors, capital
formation, intellectual property assistance, access to faculty
researchers, student interns, and employee workforce
development. Since its launch, Venture Catalyst has evaluated 107
company inquiries (faculty, student, alumni, U.S. and global).
These evaluations identified 47 high-potential opportunities that
are currently receiving services. Additionally, Venture Catalyst has
recruited more than 100 accomplished entrepreneurs and business
executives to mentor Venture Catalyst companies to advance local
economic development.
The Edson Student Entrepreneur Initiative is funded by an
endowment that generates $200,000 per year for startup awards to
students. Beyond seed grants, the initiative provides office space
and training for students to explore ideas in partnership with
faculty, researchers, and successful entrepreneurs from both the
academic and private sectors. In FY11 the Edson grant supported
37 ventures, including 26 new grants. More than 1,000 ASU
students have participated in Edson and other entrepreneurial
training programs.

ASU President Michael Crow accepts a check to help
establish Venture Catalyst at ASU

ASU’s Engineering Research Center (ERC) for Quantum Energy and Sustainable Solar Technologies (QESST) will
develop interdisciplinary research and education programs to address a significant energy challenge -- how to realize a
large-scale, sustainable, domestic energy source,by developing advanced solar photovoltaic (PV) technologies and by
providing the foundation for new industries through innovation. Since its inception, QESST has attracted more than 40
solar energy companies that span the industrial spectrum from basic materials, semiconductor manufacturing, and PV
production to energy system installation firms and utilities.
Finally, ASU’s technology transfer team, AzTE, employs professionals with decades of experience at the intersection of
academia and business, across a wide range of disciplines. The licensing and revenue from transactions they brokered
translated into more than $2.4 million for FY11.

26

Economic Development
Selected Accomplishments

•

ASU faculty filed 170 invention disclosures in FY11. In conjunction with
AzTE, faculty members applied for 93 new patents, were issued 18 patents,
and executed 72 license and option agreements.

•

Axon Technologies Corporation, launched by Professor Michael Kozicki,
professor in the School of Electrical, Computer and Energy Engineering,
will issue its first resistive memory technology product in 2012.

•

Together with a broad coalition of industry and academic partners, ASU is
advancing the growth of the aerospace and defense industries in Arizona
through an Aerospace and Defense Collaboratory at ASU’s Polytechnic
Campus. This effort leverages existing ties to the Air Force Research
Laboratory in partnership with the City of Mesa.

•

AzTE established a partnership with eight top research universities in
Japan to cross-market technologies.

•

ASU’s Decision Theater co-founded the Global Decision Theater Alliance
with Huazhong University of Science and Technology and Harbin Institute
of Technology in China. The establishment of ASU-branded Decision
Theaters in China will drive new global partnerships and opportunities for
commercial development.

•

Arizona State University and NeXtAdvisors co-hosted the 2011 Education
Innovation Summit, bringing together 600 thought leaders, education
entrepreneurs, educators and investors to chart a course for an educational
revolution driven by innovation. Notable attendees included James H.
Shelton III, assistant deputy secretary for innovation and improvement, U.S.
Department of Education; Craig Barrett, retired CEO/chairman, Intel; and
Joel Klein, executive vice president, News Corp.

•

Daylight Solutions is a start-up company led by ASU student entrepreneurs.
The students have designed a sustainable technology to provide solarstorage lighting for communities in rural Africa.

•

SMALLab (Situated Multimedia Arts Learning Lab) is an embodied learning
environment. The company uses interactive whiteboard technology coupled
with Microsoft Kinect technology to deliver high-impact classroom "learning
by playing" programs. SMALLab developed after six years of research
conducted at the School of Arts, Media and Engineering (AME) in
collaboration with K-12 teachers, with funding from the National Science
Foundation and Intel Corporation.

•

ASU’s SkySong continued to build significant collaborations with major
industrial research partners. Master Research Agreements with General
Electric Healthcare, Henkel Consumer Goods, Medtronic, and Quintiles, a
clinical research organization, will facilitate these collaborations and help
broaden future engagement.

27

Global Decision Theater Alliance

SMALLab

Economic Development
Licenses and Options Executed

80.0
Actual

70.0
60.0
50.0
40.0

Median

30.0
20.0
10.0
0.0

AUTM Adj.

ABOR Peer Group
University of Washington - Seattle
Rutgers the State University of NJ - New Brunswick
University of Minnesota - Twin Cities
University of Wisconsin - Madison
Arizona State University
University of California - Los Angeles
University of Illinois - Urbana-Champaign
Ohio State University - Columbus
Michigan State University
Pennsylvania State University - University Park
University of Iowa
Indiana University - Bloomington
Florida State University
University of Connecticut - Storrs
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

Actual

X
X
X
X
X
X
X
X
X
X
X
X

28

2007
14

2008
50

2009
49

2010
55

2011
72

2007
203
59
76
57
14
43
37
27
28
11
36
19
13
4
33
20
31

2008
212
89
63
75
50
38
43
23
25
23
22
11
11
8
12
56
32

2009
231
80
53
57
49
37
33
27
44
19
21
11
10
7

2010
196
75
73
62
55
52
40
35
31
21
21
10
6
6

2011

35

38

72

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Licenses and Options Executed per $10 Million in Total Research Expenditures

2.50

Actual

2.00

1.50

1.00

Median

0.50

0.00

NSF Adj.

AUTM Adj.

ABOR Peer Group
University of Washington - Seattle
Rutgers the State University of NJ - New Brunswick
Arizona State University
University of Minnesota - Twin Cities
University of Illinois - Urbana-Champaign
Michigan State University
University of Wisconsin - Madison
Indiana University - Bloomington
University of California - Los Angeles
University of Connecticut - Storrs
University of Iowa
Ohio State University - Columbus
Pennsylvania State University - University Park
Florida State University
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

Actual

X

X

X

X
X
X
X

X

X

X

X

X

X
X
X
X

29

2007
0.6

2008
1.9

2009
1.7

2010
1.7

2011
2.0

2007
2.7
2.1
0.6
1.2
0.8
0.8
0.7
1.3
0.5
0.4
1.0
0.4
0.2
0.7
0.9
0.4
0.7

2008
2.8
3.0
1.9
0.9
0.9
0.7
0.9
0.8
0.4
0.8
0.7
0.3
0.4
0.6
0.3
1.1
0.8

2009
3.0
2.5
1.7
0.7
0.6
1.2
0.6
0.7
0.4
0.6
0.6
0.4
0.3
0.5

2010
1.9
1.7
1.7
0.9
0.8
0.7
0.6
0.6
0.6
0.5
0.5
0.5
0.3
0.3

2011

0.6

0.6

2.0

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Intellectual Property Income

6.00
Median
5.00

4.00

3.00

2.00

Actual
Goal

1.00

0.00

AUTM Adj.

ABOR Peer Group
University of Minnesota - Twin Cities
University of Washington - Seattle
University of Wisconsin - Madison
University of California - Los Angeles
University of Iowa
Rutgers the State University of NJ - New Brunswick
University of Illinois - Urbana-Champaign
Indiana University - Bloomington
Michigan State University
Pennsylvania State University - University Park
Ohio State University - Columbus
Arizona State University
Florida State University
University of Connecticut - Storrs
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X
X
X
X
X
X
X

30

2007
3.3

2008
1.2

2009
1.9
1.9
0.0

2010
1.6
1.6
0.0

2011
1.1
1.1
0.0

2007
63.3
63.3
46.7
20.9
17.4
7.1
4.7
1.7
5.6
1.6
1.2
3.3
1.8
0.4
1.2
6.7
5.1

2008
84.7
80.3
54.1
32.8
23.6
7.3
4.2
1.8
4.8
1.3
2.1
1.2
1.3
0.3
1.6
11.6
4.5

2009
95.2
87.3
56.7
22.6
42.9
7.5
5.1
2.2
4.4
1.1
1.7
1.9
1.2
0.4

2010
83.9
69.0
54.3
27.5
27.0
8.1
6.1
5.3
4.0
2.0
1.9
1.6
1.3
0.4

2011

4.8

5.7

1.1

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Intellectual Property Income per $10 Million in Total Research Expenditures

180,000
160,000

Median

140,000
120,000
100,000
80,000
60,000
40,000
Actual
Goal

20,000
0

NSF Adj.

AUTM Adj.

ABOR Peer Group
University of Minnesota - Twin Cities
University of Washington - Seattle
University of Iowa
University of Wisconsin - Madison
Indiana University - Bloomington
University of California - Los Angeles
Rutgers the State University of NJ - New Brunswick
University of Illinois - Urbana-Champaign
Michigan State University
Florida State University
Arizona State University
University of Connecticut - Storrs
Pennsylvania State University - University Park
Ohio State University - Columbus
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X

X

X

X

X
X

X
X

X
X
X
X
X

X
X

X

2007
147,248

2008
46,705

2009
66,720
66,720
0

2010
49,362
49,362
0

2011
29,823
30,396
-572

2007
1,014,436
836,215
478,812
555,508
119,891
254,057
254,202
98,968
154,735
95,671
147,248
40,299
27,859
17,294
32,576
148,895
148,072

2008
1,240,281
1,049,890
802,556
613,874
120,420
376,797
246,711
84,599
133,661
68,962
46,705
30,613
21,452
29,815
39,352
234,216
127,040

2009
1,284,360
1,122,555
1,301,059
595,661
135,034
253,451
231,213
90,756
119,229
61,075
66,720
33,273
16,289
23,891

2010
1,067,402
674,973
607,862
527,546
297,309
293,331
189,173
118,925
93,115
55,280
49,362
37,752
29,476
25,252

2011

127,132

154,049

31

29,823

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Startup Companies

12.0

Actual
Goal

10.0

8.0

6.0
Median
4.0

2.0

0.0

AUTM Adj.

ABOR Peer Group
University of California - Los Angeles
Ohio State University - Columbus
University of Minnesota - Twin Cities
Rutgers the State University of NJ - New Brunswick
University of Washington - Seattle
University of Illinois - Urbana-Champaign
University of Wisconsin - Madison
Pennsylvania State University - University Park
Arizona State University
University of Iowa
University of Connecticut - Storrs
Florida State University
Indiana University - Bloomington
Michigan State University
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X
X
X
X
X
X
X

32

2007
4

2008
1

2009
5
5
0

2010
4
4
0

2011
10
10
0

2007

2008
5
1
2
9
6
6
1
1
0
1
3
1
3
3
10
3

2010
27
8
8
7
7
5
5
4
4
3
3
2
1
0

2011

3
4
4
11
7
6
3
4
2
1
1
2
5
7
3
4

2009
22
7
3
5
10
6
1
3
5
3
3
2
2

22
4

5

10

Rank
1
2
2
4
5
6
6
8
9
10
11
12
13
14

Economic Development
Startup Companies per $10 Million in Total Research Expenditures

0.35

0.30

Goal
Actual

0.25

0.20

0.15

0.10

Median

0.05

0.00

NSF Adj.

AUTM Adj.

ABOR Peer Group
University of California - Los Angeles
University of Connecticut - Storrs
Rutgers the State University of NJ - New Brunswick
Arizona State University
Ohio State University - Columbus
University of Minnesota - Twin Cities
University of Illinois - Urbana-Champaign
Indiana University - Bloomington
Florida State University
University of Washington - Seattle
University of Iowa
Pennsylvania State University - University Park
University of Wisconsin - Madison
Michigan State University
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X

X
X

2007
0.2

2008
0.0

2009
0.2
0.2
0.0

2010
0.1
0.1
0.0

2011
0.3
0.3
0.0

2007

2008
0.1
0.1
0.0
0.1
0.0
0.1
0.0
0.2
0.1
0.0
0.0
0.1
0.1
0.1
0.2
0.1

2010
0.3
0.3
0.2
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.0
0.0

2011

0.1
0.1
0.2
0.0
0.1
0.1
0.1
0.1
0.1
0.1
0.0
0.1
0.1
0.2
0.1
0.1

2009
0.2
0.3
0.1
0.2
0.1
0.0
0.1
0.1
0.1
0.1
0.1
0.0
0.0

X

X
X
X

X

X

X

X
X
X
X
X

33

0.4
0.1

0.1

0.3

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Doctoral Degrees Conferred

700

Median

600

Actual
500

Goal

400

300

200

100

0

ABOR Peer Group
University of Texas - Austin
University of Wisconsin - Madison
University of Illinois - Urbana-Champaign
University of California - Los Angeles
Ohio State University - Columbus
University of Washington - Seattle
University of Minnesota - Twin Cities
Pennsylvania State University - University Park
Arizona State University
University of Maryland - College Park
Michigan State University
Indiana University - Bloomington
Rutgers the State University of NJ - New Brunswick
University of Iowa
Florida State University
University of Connecticut - Storrs
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X

X

X
X

34

2007
376

2008
418

2009
587
587
0

2010
490
490
0

2011
545
484
61

2007
779
775
698
734
667
631
819
646
376
653
493
370
406
376
350
339
639

2008
865
761
759
752
759
622
775
620
418
655
446
414
431
413
368
285
621

2009
818
786
780
760
738
683
680
632
587
577
489
441
410
404
343
238
610

2010

2011

490

545

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Economic Development
Doctorate Degrees Conferred per $10 Million in Total Research Expenditures

25.00

20.00

Actual

15.00

Goal
Median
10.00

5.00

0.00

NSF Adj.

ABOR Peer Group
Arizona State University
Florida State University
University of Texas - Austin
University of Maryland - College Park
University of Illinois - Urbana-Champaign
Michigan State University
University of Iowa
Rutgers the State University of NJ - New Brunswick
University of Connecticut - Storrs
Ohio State University - Columbus
Indiana University - Bloomington
University of Minnesota - Twin Cities
University of Washington - Seattle
University of California - Los Angeles
Pennsylvania State University - University Park
University of Wisconsin - Madison
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X

X
X
X
X
X
X
X
X
X
X
X

35

2007
16.8

2008
16.1

2009
20.8
20.8
0.0

2010
14.9
14.9
0.0

2011
15.3
13.9
1.5

2007
16.8
18.5
17.4
18.2
14.7
13.7
10.4
13.0
15.1
9.3
9.6
13.1
8.3
8.9
9.9
9.2
13.1

2008
16.1
20.2
17.5
16.6
15.1
12.5
14.1
13.3
12.6
10.8
10.1
11.4
8.1
8.6
8.8
8.6
12.6

2009
20.8
17.6
16.2
14.1
13.8
13.1
12.2
11.7
10.6
10.3
10.0
9.2
8.8
8.5
8.4
8.3
11.1

2010
14.9

2011
15.3

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Leadership and Recognition

Leadership and Recognition
Introduction

ASU’s outstanding faculty members have received local, national, and international recognition for significant contributions
to their fields and their impact on society.
•

•

•

•

•
•
•

Michael Hanemann, the Julie A. Wrigley Chair in Sustainability in the School of Sustainability and a world-renowned
environmental economist, has been elected a member of the National Academy of Sciences. Professor Hanemann
brings an economics perspective to natural resource management. His research has been published in leading
environmental and economics journals.
Carlos Castillo-Chavez, ASU Regents’ Professor and founding director of the Mathematical and Theoretical Biology
Institute, was recently honored by President Obama in a White House ceremony as a recipient of the Presidential
Award for Excellence in Science, Mathematics and Engineering Mentoring.
Cheryl Nickerson, a microbiologist at ASU’s Biodesign Institute, received the Exceptional Scientific Achievement
Medal – NASA’s most prestigious commendation for outstanding contributions to science. Nickerson has been using
spaceflight or spaceflight analogues to study microbial behavior since 1998. In an audacious series of experiments,
she was able to validate her early observations about the responses of certain microorganisms to conditions of
reduced gravity.
Stuart Lindsay, Director of the Center for Single Molecule Biophysics in the Biodesign Institute, was honored by the
White House in August 2010 for his innovative efforts to bring low-cost DNA sequencing to the masses. Lindsay was
recognized during a gathering that coincided with the release of the Recovery Act Innovation Report.
The Carnegie Foundation for the Advancement of Teaching and the Council for Advancement and Support of
Education named ASU Regents’ Professor Jane Maienschein the 2010 Arizona Professor of the Year.
A premier global water organization, the International Water Association, has recognized the outstanding
achievements of ASU Regents’ Professor Bruce Rittmann as a 2011 Fellow, its most prestigious professional honor.
ASU professors Qiang Hu and Milton Sommerfeld were honored with the Excellence in Research Award at the 2010
Arizona Bioindustry Association’s BioFest.

ASU also continued its strategic recruitment efforts, attracting national talent to ensure our success in key research areas.
•

•

•

Anna Barker, former deputy director for strategic scientific initiatives at the National Cancer Institute within the
National Institutes of Health, has joined ASU to lead the Transformative Healthcare Networks. This initiative will
leverage science and technology across ASU, other U.S. academic institutions, research laboratories, and other
sectors to provide innovative solutions to major problems in health care.
Werner Dahm leads ASU’s Security and Defense Systems Initiative. He was previously chief scientist of the U.S. Air
Force, where he authored the “Technology Horizons” document that will guide Air Force science and technology
strategy over the next two decades. ASU’s Security and Defense Systems Initiative is a transdisciplinary enterprise
that provides real-world solutions to growing national and global security challenges.
Stephen Elliot joined ASU from Vanderbilt University’s Peabody College of Education and Human Development to
lead the Learning Sciences Institute. The institute will span a variety of academic disciplines to promote personalized
instruction with an emphasis on learning outcomes.

We are pleased to welcome these new faculty into our cadre of exemplary faculty that include three Nobel Laureates:
Leland Hartwell, Virginia G. Piper Chair in Personalized Medicine and chief scientist, Center for Sustainable Health
(2001 Physiology or Medicine), Elinor Ostrom, research professor in the School of Human Evolution and Social Change
and founding director of the Center for the Study of Institutional Diversity (2009 Economic Sciences), and Edward
Prescott, Regents’ Professor and W.P. Carey Chair in Economics (2004 Economic Sciences).

38

Leadership and Recognition
Selected Accomplishments

•

ASU has achieved extraordinary growth in National Academy members as
of FY11:
o
o
o
o
o
o

American Academy of Arts and Sciences
Eleven members, nine since FY02 (450% growth)
National Academy of Engineering
Nine members, seven since FY02 (350% growth)
National Academy of Sciences
Twelve members, eleven since FY02 (1,100% growth)
Institute of Medicine
Two members, both hired since FY02
National Academy of Education
Four members, two since FY02 (100% growth)
National Academy of Public Administration
Three members, two since FY02 (200% growth)

•

The Academic Ranking of World Universities, compiled by Shanghai Jiao
Tong University, ranked ASU 78th among 1,200 universities around the
world, up from 81st place in 2010.

•

Times Higher Education World University Rankings, using data supplied by
Thomson Reuters, ranked ASU 21st in the world in mathematics, above
Columbia, Cornell, Oxford, MIT, and Cambridge.

•

U.S. News & World Report ranked ASU in the top tier of national
universities in 2008, 2009, 2010, and 2011. It was ranked fourth among
“Up and Coming Schools” in 2009 and 2010, and second in the 2011
edition of “America’s Best Colleges” – a ranking highlighting schools to
watch in terms of promising and innovative changes in academics, faculty,
students, campus life, diversity, and facilities.

•

Graduate programs at ASU rank among the best in the nation, according to
the 2012 edition of “Best Graduate Schools,” published by U.S. News &
World Report. Among the top tier ASU graduate programs rated this year
are the business, education, engineering, law, and nursing.

•

In 2010-11, ASU was the second most-awarded public university for
Department of State-sponsored student Fulbright awards. Nationally, ASU
is sixth overall, tied with Princeton and Berkeley. With 20 awards accepted
out of 50 applications, ASU's percentage of winning applications was
higher than that of any other top-15 Fulbright institution.

•

ASU faculty have won 84 National Science Foundation Early CAREER development awards, an extremely
competitive award that recognizes the quality work of junior faculty. These awards reflect ASU’s investment in
recruiting and nurturing exceptional talent, ensuring continued success for the university as these faculty members
advance in their fields.

39

Leadership and Recognition
National Academy Members

30
Median
25

20

Actual

15

10

5

0

ABOR Peer Group
University of Washington - Seattle
University of California - Los Angeles
University of Wisconsin - Madison
University of Texas - Austin
University of Illinois - Urbana-Champaign
University of Minnesota - Twin Cities
Rutgers the State University of NJ - New Brunswick
University of Maryland - College Park
Ohio State University - Columbus
Pennsylvania State University - University Park
University of Iowa
Arizona State University
Indiana University - Bloomington
Florida State University
Michigan State University
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X

X

X
X

X
X

40

2007
17

2008
20

2009
20

2010
20

2011
20

2007
90
73
72
59
56
36
35
26
21
26
21
17
10
7
7
3
26

2008
102
81
73
63
57
34
35
27
24
25
21
20
10
7
8
3
26

2009
101
85
71
65
55
39
36
27
26
24
21
20
11
7
7
1
27

2010

2011

20

20

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
14
16

Leadership and Recognition
National Academy Members per $10 Million in Total Research Expenditures

0.90
0.80
0.70
Median

0.60

Actual
0.50
0.40
0.30
0.20
0.10
0.00

NSF Adj.

ABOR Peer Group
University of Washington - Seattle
University of Texas - Austin
Rutgers the State University of NJ - New Brunswick
University of Illinois - Urbana-Champaign
University of California - Los Angeles
University of Wisconsin - Madison
Arizona State University
University of Maryland - College Park
University of Iowa
University of Minnesota - Twin Cities
Ohio State University - Columbus
Florida State University
Pennsylvania State University - University Park
Indiana University - Bloomington
Michigan State University
University of Connecticut - Storrs
Median

Med. Sch.

Actual

X
X
X
X

X
X
X
X
X
X
X
X

41

2007
0.8

2008
0.8

2009
0.7

2010
0.6

2011
0.6

2007
1.2
1.3
1.1
1.2
0.9
0.9
0.8
0.7
0.6
0.6
0.3
0.4
0.4
0.3
0.2
0.1
0.7

2008
1.3
1.3
1.1
1.1
0.9
0.8
0.8
0.7
0.7
0.5
0.3
0.4
0.4
0.2
0.2
0.1
0.7

2009
1.3
1.3
1.0
1.0
1.0
0.7
0.7
0.7
0.6
0.5
0.4
0.4
0.3
0.2
0.2
0.0
0.6

2010

2011

0.6

0.6

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Technology Transfer

Technology Transfer
Introduction

Functioning as ASU’s intellectual property management and technology transfer organization, Arizona Technology
Enterprises (AzTE) advances the research enterprise by identifying and developing intellectual property, evaluating
invention disclosures from legal and commercial perspectives, protecting inventions, managing marketing and licensing,
and building industry-university relations. AzTE reported less total revenue in FY2011 compared to the previous year
because of accounting changes in start-up equity valuation. However, sponsored research facilitated by AzTE increased
markedly in FY2011 due to a concerted effort toward facilitating industry funding as a core service.
As ASU’s research expenditures have continued to grow, the increased funding has driven a strong flow of invention
disclosures, increasing the depth and breadth of the university’s key patent portfolios (energy, medical devices,
biotechnology, and education). In turn, this has created numerous opportunities for leveraging existing resources to
identify and cultivate future opportunities.
The following are updates on selected ASU startup ventures founded in previous years:
•

Axon, a start-up company founded in 1996 by Michael Kozicki, professor
in the School of Electrical, Computer and Energy Engineering, is founded
on technology covered by over 30 issued patents. The first commercial
product is scheduled to be available in early 2012 through a sublicensee
with over 30 employees and over $30M in financing.

•

EndoStim, Inc. is currently developing a pacemaker-like device for the
treatment of severe acid reflux. AzTE has licensed to the company
intellectual property covering a micro-stimulator technology invented by
Bruce Towe, professor in the School of Biological and Health Systems
Engineering. The company has raised $6M in venture funding.

•

Fluidic Energy, a company which was co-founded by Cody Friesen,
associate professor in the School of Engineering of Matter, Transport and
Energy, is developing a rechargeable metal-air battery that will offer lower
cost, higher energy density, and longer run times. The company has
received two significant rounds of funding from venture capital firms as
well as several million dollars in funding through DOE ARPA-E.

•

Founded in 1992, the Photovoltaic Testing Laboratory at ASU (ASU PTL)
was the first accredited photovoltaic qualification testing laboratory in the
U.S. and one of only a few in the world. Over the last decade, under the
direction of Govindasamy Tamizhmani, ASU Clinical Professor in the
Department of Engineering Technology, ASU PTL developed a top-tier
network of experienced professionals with expertise in energy-related
technologies. In 2008, AzTE, for and on behalf of ASU PTL, joined forces
with TÜV Rheinland to create TUV-PTL. This company has a state-of-theart 40,000 square foot facility in Tempe, AZ, where clients can take
advantage of full testing for all photovoltaic system components. TUV-PTL
received OSHA certification as a recognized photovoltaic test laboratory in
2011. The company is profitable and has 57 employees, the majority of
which are former ASU students.

Cody Friesen (foreground),
ARPA-E recipient

ASU provides the largest solar energy
capacity (10MW) of any higher education
institution in the U.S.

ASU has created a dynamic mechanism for translating research into products, services and processes that benefit the
public and generate economic returns for Arizona through its facilities at SkySong in Scottsdale, just north of the Tempe
campus. At SkySong, innovative companies large and small are co-located under one roof to enable collaboration, and
place them proximal to technology translation and business acumen available through ASU. The facilities not only house
AzTE, but also the recently established Venture Catalyst group. This location-based synergy results in priceless
networking opportunities, leveraging of resources, and ultimately, the acceleration of the commercialization of research.

44

Technology Transfer
Statistical Exhibits

Technology Transfer Activities
Invention Disclosures Transacted
Invention Disclosures Transacted Year/Year Percentage Change

2007
152

2008
147
-3%

2009
164
12%

2010
187
14%

2011
170
-9%

New Patent Applications
New Patent Applications Year/Year Percentage Change

84

87
4%

126
45%

99
-21%

93
-6%

U.S. Patents Issued
U.S. Patents Issued Year/Year Percentage Change

15

16
7%

20
25%

17
-15%

18
6%

Licenses and Options Executed
Licenses and Options Executed Year/Year Percentage Change

14

50
257%

49
-2%

55
12%

72
31%

Other Major Agreements
Other Major Agreements Year/Year Percentage Change

68

78
15%

53
-32%

108
104%

126
17%

2007
3,303,549
687,866
16,000
4,007,415

2008
1,212,021
508,710
4,978
1,725,709

2009
1,878,749
661,986
65,367
2,606,102

2010
1,625,716
1,111,111
5,021
2,741,848

2011
1,059,372
1,205,679
41,945
2,306,996

2007
293,000

2008
15,626,906

2009
7,215,259

2010
5,623,534

2011
8,945,930

2007
-959,782
-954,777
-826,762
64,227

2008
-275,885
-332,210
-245,188
221,980

2009
-359,299
-347,918
-297,424
12,979

2010
-281,466
-313,358
-235,699
548,128

2011
-242,493
-208,090
-138,557
169,983

Licensing and Other Revenue
Licensing Revenue (Including Options)
Licensee Legal Reimbursements
Other Revenue
Total

Sponsored Research Facilitated
Total

Royalty Distribution
Inventors
Laboratories and Units
University
Undistributed

45

Technology Transfer
Selected Patents

•

M01-043L, US Patent No. 7,875,440, is entitled, “Method of Determining the Nucleotide Sequence of Oligonucleotides
and DNA Molecules.” This technology is exclusively licensed to Helicos Biosciences Corporation (Helicos) and forms
the basis for their DNA sequencing technology. That DNA sequencing technology is the subject of a patent
infringement lawsuit commenced by Helicos against three companies. AzTE recently joined the lawsuit as a plaintiff.
The ASU patented methods include the use of fluorescently labeled nucleotides that are added to a primed DNA strand
by an enzyme, the fluorescent label being detected to determine the identity of the nucleotide added (A, T, G, or C).
The methods also include the identification of DNA sequence by the detection of a reaction product (the proton, for
example), liberated in the formation of the phosphodiester bond between consecutive bases in the sequence. The
technology was developed by Dr. Peter Williams, ASU Professor in the Department of Chemistry and Biochemistry.

•

M03-037P, US Patent No. 7,781,356, is entitled “Epitaxial Growth of Group III Nitrides on Silicon Substrates Via a
Reflective Lattice-Matched Zirconium Diboride Buffer Layer.” This technology is exclusively optioned to Translucent,
Inc. The patent describes a method that allows the integration of semiconductor materials that are used for fabricating
light emitting diodes and high power transistors (e.g. Gallium Nitride) onto Silicon wafers, overcoming the present need
to use expensive (and small) Sapphire substrates. This technology has the potential to significantly reduce the cost of
solid state lighting. The technology was developed by Dr. John Kouvetakis, ASU Professor in the Department of
Chemistry and Biochemistry.

•

M05-060P, US Patent No. 7,833,666, is entitled "Electric Current Producing Device Having Sulfone-Based Electrolyte."
This technology was exclusively optioned to Dow Chemicals and has had interest from a host of other lithium ion
battery materials companies. The patent describes a new chemical compound that can be used as an electrolyte for
rechargeable lithium ion batteries. This newly developed compound has a lower melting point and also provides a
higher window of electrochemical stability that leads to longer lasting batteries with higher power density. Additionally,
this electrolyte is naturally fire retardant. This technology was developed by Dr. Austen Angell, ASU Professor in the
Department of Chemistry and Biochemistry.

•

M07-121L, US Patent No. 7,785,001, is entitled, “Apparatus and Method for Sensing Change in Environmental
Conditions.” This technology provides a novel means of sensing infrared energy by detecting changes in a quartz
resonator in contact with an infrared sensitive material. The invention would be useful in non-contact temperature
measurements and possibly night vision and remote sensing applications. The technology was developed by Dr.
Nongjian (NJ) Tao, ASU Professor in the School of Electrical, Computer and Energy Engineering.

46

Technology Transfer
Selected Licenses and Options Executed

•

Translucent, Inc.
Translucent is owned by Silex, a public Australian company. AzTE and Translucent have entered into an exclusive
option agreement to license a portfolio of solar-related technologies. This revolutionary technology eliminates the use
of costly germanium as a substrate for concentrating solar devices, and instead uses a buffer layer deposited directly
onto silicon substrates, thereby reducing cost while increasing device reliability and efficiency. Recently Translucent
has expressed interest in exercising this option agreement and is currently in negotiations for an exclusive license.

•

Zcube, Srl.
Zcube is the US division of the Italian pharmaceutical company, Zambon Group. They are developing technology
recently licensed from AzTE to create a medical device to measure nitric oxide (NO) in exhaled human breath. NO is
a marker for the presence and severity of asthma and other lung conditions. The anticipated device is being created
and refined through a sponsored research agreement in the inventor’s laboratory at the Biodesign Institute.

•

NanoVoltaix, Inc.
In FY2010, AzTE and NanoVoltaix, a local company with headquarters in Phoenix, AZ, entered into an exclusive
option agreement for a portfolio of technologies related to the production of nanoporous materials. In FY2011, this
option was exercised and AzTE has recently completed a license agreement with Matteren Inc., a separate, local startup company formed by NanoVoltaix to commercialize the technology. Nanoporous materials have applications in
thermal insulation, catalysis, and energy storage, and ASU’s materials manufacturing technology produces a more
efficient, cost-effective design.

47

Technology Transfer
Selected Startup Companies

•

3D Cell Technologies - 3D Cell Technologies is an ASU Biodesign Impact Accelerator company that is housed in the
ASU Biodesign Institute. The company has an innovative platform for creating in vitro tissue models that better
replicate in vivo conditions. This technology is being developed to serve a variety of markets, including basic
research, drug and biomarker discovery, and preclinical drug testing.

•

Daylight Solutions - Daylight Solutions is commercializing novel technology in the field of energy generation using
waste heat developed for the purpose of off-grid energy applications in third world countries.

•

Renco - Renco is a Lebanon-based company which has licensed algae technology for the purposes of
commercializing nutraceuticals and bio-fuels. The company will grow, harvest, and produce the end products through
a combination of proprietary algae strains and photo-bioreactors transferred from ASU.

•

GFS Tech - GFS Tech’s primary business is that of research, development and production of security technologies for
applications in the information and communications industries including mobile and cloud computing.

•

HealthTell - HealthTell is a personalized medicine company developing tools for the diagnosis of human health and
disease conditions based on patterns of immunological reactivity. The company is pioneering peptide array
technology at densities never before achieved.

•

IasoTek - IasoTek is a diagnostics company based on a revolutionary new method of analyte detection and reagent
production for the diagnosis of Dengue fever. The company’s development model is one of “frugal innovation,” a
paradigm becoming increasingly popular for developing inexpensive, robust, and easy-to-use products in emerging
markets.

•

ISW Technologies - ISW Technologies is an ASU Biodesign Impact Accelerator company that is housed in the ASU
Biodesign Institute. The company is developing environmental testing technology that is based on the use of
cartridges that allow pollutants to be concentrated at the monitoring site for later analysis in a remote laboratory.

•

Material-Wave Interactions (MWI) Laboratory - MWI is applying its materials research expertise to producing radio
frequency test devices in large scale and commercializing new application technologies of the materials for
applications in aerospace and computer circuit board industries.

•

SMALLab (Situated Multimedia Arts Learning Lab) - SMALLab Learning was founded with the mission of advancing
embodied learning in schools and museums. The company offers embodied learning solutions that utilize motion
capture technology to track students' 3D movements as they learn in immersive interactive space. The company has
received a prestigious development grant of $500,000 from Educause and the Gates Foundation.

•

VProctor - Developing unique software algorithms coupled with computer hardware devices to minimize cheating in
online education systems. The company uses a combination of software, webcams, and microphones to address the
rising incidence of fraud in online education.

48

Technology Transfer
Other Notable Activities

•

Head Start(up) 2011
On May 10th, 2011, AzTE joined with the tech transfer offices of Caltech, UCLA and USC to host Head Start(up) 2011,
a half-day conference giving Silicon Valley investors visibility into each of the universities’ most promising startups and
venture-ready technologies. About 90 people attended the conference, with investors from top Silicon Valley venture
funds, including Draper Fisher Jurvetson, Intel Capital, Khosla Ventures, Kleiner Perkins Caufield & Byers, Redpoint
Ventures, and Sofinnova Ventures. The event underscored the value of providing a venue where venture capitalists
could come and hear first-hand the best investment opportunities from multiple research institutions at one location
convenient to their offices.

•

Venture Catalyst
In October 2010, Arizona State University, together with AzTE, launched the ASU Venture Catalyst coincident with a
$1,000,000 grant from the Arizona Governor’s office as part of the federal stimulus program for economic
development. The Venture Catalyst at ASU provides a suite of venture acceleration services for ASU faculty, student
and alumni companies as well as US and international firms in all stages of their development, growth and success.
These services include entrepreneurial education, connections to mentors, capital formation, intellectual property
assistance, access to faculty researchers, student interns and employee workforce development. Since the launch of
the Venture Catalyst, 107 company inquiries (faculty, student, alumni, U.S. and global companies) have been
evaluated. This has resulted in the identification of 47 high potential opportunities which are currently receiving
services. Additionally, the ASU Venture Catalyst has assembled over 100 mentors who are accomplished
entrepreneurs and business executives willing to provide voluntary assistance to Venture Catalyst companies in
furtherance of local economic development.

49

This Page Intentionally Left Blank

Annual Research Report - FY2011

Table of Contents

Enterprise Size
Introduction
Selected Accomplishments
Total Research Expenditures
Average Growth Rate in Total Research Expenditures Over 3 years
Federally Financed Research Expenditures
Average Growth Rate in Federally Financed Research Expenditures Over 3 years
Net Research Square Feet
Total Research Expenditures per Square Foot
Total Faculty Population
Total Research Expenditures per Faculty

6
7
8
9
10
11
12
13
14
15

Discovery and Scholarly Impact
Introduction
Selected Accomplishments
Invention Disclosures Transacted
Invention Disclosures Transacted per $10 Million in Total Research Expenditures
U.S. Patents Issued
U.S. Patents Issued per $10 Million in Total Research Expenditures

18
19
20
21
22
23

Economic Development
Introduction
Selected Accomplishments
Licenses and Options Executed
Licenses and Options Executed per $10 Million in Total Research Expenditures
Intellectual Property Income
Intellectual Property Income per $10 Million in Total Research Expenditures
Startup Companies
Startup Companies per $10 Million in Total Research Expenditures
Doctoral Degrees Conferred
Doctoral Degrees Conferred per $10 Million in Total in Research Expenditures

26
27
28
29
30
31
32
33
34
35

Leadership and Recognition
Introduction
Selected Accomplishments
National Academy Members
National Academy Members per $10 Million in Total Research Expenditures

38
39
40
41

Technology Transfer Activity
Introduction
Technology Transfer Statistical Exhibits
Selected Patents Issued
Selected Licenses and Options Executed
Selected Startup Companies
Other Notable Activities

44
45
46
47
48
49

This Page Intentionally Left Blank

Enterprise Size

6

Enterprise Size
Selected Accomplishments



Federal research expenditures increased from $15M to $18M in the past year, continuing a steady increase since
2007.



A very high priority for Northern Arizona University has been a focused effort on increasing indirect cost recovery.
From 2007 to 2011, the amount of indirect cost requested in external proposals increased from $17.6M to $26.1M; in
2011, the amount of indirect cost recovery in new awards was at an all-time high, $7.9 million. The effective rate of
recovery has nearly doubled over the past five years, reflecting both the shift from state to federal sources (state
agencies are typically reluctant to pass indirect cost recovery to the university) and a change in campus culture and
sponsored project management.



Talented individuals were hired into Research Faculty positions and provided with incentives for expanded proposalwriting activity in several key areas (primarily the Center for Microbial Genetics and Genomics, and the environmental
sciences).



Northern Arizona University partnered with Science Foundation Arizona in hiring the state’s first Bisgrove Postdoctoral
Scholar, recruiting Dr. Ophelia Wang to join the Laboratory of Landscape Ecology and Conservation Biology. Dr.
Wang graduated from universities in Costa Rica, Panama, and Taiwan before receiving her Ph.D. in Geography and
the Environment at the University of Texas. Dr. Wang was awarded the NSF Doctoral Dissertation Research
Improvement Grant for her dissertation.

7

Enterprise Size
Total Research Expenditures (in Millions)

50
Median
45
40
35
Actual

30

Goal

25
20
15
10
5
0

NSF Adj.

ABOR Peer Group
University of Maine
Old Dominion University
George Mason University
Georgia State University
Southern Illinois University ‐ Carbondale
University of Akron
Wichita State University
Ohio University
University of Nevada ‐ Las Vegas
University of Alabama
Northern Arizona University
Northern Illinois University
Western Michigan University
Kent State University ‐ Kent
University of North Carolina ‐ Greensboro
Bowling Green State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X

X

8

2007
26.6

2008
25.8

2009
26.2
26.2
0.0

2010
28.8
28.8
0.0

2011
30.8
30.8
0.0

2007
96.1
52.1
58.3
51.4
64.7
27.1
47.4
38.7
56.0
36.4
26.6
16.7
17.2
19.0
6.1
9.1
37.5

2008
95.0
66.5
72.5
77.7
67.1
27.2
47.9
38.1
50.8
32.8
25.8
14.9
14.6
23.3
7.9
10.7
35.5

2009
100.6
71.9
78.5
60.6
66.3
34.5
66.0
41.3
39.1
36.5
26.2
20.6
13.3
25.1
10.4
8.4
37.8

2010
111.3
97.2
84.1
81.0
69.9
52.9
51.5
50.4
44.5
40.8
28.8
27.0
26.4
26.3
22.4
8.1
47.4

2011

30.8

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Total Research Expenditures Over 3 Years

12%
Median
10%
8%
Actual
Goal

6%
4%
2%
0%
-2%
-4%

X

X

NSF Adj.

ABOR Peer Group
University of North Carolina ‐ Greensboro
University of Akron
Western Michigan University
Old Dominion University
Georgia State University
Northern Illinois University
George Mason University
Kent State University ‐ Kent
Ohio University
Wichita State University
University of Maine
University of Alabama
Northern Arizona University
Southern Illinois University ‐ Carbondale
Bowling Green State University
University of Nevada ‐ Las Vegas
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
10.5%

2008
4.7%

2009
-1.8%
-1.8%
0.0%

2010
2.9%
2.9%
0.0%

2011
6.1%
6.1%
0.0%

2007
18.3%
-0.3%
8.0%
15.2%
4.3%
14.9%
8.7%
19.6%
0.5%
18.5%
6.6%
1.2%
10.5%
7.7%
3.8%
7.5%
7.9%

2008
18.3%
0.5%
-5.6%
12.8%
17.9%
12.6%
19.4%
31.5%
-3.9%
15.7%
8.7%
-1.5%
4.7%
6.8%
3.7%
2.3%
7.7%

2009
20.5%
7.5%
-9.5%
13.3%
8.9%
9.4%
16.1%
33.9%
2.9%
29.2%
2.6%
1.7%
-1.8%
-3.5%
-4.1%
-11.3%
5.2%

2010
58.8%
26.8%
24.8%
23.6%
21.0%
19.5%
13.3%
11.7%
9.7%
5.6%
5.1%
4.4%
2.9%
2.7%
-2.5%
-6.2%
10.7%

2011

9

6.1%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Federally Financed Research Expenditures (in Millions)

25

20

Median
Actual

15

10

5

0

NSF Adj.

ABOR Peer Group
George Mason University
University of Maine
Old Dominion University
University of Nevada ‐ Las Vegas
Georgia State University
University of Alabama
Southern Illinois University ‐ Carbondale
Western Michigan University
University of North Carolina ‐ Greensboro
Ohio University
Northern Illinois University
Northern Arizona University
Kent State University ‐ Kent
Wichita State University
University of Akron
Bowling Green State University
Median

Med. Sch.

Actual

X

X

10

2007
12.4

2008
13.3

2009
13.3

2010
15.1

2011
17.8

2007
46.6
42.0
25.7
48.6
24.6
27.7
17.7
10.3
5.3
18.6
13.0
12.4
9.8
18.1
11.2
6.3
17.9

2008
50.4
40.9
28.3
41.5
26.3
23.4
17.5
8.6
6.3
18.2
11.6
13.3
12.5
13.5
9.3
5.9
15.5

2009
55.7
47.3
27.6
31.3
24.0
23.9
19.2
8.1
8.5
16.5
17.1
13.3
13.3
12.2
11.0
4.3
16.8

2010
63.0
50.2
34.7
32.4
27.1
26.4
22.2
19.7
19.5
18.5
17.3
15.1
14.6
13.8
12.1
5.0
19.6

2011

17.8

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Federally Financed Research Expenditures Over 3 Years

12%
Actual

10%
8%
Median
6%
4%
2%
0%
-2%
-4%

X

X

NSF Adj.

ABOR Peer Group
University of North Carolina ‐ Greensboro
Western Michigan University
Kent State University ‐ Kent
Northern Illinois University
Old Dominion University
George Mason University
Southern Illinois University ‐ Carbondale
Northern Arizona University
University of Maine
University of Akron
Georgia State University
Ohio University
University of Alabama
Bowling Green State University
Wichita State University
University of Nevada ‐ Las Vegas
Median

Med. Sch.

Actual

2007
-0.3%

2008
-2.6%

2009
-1.9%

2010
6.8%

2011
10.4%

2007
18.0%
9.7%
3.6%
25.1%
6.8%
6.6%
5.2%
-0.3%
7.9%
3.1%
-1.7%
-3.7%
3.8%
7.1%
20.7%
20.3%
6.7%

2008
18.6%
-10.4%
18.1%
16.1%
5.3%
12.1%
1.8%
-2.6%
14.0%
-2.6%
1.4%
-4.2%
-0.2%
-1.8%
18.5%
6.0%
3.6%

2009
18.7%
-10.2%
17.8%
16.0%
0.4%
16.1%
-1.1%
-1.9%
4.8%
-0.3%
-1.1%
-5.5%
2.7%
-5.7%
-7.9%
-8.5%
-0.7%

2010
61.1%
40.7%
14.5%
12.6%
11.1%
10.6%
8.0%
6.8%
6.4%
3.8%
3.7%
0.1%
-1.1%
-5.9%
-7.4%
-11.8%
6.6%

2011

11

10.4%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Net Assignable Square Feet

250,000

200,000
Median
Actual
150,000

100,000

50,000

0

X
X

NSF Adj.

ABOR Peer Group
University of Maine
Ohio University
Southern Illinois University ‐ Carbondale
Old Dominion University
Wichita State University
Georgia State University
University of Alabama
Kent State University ‐ Kent
University of Nevada ‐ Las Vegas
Bowling Green State University
George Mason University
Northern Arizona University
Northern Illinois University
University of North Carolina ‐ Greensboro
Western Michigan University
University of Akron
Median

Med. Sch.

Actual

2007
122,955

2008
122,955

2009
142,340

2010
142,340

2011
170,831

2007
614,399
321,719
335,086
223,237
216,294
198,532
204,331

2008
614,399
321,719
335,086
223,237
216,294
198,532
204,331

2010

2011

126,918
173,816
125,414
122,955
279,758
111,868
93,353

126,918
173,816
125,414
122,955
279,758
111,868
93,353

2009
643,390
331,694
328,265
263,988
220,272
198,532
183,990
183,065
181,955
170,600
161,103
142,340
122,986
97,658
83,055

142,340

170,831

201,432

201,432

183,065

12

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

Enterprise Size
Total Research Expenditures per Net Assignable Square Foot

250

200
Median

Actual

150

100

50

0

NSF Adj.

ABOR Peer Group
George Mason University
Georgia State University
Wichita State University
Old Dominion University
University of Nevada ‐ Las Vegas
Southern Illinois University ‐ Carbondale
University of Alabama
Northern Arizona University
Northern Illinois University
Western Michigan University
University of Maine
Kent State University ‐ Kent
Ohio University
University of North Carolina ‐ Greensboro
Bowling Green State University
University of Akron
Median

Med. Sch.

Actual

X

X

13

2007
216

2008
210

2009
184

2010
202

2011
180

2007
464
259
219
234
441
193
178
216
60
184
156

2008
578
391
221
298
400
200
161
210
53
157
155

2010

2011

202

180

120
55
52

118
70
62

2009
487
305
300
272
215
202
198
184
168
160
156
137
124
106
49

189

180

184

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15

Enterprise Size
Total Faculty Population

800
700
Median
600
Actual

500
400
300
200
100
0

NSF Adj.

ABOR Peer Group
Ohio University
George Mason University
University of Akron
Southern Illinois University ‐ Carbondale
Western Michigan University
Georgia State University
Northern Illinois University
University of Nevada ‐ Las Vegas
Kent State University ‐ Kent
University of Alabama
University of North Carolina ‐ Greensboro
Old Dominion University
Northern Arizona University
Bowling Green State University
University of Maine
Wichita State University
Median

Med. Sch.

Actual

X

X

14

2007
589

2008
595

2009
580

2010
567

2011
527

2007
938
809
797
847
804
712
745
711
670
605
537
524
589
591
491
407
691

2008
919
856
830
836
805
735
745
724
677
605
546
516
595
596
486
402
701

2009
881
877
803
853
819
746
758
706
684
619
553
528
580
557
480
401
695

2010
898
885
823
860
828
739
758
699
684
636
573
525
567
533
466
378
692

2011
886
882
848
841
829
736
732
672
666
636
593
553
527
508
449
360
669

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Research Expenditures per Faculty

70,000
Median
60,000

Actual

50,000

40,000

30,000

20,000

10,000

0

X

X

NSF Adj.

ABOR Peer Group
University of Maine
Old Dominion University
Wichita State University
Georgia State University
George Mason University
Southern Illinois University ‐ Carbondale
University of Akron
University of Alabama
University of Nevada ‐ Las Vegas
Ohio University
Northern Arizona University
University of North Carolina ‐ Greensboro
Kent State University ‐ Kent
Northern Illinois University
Western Michigan University
Bowling Green State University
Median

Med. Sch.

Actual

2007
45,104

2008
43,395

2009
45,143

2010
50,799

2011
58,416

2007
195,794
99,492
116,457
72,173
72,005
76,391
34,050
60,136
78,810
41,227
45,104
11,415
28,360
22,430
21,371
15,431
52,620

2008
195,560
128,950
119,037
105,727
84,745
80,256
32,749
54,291
70,131
41,467
43,395
14,425
34,406
20,064
18,158
17,973
48,843

2009
209,542
136,191
164,559
81,176
89,495
77,744
42,973
58,979
55,450
46,829
45,143
18,796
36,623
27,235
16,241
15,074
51,140

2010
238,803
185,097
136,307
109,628
95,051
81,307
64,258
64,091
63,601
56,169
50,799
39,155
38,496
35,668
31,873
15,242
63,846

2011

15

58,416

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Discovery and Scholarly Impact

18

19

Discovery and Scholarly Impact
Invention Disclosures Transacted

30

25

20

15
Median
Actual
Goal

10

5

0

AUTM Adj.

ABOR Peer Group
George Mason University
University of Akron
University of Alabama
Kent State University ‐ Kent
University of North Carolina ‐ Greensboro
Northern Illinois University
Bowling Green State University
Northern Arizona University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
6

2008
9

2009
17
19
-2

2010
9
9
0

2011
12
11
1

2007
64
71
46
14
18

2009
55
58
41
24
16
6
12
17

2010
61
38
31
15
12
11
9
9

2011

X

43

2008
55
46
38
20
19
13
8
9
8
24

X

21

35

8
6

15
15
18

20

15
16
19

39

24

14

12

Rank
1
2
3
4
5
6
7
7

Discovery and Scholarly Impact
Invention Disclosures Transacted per $10 Million in Total Research Expenditures

12.00

10.00

8.00

Median
6.00

4.00

Actual
Goal

2.00

0.00

AUTM Adj.

NSF Adj.

ABOR Peer Group
Bowling Green State University
University of Alabama
George Mason University
University of Akron
Kent State University ‐ Kent
University of North Carolina ‐ Greensboro
Northern Illinois University
Northern Arizona University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
2.3

2008
3.5

2009
6.5
7.3
-0.8

2010
3.1
3.1
0.0

2011
3.9
3.6
0.3

2007
8.8
12.6
11.0
26.2
7.4
29.4

2009
14.3
11.2
7.0
16.8
9.6
15.4
2.9
6.5

2010
11.1
7.6
7.3
7.2
5.7
5.3
4.1
3.1

2011

X

11.1

2008
7.5
11.6
7.6
16.9
8.6
24.1
8.7
3.5
1.0
6.3

X

3.2

5.2

2.3

2.7
8.7
8.8

21

10.3
3.3
7.6

9.5

9.6

6.4

3.9

Rank
1
2
3
4
5
6
7
8

Discovery and Scholarly Impact
U.S. Patents Issued

3.5

3.0

Median

2.5

2.0

1.5

1.0

0.5

0.0

Actual
Goal

AUTM Adj.

ABOR Peer Group
George Mason University
University of Akron
Kent State University ‐ Kent
Bowling Green State University
Northern Arizona University
Northern Illinois University
University of Alabama
University of North Carolina ‐ Greensboro
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
2

2008
1

2009
1
1
0

2010
3
3
0

2011
0
0
0

2007
9
12
7
1
2

2009
7
8
3
1
1
2
4
2

2010
24
9
8
3
3
1
1
0

2011

X

5

2008
5
4
8
0
1
0
4
2
8
5

X

4

3

0
2

0
0
2

22

0
0
3

2

2

3

0

Rank
1
2
3
4
4
6
6
8

Discovery and Scholarly Impact
U.S. Patents Issued per $10 Million in Total Research Expenditures

1.60
1.40

Median

1.20
1.00
0.80
0.60
0.40
0.20
0.00

Actual
Goal

AUTM Adj.

NSF Adj.

ABOR Peer Group
Bowling Green State University
Kent State University ‐ Kent
George Mason University
University of Akron
Northern Arizona University
Northern Illinois University
University of Alabama
University of North Carolina ‐ Greensboro
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0.8

2008
0.4

2009
0.4
0.4
0.0

2010
1.0
1.0
0.0

2011
0.0
0.0
0.0

2007
1.1
3.7
1.5
4.4
0.8

2009
1.2
1.2
0.9
2.3
0.4
1.0
1.1
1.9

2010
3.7
3.0
2.9
1.7
1.0
0.4
0.2
0.0

2011

X

1.3

2008
0.0
3.4
0.7
1.5
0.4
0.0
1.2
2.5
1.0
1.3

X

0.6

0.4

0.0
3.3

0.0
0.0
1.1

23

0.0
0.0
0.7

0.5

1.1

1.4

0.0

Rank
1
2
3
4
5
6
7
8

This Page Intentionally Left Blank

Economic Development

26

Economic Development
Selected Accomplishments



The university signed a license agreement with BTE Technologies for rights to commercialize the Eccentron™, a
recumbent exercise machine that allows a user to perform eccentric (or 'negative') exercise which involves muscles
resisting force rather than producing force. The Eccentron™ capitalizes on the unique combination of benefits from
eccentric muscular activity plus low cardiac demand to provide a key advantage over other products on the market.
The Eccentron™ will be NAU’s first commercial product in the global marketplace.



The university and NACET each received a $500,000 grant from the Governor’s Office of Economic Recovery (GOER)
to strengthen the relationship between NAU and NACET. As part of that collaboration, NACET and the university
established a bricks-and-mortar business incubator exclusively for students, “LaunchBox,” in facilities being leased at
Flagstaff Pulliam Airport. Support under this grant was also used to help establish AZ Core Labs, a consortium of
laboratories across the State that provides testing and analytical services to business incubator clients, university
researchers and industry.



We reallocated staff effort to increase economic development activities.



The new Professional Science Master’s degree program in Climate Science and Solutions—launched with NSF grant
funding, attracted a full cohort of students in FY11. These students are now approaching graduation and finding
employment.



The President’s University Economic Impact Study showed enormous statewide impact of our direct spending
including funds that are generated through sponsored projects.



Public service awards were 23% of total new awards in FY10, 33% of new award dollars in FY11.



TGen and Northern Arizona University licensed jointly-owned technologies to Pathogene, a medical diagnostics startup company based in Flagstaff (a NACET client).

27

Economic Development
Licenses and Options Executed

4.0
3.5
3.0

Median

2.5
2.0
1.5
1.0

Actual

0.5
0.0

AUTM Adj.

ABOR Peer Group
University of Akron
Kent State University ‐ Kent
George Mason University
University of Alabama
University of North Carolina ‐ Greensboro
Bowling Green State University
Northern Arizona University
Northern Illinois University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

Actual

2007
0

2008
1

2009
0

2010
0

2011
1

2007
5
6
2
5
1
0
0

2009
4
6
4
3
8
3
0

2010
10
8
6
3
3
2
0
0

2011

X

1

2008
10
6
13
5
5
2
1
0
0
3

X

6

10

3
1
2

28

1
0
3

1

4

3

1

Rank
1
2
3
4
4
6
7
7

Economic Development
Licenses and Options Executed per $10 Million in Total Research Expenditures

1.60
1.40
1.20
Median

1.00
0.80
0.60
0.40

Actual
0.20
0.00

AUTM Adj.

NSF Adj.

ABOR Peer Group
Kent State University ‐ Kent
Bowling Green State University
University of Akron
University of North Carolina ‐ Greensboro
University of Alabama
George Mason University
Northern Arizona University
Northern Illinois University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

Actual

2007
0.0

2008
0.4

2009
0.0

2010
0.0

2011
0.3

2007
3.2
0.0
1.8
1.6
1.4
0.3
0.0

2009
2.4
3.6
1.2
7.7
0.8
0.5
0.0

2010
3.0
2.5
1.9
1.3
0.7
0.7
0.0
0.0

2011

X

0.3

2008
2.6
1.9
3.7
6.3
1.5
1.8
0.4
0.0
0.0
0.8

X

0.9

1.5

0.5
0.6
0.6

29

0.7
0.0
1.5

0.2

1.0

1.0

0.3

Rank
1
2
3
4
5
6
7
7

Economic Development
Intellectual Property Income

180,000
160,000
140,000
120,000
100,000
Median
80,000
60,000
Actual
Goal

40,000
20,000
0

AUTM Adj.

ABOR Peer Group
Kent State University ‐ Kent
University of Akron
University of North Carolina ‐ Greensboro
George Mason University
University of Alabama
Northern Illinois University
Bowling Green State University
Northern Arizona University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0

2008
0

2009
0
0
0

2010
0
3,000
-3,000

2011
42,684
40,000
2,684

2007
433,010
6,328,239
170,732
69,542
150,000

2009
339,444
454,625
152,354
163,444
5,005
19,500
10,500
0

2010
401,233
202,226
120,523
110,375
77,051
10,378
6,335
0

2011

X

4,412,900

2008
351,680
1,122,879
200,744
104,007
38,163
36,195
8,000
0
233,000
5,872,011

X

524,584

776,102

0
0

6,875,069

26,500

160,366

30

0
152,376

152,354

93,713

42,684

Rank
1
2
3
4
5
6
7
8

Economic Development
Intellectual Property Income per $10 Million in Total Research Expenditures

70,000

60,000

50,000

40,000

30,000

20,000
Median

Actual
Goal

10,000

0

AUTM Adj.

NSF Adj.

ABOR Peer Group
Kent State University ‐ Kent
University of North Carolina ‐ Greensboro
University of Akron
University of Alabama
George Mason University
Bowling Green State University
Northern Illinois University
Northern Arizona University
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0

2008
0

2009
0
0
0

2010
0
1,042
-1,042

2011
13,865
13,008
857

2007
227,888
278,519
2,331,874
41,229
11,938
0

2009
135,507
146,579
131,749
1,371
20,824
12,506
9,446
0

2010
152,380
53,719
38,240
18,903
13,121
7,798
3,839
0

2011

X

1,141,139

2008
150,981
254,881
413,097
11,619
14,337
7,468
24,214
0
29,984
1,540,887

X

81,076

115,674

0

1,666,441

4,729

61,152

31

0
27,099

20,824

16,012

13,865

Rank
1
2
3
4
5
6
7
8

Economic Development
Startup Companies

2.5

2.0

1.5

1.0

Goal

0.5

Median

0.0

Actual

AUTM Adj.

ABOR Peer Group
George Mason University
University of Akron
Bowling Green State University
University of North Carolina ‐ Greensboro
Kent State University ‐ Kent
Northern Arizona University
Northern Illinois University
University of Alabama
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0

2008
0

2009
0
0
0

2010
0
1
-1

2011
0
1
-1

2007
2
2
0
1
1
0

2008
5
5
0
2
0
0
0
3
1
3

2009
2
4
1
2
1
0

2011

2

2010
2
2
1
1
0
0
0
0

2

1

X

4
0
1

X

1
0
0
1
0
1

32

0
0
0

0

Rank
1
1
3
3
5
5
5
5

Economic Development
Startup Companies per $10 Million in Total Research Expenditures

0.60

0.50

0.40
Goal
0.30

0.20

Median

0.10

0.00

Actual

AUTM Adj.

NSF Adj.

ABOR Peer Group
Bowling Green State University
University of North Carolina ‐ Greensboro
University of Akron
George Mason University
Kent State University ‐ Kent
Northern Arizona University
Northern Illinois University
University of Alabama
Georgia State University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Maine
University of Nevada ‐ Las Vegas
Western Michigan University
Wichita State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0.0

2008
0.0

2009
0.0
0.0
0.0

2010
0.0
0.3
-0.3

2011
0.0
0.3
-0.3

2007
0.0
1.6
0.7
0.3
0.5
0.0

2008
0.0
2.5
1.8
0.7
0.0
0.0
0.0
0.9
0.1
0.8

2009
1.2
1.9
1.2
0.3
0.4
0.0

2011

0.5

2010
1.2
0.4
0.4
0.2
0.0
0.0
0.0
0.0

0.5

0.1

X

1.1
0.0
0.3

X

0.2
0.0
0.0
0.6
0.0
0.3

33

0.0
0.0
0.0

0.0

Rank
1
2
3
4
5
5
5
5

Economic Development
Doctoral Degrees Conferred

120
Median
100
Goal
Actual
80

60

40

20

0

ABOR Peer Group
Georgia State University
George Mason University
University of Alabama
Kent State University ‐ Kent
Southern Illinois University ‐ Carbondale
Ohio University
University of Nevada ‐ Las Vegas
Northern Illinois University
University of North Carolina ‐ Greensboro
Northern Arizona University
University of Akron
Western Michigan University
Bowling Green State University
Old Dominion University
Wichita State University
University of Maine
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X

34

2007
88

2008
87

2009
103
103
0

2010
91
92
-1

2011
95
96
-1

2007
170
181
160
136
145
162
82
107
74
88
94
95
91
101
23
50
98

2008
200
189
191
177
141
147
91
106
93
87
110
105
86
77
60
50
106

2009
213
202
192
141
137
135
134
119
107
103
100
100
99
84
61
58
113

2010

2011

91

95

Rank
1
2
3
4
5
6
7
8
9
10
11
11
13
14
15
16

Economic Development
Doctorate Degrees Conferred per $10 Million in Total Research Expenditures

45.00
40.00
35.00

Median
Goal
Actual

30.00
25.00
20.00
15.00
10.00
5.00
0.00

X

X

NSF Adj.

ABOR Peer Group
Bowling Green State University
University of North Carolina ‐ Greensboro
Western Michigan University
Northern Illinois University
Kent State University ‐ Kent
University of Alabama
Northern Arizona University
Georgia State University
University of Nevada ‐ Las Vegas
Ohio University
University of Akron
George Mason University
Southern Illinois University ‐ Carbondale
Old Dominion University
Wichita State University
University of Maine
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
33.1

2008
33.7

2009
39.3
39.3
0.0

2010
31.6
31.9
-0.3

2011
30.9
31.2
-0.4

2007
99.8
120.7
55.3
64.0
71.6
44.0
33.1
33.1
14.6
41.9
34.6
31.1
22.4
19.4
4.9
5.2
33.9

2008
80.3
118.1
71.8
70.9
76.0
58.2
33.7
25.7
17.9
38.6
40.5
26.1
21.0
11.6
12.5
5.3
36.1

2009
117.9
102.9
75.2
57.6
56.3
52.6
39.3
35.2
34.2
32.7
29.0
25.7
20.7
11.7
9.2
5.8
34.7

2010

2011

31.6

30.9

35

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Leadership and Recognition

38

39

Leadership and Recognition
National Academy Members

1.0
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0.0

Median

ABOR Peer Group
George Mason University
University of Akron
University of Maine
Kent State University ‐ Kent
Bowling Green State University
Georgia State University
Northern Arizona University
Northern Illinois University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Alabama
University of Nevada ‐ Las Vegas
University of North Carolina ‐ Greensboro
Western Michigan University
Wichita State University
Median

Med. Sch.

Actual

X
X

40

Actual

2007
0

2008
0

2009
0

2010
0

2011
0

2007
2
2
1
1
0
0
0
0
0
0
0
0
0
0
0
0
0

2008
3
2
2
1
0
0
0
0
0
0
0
0
0
0
0
0
0

2009
3
2
2
1
0
0
0
0
0
0
0
0
0
0
0
0
0

2010

2011

0

0

Rank
1
2
2
4
5
5
5
5
5
5
5
5
5
5
5
5

Leadership and Recognition
National Academy Members per $10 Million in Total Research Expenditures

1.00
0.90
0.80
0.70
0.60
0.50
0.40
0.30
0.20
0.10
0.00

Median

NSF Adj.

ABOR Peer Group
University of Akron
Kent State University ‐ Kent
George Mason University
University of Maine
Bowling Green State University
Georgia State University
Northern Arizona University
Northern Illinois University
Ohio University
Old Dominion University
Southern Illinois University ‐ Carbondale
University of Alabama
University of Nevada ‐ Las Vegas
University of North Carolina ‐ Greensboro
Western Michigan University
Wichita State University
Median

Med. Sch.

Actual

X
X

41

Actual

2007
0.0

2008
0.0

2009
0.0

2010
0.0

2011
0.0

2007
0.7
0.5
0.3
0.1
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0

2008
0.7
0.4
0.4
0.2
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0

2009
0.6
0.4
0.4
0.2
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0

2010

2011

0.0

0.0

Rank
1
2
3
4
5
5
5
5
5
5
5
5
5
5
5
5

This Page Intentionally Left Blank

Technology Transfer

Technology Transfer
Introduction

In 2008, Northern Arizona University restructured its technology transfer operations to respond to a statewide performance
audit and to ensure a closer connection between campus research and regional economic development. In 2010, the
university entered into a partnership with NAU Ventures, a limited liability corporation established by the NAU Foundation
for the purpose of facilitating the commercialization of university-owned inventions through startup companies that will
create jobs for Arizonans. In FY11, Northern Arizona University, NAU Ventures and NACET (Northern Arizona Center for
Entrepreneurship and Technology) began a cooperative effort to catalyze the discovery and innovation process on
campus, to translate university intellectual property into commercial goods and services for the public benefit and to
enhance the university’s ability to attract industry funding to continue these efforts.
In FY11, we devoted much effort to capacity building. To this end, increased staff effort was allocated to technology
transfer. Funds from a grant from the Governor’s Office on Economic Recovery (GOER) were used to purchase a
comprehensive technology transfer data management system, Sophia™, which will allow all of the university’s tech
transfer partners—Office of the Vice President for Research, NACET and NAU Ventures—to have real-time access to the
most up-to-date data of the university’s entire portfolio.
In conjunction with NACET and with funding from the GOER, the university established a bricks-and-mortar student
incubator, which will be available to students not only to develop their own business ideas but, in some cases, to test the
feasibility of starting businesses based on NAU technologies (if the university has not been successful attracting
licensees).
The university began implementing a technology transfer “in-reach” program—a plan to meet with every faculty
member/principal investigator currently performing funded research at the Mountain Campus. In doing so, we not only
keep current on the research programs of our faculty, but we are able to educate our researchers about the potential
commercial applications of their work. This in-reach program has already generated a number of invention disclosures.
In addition to capacity building activities, the university brought in more licensing revenue than in any previous year going
back to 2006.

44

Technology Transfer
Statistical Exhibits

Technology Transfer Activities
Invention Disclosures Transacted
Invention Disclosures Transacted Year/Year Percentage Change

2007
6

2008
9
50%

2009
17
89%

2010
9
-47%

2011
12
33%

New Patent Applications
New Patent Applications Year/Year Percentage Change

3

10
233%

12
20%

5
-58%

2
-60%

U.S. Patents Issued
U.S. Patents Issued Year/Year Percentage Change

2

1
-50%

1
0%

3
200%

0
-100%

Licenses and Options Executed
Licenses and Options Executed Year/Year Percentage Change

0

1

0
-100%

0

1

2

1
-50%

1
0%

Other Major Agreements
Other Major Agreements Year/Year Percentage Change

Licensing and Other Revenue
Licensing Revenue (Including Options)
Licensee Legal Reimbursements
Other Revenue
Total

2007
0
0
0
0

2008
0
0
0
0

2009
0
0
0
0

2010
0
2,931
0
2,931

2011
42,684
0
0
42,684

Sponsored Research Facilitated
Total

2007
0

2008
0

2009
0

2010
0

2011
0

Royalty Distribution
Inventors
Laboratories and Units
University
Undistributed

2007
0
0
0
0

2008
885
0
885
0

2009
0
0
0
0

2010
0
0
0
0

2011
0
0
0
0

45

Technology Transfer
Selected Patents



No patents to report.

46

47

48

Technology Transfer
Other Notable Activities



The university entered into its first international inter-institutional agreement with the University of Victoria, British
Columbia, to manage intellectual property arising from collaborative research entitled, “Thyroid assays across indicator
and sentinel species.”



Northern Arizona University partnered with NACET to deliver a “Power of Angel Investing” series seminar, through the
Angel Capital Education Foundation. This seminar provided a comprehensive overview of the angel investing process
to faculty, students and members of the Northern Arizona entrepreneurial community.



The university established relationships with a number of angel investors and signed more NDAs for this purpose than
in any previous year.

49

This Page Intentionally Left Blank

Annual Research Report - FY2011

Table of Contents

Enterprise Size
Introduction
Selected Accomplishments
Total Research Expenditures
Average Growth Rate in Total Research Expenditures Over 3 years
Federally Financed Research Expenditures
Average Growth Rate in Federally Financed Research Expenditures Over 3 years
Net Research Square Feet
Total Research Expenditures per Square Foot
Total Faculty Population
Total Research Expenditures per Faculty

6
7
8
9
10
11
12
13
14
15

Discovery and Scholarly Impact
Introduction
Selected Accomplishments
Invention Disclosures Transacted
Invention Disclosures Transacted per $10 Million in Total Research Expenditures
U.S. Patents Issued
U.S. Patents Issued per $10 Million in Total Research Expenditures

18
19
20
21
22
23

Economic Development
Introduction
Selected Accomplishments
Licenses and Options Executed
Licenses and Options Executed per $10 Million in Total Research Expenditures
Intellectual Property Income
Intellectual Property Income per $10 Million in Total Research Expenditures
Startup Companies
Startup Companies per $10 Million in Total Research Expenditures
Doctoral Degrees Conferred
Doctoral Degrees Conferred per $10 Million in Total in Research Expenditures

26
27
28
29
30
31
32
33
34
35

Leadership and Recognition
Introduction
Selected Accomplishments
National Academy Members
National Academy Members per $10 Million in Total Research Expenditures

38
39
40
41

Technology Transfer Activity
Introduction
Technology Transfer Statistical Exhibits
Selected Patents Issued
Selected Licenses and Options Executed
Selected Startup Companies
Other Notable Activities

44
45
46
47
48
49

This Page Intentionally Left Blank

Enterprise Size

6

7

Enterprise Size
Total Research Expenditures (in Millions)

800
700

Median
Goal
Actual

600
500
400
300
200
100
0

X
X
X
X
X
X
X
X
X
X

X
X

NSF Adj.

ABOR Peer Group
University of Wisconsin - Madison
University of Washington
University of California - Los Angeles
University of Minnesota
Pennsylvania State University, All Campuses
University of North Carolina - Chapel Hill
The Ohio State University
Texas A&M University
University of Florida
University of California - Davis
University of Texas - Austin
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
University of Iowa
Michigan State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
531.8

2008
545.9

2009
565.3
565.3
0.0

2010
586.6
586.9
-0.3

2011
610.6
630.0
-19.4

2007
840.7
756.8
823.1
624.1
652.1
477.2
720.2
621.8
592.8
600.5
446.8
531.8
473.9
359.8
363.2
360.9
596.7

2008
881.8
765.1
871.5
682.7
701.1
525.8
702.6
662.1
584.2
642.5
493.3
545.9
501.3
395.0
293.6
356.8
613.3

2009
952.1
778.0
890.0
741.0
753.4
646.0
716.5
714.3
592.1
681.6
506.4
565.3
563.7
409.2
329.9
373.2
663.8

2010
1,029.3
1,022.7
937.0
786.1
770.4
755.3
755.2
689.6
681.5
679.9
589.5
586.6
515.1
451.4
444.0
431.4
685.6

2011

8

610.6

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Total Research Expenditures Over 3 Years

7%

Median

6%

5%

Goal

4%

Actual

3%

2%

1%

0%

X
X
X
X
X
X
X
X
X
X
X
X

NSF Adj.

ABOR Peer Group
University of North Carolina - Chapel Hill
University of Washington
University of Texas - Austin
University of Iowa
University of Minnesota
University of Maryland - College Park
University of Wisconsin - Madison
Michigan State University
Pennsylvania State University, All Campuses
University of Florida
University of California - Los Angeles
University of California - Davis
Texas A&M University
The University of Arizona
University of Illinois - Urbana - Champaign
The Ohio State University
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
3.7%

2008
1.0%

2009
1.8%
1.8%
0.0%

2010
3.3%
3.3%
0.0%

2011
3.8%
4.9%
-1.1%

2007
4.7%
2.1%
9.3%
5.1%
5.9%
3.4%
3.3%
3.5%
2.8%
10.0%
2.1%
5.5%
6.1%
3.7%
-2.1%
11.7%
4.2%

2008
6.1%
2.8%
6.3%
-3.6%
7.6%
5.3%
3.4%
2.3%
3.9%
3.3%
3.5%
5.5%
6.2%
1.0%
0.2%
5.0%
3.7%

2009
13.5%
0.0%
5.5%
-0.6%
7.6%
5.0%
4.6%
1.4%
5.4%
1.6%
3.1%
6.0%
7.9%
1.8%
5.9%
3.3%
4.8%

2010
16.7%
11.4%
9.8%
9.3%
8.0%
7.9%
7.0%
6.4%
5.7%
5.0%
4.4%
4.3%
3.6%
3.3%
3.2%
1.6%
6.0%

2011

9

3.8%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Federally Financed Research Expenditures (in Millions)

400
350

Median

Actual

300
250
200
150
100
50
0

X
X
X
X
X
X
X
X
X

X
X
X

NSF Adj.

ABOR Peer Group
University of Washington
University of North Carolina - Chapel Hill
University of Wisconsin - Madison
University of California - Los Angeles
Pennsylvania State University, All Campuses
University of Minnesota
The Ohio State University
University of Texas - Austin
University of California - Davis
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
Texas A&M University
University of Iowa
University of Florida
Michigan State University
Median

Med. Sch.

Actual

2007
269.9

2008
277.9

2009
287.9

2010
308.2

2011
327.6

2007
620.4
346.7
469.1
488.8
370.8
338.0
313.2
289.3
257.0
269.9
253.6
219.0
263.4
222.9
240.8
170.4
279.6

2008
614.1
373.1
474.4
471.9
406.5
364.1
335.1
324.3
269.0
277.9
266.9
236.4
278.7
229.9
231.0
152.9
301.5

2009
619.4
431.8
507.9
467.5
439.2
390.6
339.8
309.1
295.9
287.9
288.0
247.0
288.5
252.3
232.7
164.2
302.5

2010
829.9
546.0
545.2
538.5
464.8
426.4
399.9
350.3
332.3
308.2
303.9
297.9
288.2
282.5
279.6
214.1
341.3

2011

10

327.6

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Average Growth Rate in Federally Financed Research Expenditures Over 3 Years

10%

8%

Median

6%

Actual

4%

2%

0%

-2%

X
X
X
X
X
X
X
X

X
X
X
X

NSF Adj.

ABOR Peer Group
University of North Carolina - Chapel Hill
University of Washington
University of Maryland - College Park
Michigan State University
University of California - Davis
The Ohio State University
University of Iowa
University of Minnesota
Pennsylvania State University, All Campuses
University of Texas - Austin
University of Illinois - Urbana - Champaign
University of Florida
University of Wisconsin - Madison
The University of Arizona
University of California - Los Angeles
Texas A&M University
Median

Med. Sch.

Actual

2007
-1.5%

2008
-1.5%

2009
-1.3%

2010
4.5%

2011
5.6%

2007
4.5%
-0.1%
6.6%
6.0%
5.0%
3.3%
2.0%
3.2%
2.1%
7.1%
-2.6%
2.9%
2.8%
-1.5%
2.0%
9.3%
3.0%

2008
5.2%
0.5%
6.5%
-0.5%
3.9%
4.5%
2.1%
4.5%
4.3%
8.4%
-2.6%
0.0%
-0.2%
-1.5%
0.2%
4.4%
3.0%

2009
9.6%
-1.6%
5.6%
-0.7%
6.1%
2.5%
5.3%
6.2%
6.2%
4.4%
3.0%
-2.1%
1.2%
-1.3%
-1.1%
6.1%
3.7%

2010
16.6%
11.3%
11.0%
9.2%
9.0%
8.7%
8.3%
8.1%
7.8%
6.9%
6.2%
5.6%
5.2%
4.5%
3.6%
3.1%
7.9%

2011

11

5.6%

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Net Assignable Square Feet

2,500,000
Median
2,000,000
Actual
1,500,000

1,000,000

500,000

0

X
X
X
X
X
X
X
X
X
X
X

X

NSF Adj.

ABOR Peer Group
University of Illinois - Urbana - Champaign
University of Minnesota
University of Florida
Pennsylvania State University, All Campuses
University of Wisconsin - Madison
University of California - Davis
University of California - Los Angeles
Michigan State University
Texas A&M University
University of Washington
The University of Arizona
University of North Carolina - Chapel Hill
The Ohio State University
University of Texas - Austin
University of Maryland - College Park
University of Iowa
Median

Med. Sch.

Actual

2007
2,037,788

2008
2,037,788

2009
1,700,749

2010
1,700,749

2011
1,748,037

2007
4,319,500
3,678,316
2,877,352
2,913,138

2008
4,319,500
3,678,316
2,877,352
2,913,138

2010

2011

2,809,365
2,229,683
2,289,100

2,809,365
2,229,683
2,289,100

1,791,869
2,037,788
1,135,045
1,540,443
2,862,918
987,352
760,591
2,259,392

1,791,869
2,037,788
1,135,045
1,540,443
2,862,918
987,352
760,591
2,259,392

2009
4,561,500
3,684,378
3,081,524
2,997,579
2,844,272
2,660,052
2,496,563
2,324,423
2,222,041
1,795,359
1,700,749
1,662,923
1,487,468
1,480,462
712,085
616,700
2,273,232

1,700,749

1,748,037

12

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Research Expenditures per Net Assignable Square Foot

400
350

Actual
Median

300
250
200
150
100
50
0

X
X
X
X
X

NSF Adj.

ABOR Peer Group
University of Maryland - College Park
University of Iowa
The Ohio State University
University of Washington
University of North Carolina - Chapel Hill
University of California - Los Angeles
University of Texas - Austin
University of Wisconsin - Madison
The University of Arizona
Texas A&M University
University of California - Davis
Pennsylvania State University, All Campuses
University of Minnesota
University of Florida
Michigan State University
University of Illinois - Urbana - Champaign
Median

Med. Sch.

Actual

2007
261

2008
268

2009
332

2010
345

2011
349

2007
364
478
468
422
420
369
156

2008
400
386
456
427
463
391
172

2010

2011

261

268

345

349

214
224
170
206
158
110
242

229
241
186
203
156
116
254

2009
575
535
482
433
388
356
342
335
332
321
256
251
201
192
161
124
334

X
X
X
X
X
X
X

13

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Faculty Population

1,900
1,850

Median

1,800
1,750
1,700
1,650
1,600
Actual

1,550
1,500
1,450
1,400

X
X
X
X
X
X
X
X
X
X
X
X

NSF Adj.

ABOR Peer Group
University of Florida
The Ohio State University
University of Minnesota
University of Wisconsin - Madison
University of Texas - Austin
Michigan State University
Texas A&M University
University of North Carolina - Chapel Hill
University of California - Los Angeles
University of Illinois - Urbana - Champaign
Pennsylvania State University, All Campuses
The University of Arizona
University of Washington
University of Iowa
University of California - Davis
University of Maryland - College Park
Median

Med. Sch.

Actual

2007
1,627

2008
1,619

2009
1,622

2010
1,585

2011
1,563

2007
2,875
2,571
2,458
2,081
1,876
1,882
1,726
1,695
1,750
1,886
1,716
1,627
1,890
1,574
1,465
1,468
1,813

2008
2,806
2,588
2,489
2,064
1,887
1,885
1,730
1,716
1,753
1,900
1,711
1,619
1,607
1,549
1,452
1,472
1,742

2009
2,775
2,605
2,377
2,053
1,913
1,921
1,878
1,804
1,829
1,883
1,757
1,622
1,568
1,599
1,466
1,485
1,854

2010
2,696
2,602
2,319
2,047
1,981
1,948
1,838
1,833
1,840
1,856
1,748
1,585
1,548
1,572
1,498
1,472
1,839

2011
2,701
2,560
2,277
2,057
1,954
1,906
1,871
1,861
1,822
1,778
1,759
1,563
1,536
1,527
1,467
1,463
1,842

14

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

Enterprise Size
Total Research Expenditures per Faculty

450,000
400,000

Actual
Median

350,000
300,000
250,000
200,000
150,000
100,000
50,000
0

X
X
X
X
X
X
X
X

X
X
X
X

NSF Adj.

ABOR Peer Group
University of Washington
University of California - Los Angeles
University of Wisconsin - Madison
University of California - Davis
Pennsylvania State University, All Campuses
University of North Carolina - Chapel Hill
Texas A&M University
The University of Arizona
University of Minnesota
University of Maryland - College Park
University of Texas - Austin
The Ohio State University
University of Iowa
University of Illinois - Urbana - Champaign
University of Florida
Michigan State University
Median

Med. Sch.

Actual

2007
326,830

2008
337,164

2009
348,515

2010
370,124

2011
390,637

2007
400,416
470,333
403,975
409,903
380,037
281,552
360,281
326,830
253,926
245,068
238,148
280,127
230,777
251,267
206,203
191,739
280,840

2008
476,126
497,135
427,218
442,506
409,778
306,435
382,689
337,164
274,272
268,368
261,417
271,481
189,518
263,831
208,186
189,266
290,353

2009
496,203
486,602
463,770
464,951
428,775
358,099
380,344
348,515
311,729
275,549
264,699
275,033
206,317
299,368
213,363
194,265
330,122

2010
660,685
509,236
502,831
453,882
440,760
412,048
375,203
370,124
338,971
306,668
297,578
290,236
282,464
277,550
252,800
221,444
354,548

2011

15

390,637

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Discovery and Scholarly Impact

18

19

Discovery and Scholarly Impact
Invention Disclosures Transacted

250

200

Median

150

Actual
Goal

100

50

0

X
X
X
X
X
X

X
X
X
X
X
X

AUTM Adj.

ABOR Peer Group
University of California - Los Angeles
University of Wisconsin - Madison
University of Washington
University of Florida
University of Minnesota
University of California - Davis
Texas A&M University
University of Illinois - Urbana - Champaign
The Ohio State University
Pennsylvania State University, All Campuses
The University of Arizona
University of North Carolina - Chapel Hill
Michigan State University
University of Iowa
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
104

2008
101

2009
125
127
-2

2010
131
131
0

2011
150
144
6

2007
267
409
335
327
193
180
154
201
165
121
104
113
161
87
110
139
163

2008
314
381
349
299
217
181
226
243
142
143
101
122
91
68
132
154
168

2009
333
333
349
304
244
172
196

2011

163
119
125
137
129
70

2010
379
356
354
295
255
245
207
180
173
133
131
125
116
70

172

194

20

150

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Discovery and Scholarly Impact
Invention Disclosures Transacted per $10 Million in Total Research Expenditures

3.50
Median

3.00

2.50

Actual
Goal

2.00

1.50

1.00

0.50

0.00

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

NSF Adj.

ABOR Peer Group
University of Florida
University of California - Los Angeles
University of California - Davis
University of Illinois - Urbana - Champaign
University of Washington
University of Wisconsin - Madison
University of Minnesota
Texas A&M University
Michigan State University
The Ohio State University
The University of Arizona
Pennsylvania State University, All Campuses
University of North Carolina - Chapel Hill
University of Iowa
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
2.0

2008
1.9

2009
2.2
2.2
0.0

2010
2.2
2.2
0.0

2011
2.5
2.3
0.2

2007
5.5
3.2
3.0
4.2
4.4
4.9
3.1
2.5
4.5
2.3
2.0
1.9
2.4
2.4
3.1
3.1
3.1

2008
5.1
3.6
2.8
4.8
4.6
4.3
3.2
3.4
2.6
2.0
1.9
2.0
2.3
2.3
3.3
3.1
3.2

2009
5.1
3.7
2.5

2011

4.5
3.5
3.3
2.7
3.5
2.3
2.2
1.6
2.1
2.1

2010
4.3
4.0
3.6
3.5
3.5
3.5
3.2
3.0
2.7
2.3
2.2
1.7
1.7
1.6

2.7

3.1

21

2.5

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Discovery and Scholarly Impact
U.S. Patents Issued

50.0
Median

45.0
40.0
35.0
30.0
25.0
20.0

Actual

15.0

Goal

10.0
5.0
0.0

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

ABOR Peer Group
University of Wisconsin - Madison
University of Washington
University of Florida
Pennsylvania State University, All Campuses
Michigan State University
University of California - Los Angeles
University of Minnesota
The Ohio State University
Texas A&M University
University of Iowa
University of California - Davis
University of North Carolina - Chapel Hill
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
18

2008
19

2009
11
11
0

2010
13
13
0

2011
19
15
4

2007
124
43
77
34
35
42
44
25
29
30
45
31
18
40
24
40
38

2008
98
56
52
38
48
42
37
15
28
24
21
17
19
38
23
25
33

2009
119
40
73
34
41
60
37
20
20
30
24
19
11

2010
133
69
59
54
52
47
46
38
33
32
29
27
13

2011

34

46

22

19

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13

Discovery and Scholarly Impact
U.S. Patents Issued per $10 Million in Total Research Expenditures

0.80
0.70
0.60

Median

0.50
0.40
Actual

0.30

Goal
0.20
0.10
0.00

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

NSF Adj.

ABOR Peer Group
University of Wisconsin - Madison
Michigan State University
University of Florida
University of Iowa
Pennsylvania State University, All Campuses
University of Washington
University of Minnesota
The Ohio State University
University of California - Los Angeles
Texas A&M University
University of California - Davis
University of North Carolina - Chapel Hill
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0.3

2008
0.3

2009
0.2
0.2
0.0

2010
0.2
0.2
0.0

2011
0.3
0.2
0.1

2007
1.5
1.0
1.3
0.8
0.5
0.6
0.7
0.3
0.5
0.5
0.7
0.6
0.3
0.8
0.7
0.9
0.7

2008
1.1
1.3
0.9
0.8
0.5
0.7
0.5
0.2
0.5
0.4
0.3
0.3
0.3
0.8
0.6
0.5
0.5

2009
1.2
1.1
1.2
0.9
0.5
0.5
0.5
0.3
0.7
0.3
0.4
0.3
0.2

2010
1.3
1.2
0.9
0.7
0.7
0.7
0.6
0.5
0.5
0.5
0.4
0.4
0.2

2011

0.5

0.6

23

0.3

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13

This Page Intentionally Left Blank

Economic Development

26

27

Economic Development
Licenses and Options Executed

90.0
80.0

Actual

70.0
60.0
Median

50.0
40.0
30.0
20.0
10.0
0.0

X
X
X
X
X
X
X

X
X
X
X
X

AUTM Adj.

ABOR Peer Group
University of Washington
University of Florida
University of Minnesota
University of California - Davis
The University of Arizona
University of Wisconsin - Madison
University of California - Los Angeles
Texas A&M University
University of Illinois - Urbana - Champaign
University of North Carolina - Chapel Hill
The Ohio State University
Michigan State University
Pennsylvania State University, All Campuses
University of Iowa
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

Actual

2007
28

2008
37

2009
49

2010
64

2011
80

2007
203
74
76
78
28
57
43
58
37
89
27
28
12
36
33
20
40

2008
212
75
63
123
37
75
38
41
43
58
23
25
26
22
12
56
42

2009
231
115
53
74
49
57
37
63

2011

72
27
44
21
21

2010
196
92
73
67
64
62
52
49
40
39
35
31
24
21

53

51

28

80

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Licenses and Options Executed per $10 Million in Total Research Expenditures

1.40
Actual
1.20

1.00

0.80
Median
0.60

0.40

0.20

0.00

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

NSF Adj.

ABOR Peer Group
University of Washington
University of Florida
The University of Arizona
University of California - Davis
University of Minnesota
University of Illinois - Urbana - Champaign
Michigan State University
Texas A&M University
University of Wisconsin - Madison
University of California - Los Angeles
University of North Carolina - Chapel Hill
University of Iowa
The Ohio State University
Pennsylvania State University, All Campuses
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

Actual

2007
0.5

2008
0.7

2009
0.9

2010
1.1

2011
1.3

2007
2.7
1.2
0.5
1.3
1.2
0.8
0.8
0.9
0.7
0.5
1.9
1.0
0.4
0.2
0.9
0.4
0.8

2008
2.8
1.3
0.7
1.9
0.9
0.9
0.7
0.6
0.9
0.4
1.1
0.7
0.3
0.4
0.3
1.1
0.8

2009
3.0
1.9
0.9
1.1
0.7

2011

1.2
0.9
0.6
0.4
1.1
0.6
0.4
0.3

2010
1.9
1.3
1.1
1.0
0.9
0.8
0.7
0.7
0.6
0.6
0.5
0.5
0.5
0.3

0.9

0.7

29

1.3

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14

Economic Development
Intellectual Property Income (in Millions)

12.00

10.00
Median
8.00

6.00

4.00

2.00
Goal
Actual
0.00

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

ABOR Peer Group
University of Minnesota
University of Washington
University of Wisconsin - Madison
University of Florida
University of California - Los Angeles
University of Iowa
University of California - Davis
Texas A&M University
Michigan State University
University of North Carolina - Chapel Hill
Pennsylvania State University, All Campuses
The Ohio State University
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
1.1

2008
0.6

2009
0.5
0.5
0.0

2010
0.6
0.6
0.0

2011
0.7
0.7
0.0

2007
63.3
63.3
46.7
48.0
20.9
17.4
8.1
7.6
5.6
2.1
1.8
1.2
1.1
4.7
1.2
6.7
7.1

2008
84.7
80.3
54.1
52.3
32.8
23.6
8.0
11.8
4.8
2.8
1.5
2.1
0.6
4.2
1.6
11.6
9.8

2009
95.2
87.3
56.7
53.9
22.6
42.9
9.8
9.9
4.4
3.1
1.2
1.7
0.5

2010
83.9
69.0
54.3
29.2
27.5
27.0
9.0
8.6
4.0
2.6
2.3
1.9
0.6

2011

9.9

9.0

30

0.7

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13

Economic Development
Intellectual Property Income per $10 Million in Total Research Expenditures

180,000
160,000
140,000
Median
120,000
100,000
80,000
60,000
40,000
20,000
Actual
Goal
0

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

NSF Adj.

ABOR Peer Group
University of Minnesota
University of Washington
University of Iowa
University of Wisconsin - Madison
University of Florida
University of California - Los Angeles
University of California - Davis
Texas A&M University
Michigan State University
University of North Carolina - Chapel Hill
Pennsylvania State University, All Campuses
The Ohio State University
The University of Arizona
University of Illinois - Urbana - Champaign
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
20,254

2008
10,680

2009
9,210
9,210
0

2010
9,580
9,575
5

2011
11,767
11,404
363

2007
1,014,437
836,219
478,825
555,508
810,259
254,057
134,719
122,667
154,745
44,695
27,862
17,287
20,254
98,968
32,577
148,893
141,806

2008
1,240,277
1,049,893
802,551
613,874
894,466
376,797
124,681
178,037
133,673
52,848
21,451
29,818
10,680
84,604
39,363
234,221
155,855

2009
1,284,360
1,122,555
1,301,059
595,661
910,017
253,451
144,436
138,566
119,229
47,429
16,289
23,891
9,210

2010
1,067,406
674,971
607,859
527,546
428,950
293,331
133,075
125,010
93,121
34,398
29,476
25,252
9,580

2011

144,436

133,075

31

11,767

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13

Economic Development
Startup Companies

9.0
8.0

Actual
Median

7.0
6.0

Goal

5.0
4.0
3.0
2.0
1.0
0.0

X
X
X
X
X
X
X
X
X
X
X
X

AUTM Adj.

ABOR Peer Group
University of California - Los Angeles
University of California - Davis
University of Florida
The Ohio State University
University of Minnesota
Texas A&M University
University of Washington
The University of Arizona
Pennsylvania State University, All Campuses
University of Illinois - Urbana - Champaign
University of North Carolina - Chapel Hill
University of Wisconsin - Madison
University of Iowa
Michigan State University
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
3

2008
6

2009
7
7
0

2010
6
6
0

2011
8
6
2

2007
3
2
9
3
4
1
11
3
3
7
0
6
2
5
7
3
3

2008

2009
22
2
10
7
3
6
10
7
3

2011

1
1
3

2010
27
9
9
8
8
7
7
6
5
5
5
5
3

5

7

32

14
5
1
1
9
6
1
6
5
6
0
3
3
10
5

8

Rank
1
2
2
4
4
6
6
8
9
9
9
9
13

Economic Development
Startup Companies per $10 Million in Total Research Expenditures

0.14
Actual
0.12

0.10

Median

Goal

0.08

0.06

0.04

0.02

0.00

X
X
X
X
X
X

X
X
X
X
X
X

AUTM Adj.

NSF Adj.

ABOR Peer Group
University of California - Los Angeles
University of California - Davis
University of Florida
The Ohio State University
The University of Arizona
University of Minnesota
Texas A&M University
University of Illinois - Urbana - Champaign
University of Washington
University of Iowa
University of North Carolina - Chapel Hill
Pennsylvania State University, All Campuses
University of Wisconsin - Madison
Michigan State University
University of Maryland - College Park
University of Texas - Austin
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
0.1

2008
0.1

2009
0.1
0.1
0.0

2010
0.1
0.1
0.0

2011
0.1
0.1
0.0

2007
0.0
0.0
0.2
0.0
0.1
0.1
0.0
0.1
0.1
0.1
0.0
0.0
0.1
0.1
0.2
0.1
0.1

2008

2009
0.2
0.0
0.2
0.1
0.1
0.0
0.1

2011

0.1
0.1
0.0
0.0
0.0

2010
0.3
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.1
0.0

0.1

0.1

33

0.2
0.1
0.1
0.0
0.0
0.1
0.1
0.0
0.1
0.0
0.1
0.1
0.1
0.2
0.1

0.1

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13

Economic Development
Doctoral Degrees Conferred

1,000
900
Goal
Actual

800
Median

700
600
500
400
300
200
100
0

ABOR Peer Group
University of Minnesota
University of Florida
The University of Arizona
University of Texas - Austin
University of Wisconsin - Madison
University of Illinois - Urbana - Champaign
University of California - Los Angeles
The Ohio State University
University of Washington
Pennsylvania State University, All Campuses
Texas A&M University
University of Maryland - College Park
University of California - Davis
Michigan State University
University of North Carolina - Chapel Hill
University of Iowa
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

X
X
X
X
X
X
X
X

X
X
X
X

2007
460

2008
452

2009
824
824
0

2010
824
824
0

2011
813
859
-46

2007
819
794
460
779
775
698
734
667
631
646
598
653
474
493
512
376
650

2008
775
857
452
868
763
759
752
760
622
620
594
655
500
446
600
413
639

2009
879
841
824
824
794
784
760
738
683
632
597
587
500
489
483
404
711

2010

2011

824

813

34

Rank
1
2
3
3
5
6
7
8
9
10
11
12
13
14
15
16

Economic Development
Doctorate Degrees Conferred per $10 Million in Total Research Expenditures

16.00
14.00

Goal
Actual

12.00
Median
10.00
8.00
6.00
4.00
2.00
0.00

X
X
X
X
X
X
X
X
X
X
X
X

NSF Adj.

ABOR Peer Group
University of Texas - Austin
The University of Arizona
University of Maryland - College Park
University of Florida
University of Illinois - Urbana - Champaign
Michigan State University
University of Iowa
University of Minnesota
The Ohio State University
University of Washington
University of California - Los Angeles
Pennsylvania State University, All Campuses
Texas A&M University
University of Wisconsin - Madison
University of North Carolina - Chapel Hill
University of California - Davis
Median

Med. Sch.

ABOR Enterprise Plan
Actual
Goal
Difference

2007
8.7

2008
8.3

2009
14.6
14.6
0.0

2010
14.0
14.0
0.0

2011
13.3
13.6
-0.3

2007
17.4
8.7
18.2
13.4
14.7
13.7
10.4
13.1
9.3
8.3
8.9
9.9
9.6
9.2
10.7
7.9
10.1

2008
17.6
8.3
16.6
14.7
15.1
12.5
14.1
11.4
10.8
8.1
8.6
8.8
9.0
8.7
11.4
7.8
11.1

2009
16.3
14.6
14.3
14.2
13.9
13.1
12.2
11.9
10.3
8.8
8.5
8.4
8.4
8.3
7.5
7.3
11.1

2010

2011

14.0

13.3

35

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Leadership and Recognition

38

39

Leadership and Recognition
National Academy Members

35

30

Median
Actual

25

20

15

10

5

0

ABOR Peer Group
University of Washington
University of California - Los Angeles
University of Wisconsin - Madison
University of Texas - Austin
University of Illinois - Urbana - Champaign
University of Minnesota
University of California - Davis
University of North Carolina - Chapel Hill
University of Maryland - College Park
The Ohio State University
The University of Arizona
Pennsylvania State University, All Campuses
University of Florida
Texas A&M University
University of Iowa
Michigan State University
Median

Med. Sch.

Actual

X
X
X

X
X
X
X
X
X
X
X
X

2007
30

2008
27

2009
26

2010
26

2011
26

2007
90
73
72
59
56
36
34
32
26
21
30
26
21
22
21
7
31

2008
102
81
73
63
57
34
32
32
27
24
27
25
21
22
21
8
30

2009
101
85
71
65
55
39
32
32
27
26
26
24
23
22
21
7
30

2010

2011

26

26

40

Rank
1
2
3
4
5
6
7
7
9
10
10
12
13
14
15
16

Leadership and Recognition
National Academy Members per $10 Million in Total Research Expenditures

0.70

0.60

Median

0.50

Actual
0.40

0.30

0.20

0.10

0.00

X

X
X
X
X
X
X
X
X
X
X
X

NSF Adj.

ABOR Peer Group
University of Washington
University of Texas - Austin
University of Illinois - Urbana - Champaign
University of California - Los Angeles
University of Wisconsin - Madison
University of Maryland - College Park
University of Iowa
University of Minnesota
University of North Carolina - Chapel Hill
University of California - Davis
The University of Arizona
University of Florida
The Ohio State University
Pennsylvania State University, All Campuses
Texas A&M University
Michigan State University
Median

Med. Sch.

Actual

2007
0.6

2008
0.5

2009
0.5

2010
0.4

2011
0.4

2007
1.2
1.3
1.2
0.9
0.9
0.7
0.6
0.6
0.7
0.6
0.6
0.4
0.3
0.4
0.4
0.2
0.6

2008
1.3
1.3
1.1
0.9
0.8
0.7
0.7
0.5
0.6
0.5
0.5
0.4
0.3
0.4
0.3
0.2
0.6

2009
1.3
1.3
1.0
1.0
0.7
0.7
0.6
0.5
0.5
0.5
0.5
0.4
0.4
0.3
0.3
0.2
0.5

2010

2011

0.4

0.4

41

Rank
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16

This Page Intentionally Left Blank

Technology Transfer

44

Technology Transfer
Statistical Exhibits

2007
104

2008
101
-3%

2009
125
24%

2010
131
5%

2011
150
15%

New Patent Applications
New Patent Applications Year/Year Percentage Change

61

68
11%

99
46%

67
-32%

104
55%

U.S. Patents Issued
U.S. Patents Issued Year/Year Percentage Change

18

19
6%

11
-42%

13
18%

19
46%

Licenses and Options Executed
Licenses and Options Executed Year/Year Percentage Change

28

37
32%

49
32%

64
31%

80
25%

Other Major Agreements
Other Major Agreements Year/Year Percentage Change

14

10
-29%

20
100%

13
-35%

8
-38%

2007
$1,076,989
$310,358
$114,141
$1,501,488

2008
$583,007
$435,700
$107,183
$1,125,890

2009
$520,634
$301,988
$166,476
$989,098

2010
$562,014
$540,324
$156,013
$1,258,351

2011
$718,449
$432,790
$263,046
$1,414,285

2007
$459,929

2008
$1,001,716

2009
$1,857,451

2010
$4,701,776

2011
$5,918,193

2007
-$414,724
-$338,497
-$323,424
$114,485

2008
-$242,770
-$188,146
-$176,008
$83,266

2009
-$225,842
-$171,589
-$157,873
$131,807

2010
-$248,107
-$188,505
-$173,437
$107,977

2011
-$346,698
-$231,132
-$192,609
$211,056

Technology Transfer Activities
Invention Disclosures Transacted
Invention Disclosures Transacted Year/Year Percentage Change

Licensing and Other Revenue
Licensing Revenue (Including Options)
Licensee Legal Reimbursements
Other Revenue
Total

Sponsored Research Facilitated
Total

Royalty Distribution
Inventors
Laboratories and Units
University
Undistributed

45

46

47

Technology Transfer
Selected Startup Companies



Tucson Trace Detection, LLC (Tucson, AZ)
Chemistry Professor M. Bonner Denton and Dr. R. Sperline, Assistant Staff Scientist, Chemistry & Biochemistry and
Mr. Wit Wisniewski, Electrical Engineer, Chemistry & Biochemistry
Tucson Trace Detection, LLC, (TTD) is a technology company funded by the Government and the founders focused
on developing new monitoring and analytical instrumentation for ultrasensitive detection and analysis of trace
materials. TTD’s instrumentation has applications in safety monitoring and homeland security.



Real Time Optical, LLC (Phoenix, AZ)
Optical Sciences Associate Professor H. Hua
Real Time Optical is a new subsidiary of Real Time Companies and is dedicated to bringing next generation heads up
display technology from the University of Arizona into the avionics and flight safety markets.



Wildcap Energy Corporation (Reno, NV)
Aerospace and Mechanical Engineering Professor I. Wygnanski
Wildcap Energy Corporation is an investor-backed technology company focused on bringing compelling new wind
turbine technology developed at the University into widespread use.



Caduceus Intelligence Corporation (Tucson, AZ)
Management Information Systems Professor Hshinchun Chen
Caduceus Intelligence Corporation (CIC), is a Tucson-based investor-backed health information technology company
that aims to be the leading medical business intelligence and healthcare analytics company for hospitals and
healthcare providers in China, Taiwan and the US. The company provides advanced medical business intelligence
and healthcare analytics platforms, systems, and services for high-quality patient care, effective cost containment,
healthcare process improvement, and medical risk mitigation.



Polar Laser Laboratories (Tucson, AZ)
Pavel Polynkin, Associate Research Professor of Optical Sciences, and Jerome Moloney, Professor of Mathematics
and Optical Sciences
Polar Laser is developing pulsed fiber lasers and laser systems in both commercial and military markets. The initial
target market for Polar Laser Laboratories' products is the semiconductor inspection and marking industry mating the
company’s high-powered laser system with a high-speed scanner for marking applications.



Next Phase Energy, LLC (Tucson, AZ)
Staff Scientist: Lon Huber
Next Phase Energy provides utilities and other companies financial modeling software for photovoltaic systems.



K-Photonics, LLC (Tucson, AZ)
Khanh Kieu, Assistant Research Professor of Optical Sciences
Kphotonics, LLC, is a Tucson-based niche start-up company focused on fiber laser systems and unique optical
components for fiber laser systems and amplifiers.



GAAS Corporation (Tucson, AZ)
College of Pharmacy Professor B. Timmerman
GAAS is a corporation focused on developing new stabilized natural product extracts for nutraceutical, cosmeceutical
and therapeutic uses. The first product is a tumeric extract useful in nutraceuticals and cosmeceuticals targeted
towards lessening the effects of arthritis.

48

49

This Page Intentionally Left Blank

This Page Intentionally Left Blank

Arizona Board of Regents
2020 North Central Avenue, Suite 230
Phoenix, AZ 85004
602-229-2500
www.azregents.edu