TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT ARIZONA UNIVERSITY SYSTEM Arizona State University Northern Arizona University University of Arizona For the fiscal year ended June 30, 2004, as required by A.R.S. §15-1648(D). September 1, 2004 August 31, 2004 Board Members Gary L. Stuart Phoenix President Fred T. Boice Tucson Robert B. Bulla Scottsdale Ernie Calderón Phoenix Lorraine W. Frank Scottsdale Chris Herstam Phoenix Jack B. Jewett Tucson Christina Palacios Tucson Student Regents Wes McCalley NAU Benjamin W. Graff UA Janet Napolitano Governor of Arizona Tom Horne Superintendent of Public Instruction Executive Director Joel Sideman 2020 N. Central Ave. Suite 230 Phoenix, AZ 85004 (602) 229-2500 fax (602) 229-2555 www.abor.asu.edu The Honorable Janet Napolitano Governor of Arizona Arizona State Capitol 1700 West Washington Street Phoenix, AZ 85007 Dear Governor Napolitano: On behalf of the Arizona Board of Regents, Arizona State University, Northern Arizona University, and the University of Arizona, and in accordance with A.R.S. §15-1648(D), I am pleased to submit the attached annual report for the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) for the fiscal year ended June 30, 2004. TRIF is continuously appropriated to the Arizona Board of Regents with Education 2000 (Proposition 301, November 2000) sales tax revenues pursuant to A.R.S. §42-5029(E)(2). As required, ABOR has adopted rules to administer TRIF and has incorporated these rules into Board Policy 3-412. This annual report provides budget and expenditure information on each TRIF initiative. These initiatives are consistent with statutory language calling for TRIF funds to support university research, development, and technology transfer related to the knowledge-based global economy; to expand access to baccalaureate or post-baccalaureate education for time-bound and placebound students; to implement recommendations of the Governor’s Task Force on Higher Education and the Arizona Partnership for the New Economy; and to develop programs that will prepare students to contribute in high technology industries located in Arizona. Our FY 2004 TRIF budget supported initiatives in biosciences and biotechnology, information science and technology, and access and workforce development, as well as optical sciences, water sustainability, and environmental research and development. These programs have been designed and implemented to better position Arizona as a major player in the global marketplace. Detailed business plans for each initiative have been developed and are available on the ABOR website. Arizona State University Northern Arizona University University of Arizona The Honorable Janet Napolitano August 31, 2004 Page Two Please contact me at 602-229-2505 or jsideman@asu.edu if I can answer any questions or provide additional information about these important and exciting initiatives. Sincerely, Joel Sideman Executive Director cc: The Honorable Ken Bennett, President, Arizona State Senate The Honorable Jake Flake, Speaker, Arizona House of Representatives The Honorable Jan Brewer, Secretary of State Ms. GladysAnn Wells, Director, Arizona State Library, Archives and Public Records Members of the Arizona Board of Regents Dr. Michael Crow, President, Arizona State University Dr. John Haeger, President, Northern Arizona University Dr. Peter Likins, President, University of Arizona Arizona Board of Regents TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2004 TABLE OF CONTENTS Executive Summary .....................................................................................................................................ii Arizona University System Summary FY 2004 Actual/FY 2005-2006 Budget System Summary ....................................................................... 1 FY 2004 Budget/Actual System Summary by Program Area................................................................... 2 FY 2004-2006 Budget/Actual Capital Expenditures ................................................................................. 3 Arizona State University Summary................................................................................................................................................... 5 Biodesign Institute at Arizona State University and Capacity Building Project Investments.................... 7 Campus Capital Infrastructure Development (ASU East) ...................................................................... 14 Classroom Laboratory/Computer Classroom II Building and Central Plant Expansion (ASU West) ..... 15 Northern Arizona University Summary................................................................................................................................................. 17 Access and Workforce Development ..................................................................................................... 19 Biosciences/Biotechnology ..................................................................................................................... 24 E-Learning .............................................................................................................................................. 27 Environmental Research, Development and Education for the New Economy (ERDENE)................... 30 Capital Projects....................................................................................................................................... 33 University Initiatives ................................................................................................................................ 36 University of Arizona Summary................................................................................................................................................. 39 Access to Higher Education.................................................................................................................... 41 Workforce Development: Teacher Preparation ..................................................................................... 43 Technology Transfer Infrastructure ........................................................................................................ 47 Institute for Biomedical Science and Biotechnology............................................................................... 51 Internet Technology and Commerce Institute......................................................................................... 56 Optical Science and Technology ............................................................................................................ 60 Water Sustainability Program ................................................................................................................. 63 Arizona Board of Regents Central Office Summary................................................................................................................................................. 67 Arizona Regents University (ARU) ......................................................................................................... 69 Regents Innovation Fund Summary ....................................................................................................... 73 Learner Centered Education.............................................................................................................. 74 Arizona Biomedical Collaborative for Education and Research......................................................... 79 Information Technology Collaborative................................................................................................ 82 Expansion of Nursing Programs......................................................................................................... 84 Changing Directions ........................................................................................................................... 86 TRIF Program Evaluation................................................................................................................... 88 Arizona University System Redesign Study....................................................................................... 90 Academic Program Management System.......................................................................................... 92 Operating............................................................................................................................................ 94 Appendix Arizona Board of Regents Policy 3-412.................................................................................................. 95 i TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the fiscal year ended June 30, 2004 EXECUTIVE SUMMARY ► Education 2000 (Proposition 301), passed by Arizona voters in November 2000, approved a six-tenths-cent increase in the state sales tax to be dedicated to K-12, the community colleges, and the state’s three public universities. Collection of the tax began on June 1, 2001. ► A.R.S. §15-1648 establishes the Technology and Research Initiative Fund (TRIF) to receive Proposition 301 revenues and gives the Arizona Board of Regents the authority to administer the fund. ► In March 2001 the Arizona Board of Regents approved a five-year TRIF budget plan for FY 2002-2006 and guidelines for implementation of the budget. The Board annually approves a revised budget and detailed performance measures for each initiative. ► A.R.S. §15-1648(D) requires the Board to submit to the Governor and the Legislature by September 1 of each year a report to include “a description of the amount and duration of each new award distributed and a description of the purpose and goals for each award. For existing awards, the Arizona Board of Regents shall use a detailed set of performance measures to determine the overall effectiveness of each award.” ► FY 2004 TRIF-funded initiatives, with the exception of Regents Innovation Fund projects which are responsive to emerging issues, were “existing awards,” i.e., they were continuing projects included in the five-year (FY 2002-2006) budget plan approved by the Regents in March 2001. Detailed business plans for each initiative have been developed by the universities and central office and are available on the Arizona Board of Regents web site at www.abor.asu.edu. ► The FY 2004 TRIF revenue budget totaled $49,825,000. Total actual TRIF revenues received during FY 2004 were $50,305,754, resulting in excess revenue received of $480,753 (1.0%). This is the first time in the three-year history of TRIF that actual annual revenues met or exceeded the budgeted amount. ► For purposes of this annual report, revenues consist of actual receipts into TRIF for August 2003 through June 2004 plus an estimated amount for July 2004 revenue. An estimate was required to record the June 30, 2004, year-end revenue accrual and to prepare this report on a timely basis. Actual TRIF revenues for the 12-month period August 2003 through July 2004 were $50,625,051, or $800,051 (1.6%) over ii the budgeted amount. This revenue in excess of budget has been allocated to the universities and central office for use on the approved TRIF projects. ► Total TRIF expenditures in FY 2004 were $46,009,712, representing 71.2% of total revenue available (including carryforward amounts from the prior year). ► Recognizing the volatility and unpredictability of the TRIF revenue stream, the universities and central office exercised sound budgetary and financial management in the expenditure of TRIF funds throughout FY 2004. ► TRIF Budget Guidelines call for full expenditure of FY 2004 funds by December 31, 2004. The universities and central office may then request that any unexpended funds be reallocated for the same or different use. ► Expenditure detail by university and by initiative is presented in this report. ► Detailed performance measures for evaluating individual initiatives were approved by the Board, as required by statute. Performance measures and outcomes have been compiled by each university and the central office for each TRIF initiative and are included in this report. ► This report reflects the statutorily required funding for costs of Certificates of Participation (COPs) issued for the lease-purchase of buildings and associated infrastructure at ASU East and ASU West. ► This report reflects compliance with the statutory 20% limitation on use of TRIF funds for capital projects expenditures. In FY 2004, 7.8% of TRIF expenditures were used for capital projects. iii ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET SYSTEM SUMMARY REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service ASU E/W COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 14,236,156 49,825,000 $ 64,061,156 $ 14,236,156 50,388,177 $ 64,624,333 $ 52,329,100 $ 52,329,100 $ 18,984,221 52,365,000 $ 71,349,221 $ $ 26,018,613 5,355,056 19,351,535 4,869,752 55,594,956 $ $ $ $ 974,200 3,920,000 3,356,200 8,250,400 $ 63,845,356 19,402,229 4,231,480 12,659,331 3,014,272 39,307,312 346,200 3,000,000 3,356,200 6,702,400 $ 46,009,712 $ 18,319,889 6,460,161 6,647,800 558,834 1,650,660 4,480,050 1,667,088 527,189 2,219,428 3,356,200 80,688 41,725 46,009,712 $ 20,792,671 4,280,724 14,787,205 2,664,400 42,525,000 6,240,000 3,779,900 10,019,900 $ 52,544,900 1,239,500 3,000,000 3,779,900 8,019,400 $ 69,964,039 $ 34,032,881 6,525,484 8,170,404 1,064,304 2,201,229 4,591,576 2,749,033 793,560 3,930,559 3,779,900 1,126,800 998,309 69,964,039 $ Note: FY 2004 expenditures include encumbrances at 6/30/04. Note: FY 2005 revenues differ from expenditures due to ASU East and West COPs payment schedule and NAU Capital Projects carryforward. Differences offset by end of FY 2006. 31,573,959 6,962,995 18,815,484 4,592,201 61,944,639 1,385,182 55,394,800 $ 56,779,982 22,225,201 4,751,899 18,268,782 2,751,900 47,997,782 2,000,000 3,000,000 3,782,200 8,782,200 $ 56,779,982 1 Arizona University System Initiative Expenditures SUMMARY BY PROGRAM AREA Biosciences/Biotechnology Access/Workforce Development Information Technology Technology Transfer ERDENE Optical Science Water Sustainability Learner Centered Education ARU ASU East/West COPs Capital Projects (NAU) Other EXPENDITURES GRAND TOTAL FY 2004 2 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 BUDGET / ACTUAL SYSTEM SUMMARY BY PROGRAM AREA FY 2004 REV BUDGET GRAND SYSTEM SUMMARY ARIZONA STATE UNIVERSITY Biodesign Institute at ASU ASU East COPs ASU West COPs Subtotal NORTHERN ARIZONA UNIVERSITY Access and Workforce Development Biosciences/Biotechnology E-Learning ERDENE (Environmental) Capital Subtotal UNIVERSITY OF ARIZONA Access and Workforce Development Institute for Biomedical Science & Biotechnology Technology Transfer Infrastructure Optical Science Internet Technology & Commerce Institute Water Sustainability Program Subtotal ABOR CENTRAL OFFICE Arizona Regents University Regents Innovation Fund Subtotal EXPENDITURES GRAND TOTAL $ 21,008,200 1,869,900 1,486,300 24,364,400 $ 13,073,100 1,869,900 1,486,300 16,429,300 5,999,032 1,330,270 2,308,833 1,852,267 1,584,607 13,075,009 4,395,484 1,309,360 1,510,536 1,650,660 80,688 8,946,728 2,249,160 5,365,463 815,858 4,824,825 5,726,929 2,095,320 21,077,555 1,964,711 3,852,669 558,834 4,480,050 4,859,477 1,667,088 17,382,829 3,805,657 1,522,735 5,328,392 63,845,356 2,219,428 1,031,427 3,250,855 46,009,712 $ $ $ 18,319,889 6,460,161 6,647,800 558,834 1,650,660 4,480,050 1,667,088 527,189 2,219,428 3,356,200 80,688 41,725 46,009,712 FY 2004 SYSTEM ACTUAL TRIF EXPENDITURES (in millions) ERDENE $1.7 4% Tech Transfer $0.6 1% IT $6.6 14% Access/ Workforce Development $6.5 14% Optical Science Water $4.5 Sustainability LCE 10% $1.7 $0.5 4% 1% ARU $2.2 5% ASU E/W COPs $3.4 7% Capital Projects (NAU) $0.08 0% Other $0.04 0% Biosciences/ Biotechnology $18.3 40% Arizona University System Initiative Expenditures SUMMARY Biosciences/Biotechnology Access/Workforce Development Information Technology Technology Transfer ERDENE Optical Science Water Sustainability Learner Centered Education ARU ASU East/West COPs Capital Projects (NAU) Other EXPENDITURES GRAND TOTAL $ FY 2004 ACTUAL Arizona University System Capital Expenditures ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004-2006 BUDGET/ACTUAL CAPITAL EXPENDITURES (In Thousands) • R&D: ASU Biodesign Institute at ASU • ASU East/West COPs* $346 $90 $0 n/a n/a n/a n/a Total Capital $974 $346 $90 $0 Capital as % of Total ASU Budget 4.6% 2.6% 0.4% 0.0% $0 $0 $0 $0 • Access/Workforce • R&D: NAU $920 $0 $1,000 $2,000 Biosciences/Biotechnology $0 $0 $0 $0 Information Technology/E-Learning $0 $0 $0 $0 Environmental (ERDENE) $0 $0 $0 $0 Capital Projects $920 $0 $1,000 $2,000 University Initiatives $0 $0 $0 $0 Total Capital $920 $0 $1,000 $2,000 Capital as % of Total NAU Budget 7.0% 0.0% 8.2% 17.9% • Access/Workforce $0 $0 $0 $0 • Technology Transfer $0 $0 $0 $0 • R&D: $3,000 $3,000 $3,150 $3,000 Institute for Biomedical Science & Biotech $2,000 $2,000 $2,150 $2,000 Info/Internet Technology & Commerce $0 $0 $0 $0 Optical Science $1,000 $1,000 $1,000 $1,000 UA Water Sustainability $0 $0 $0 $0 Total Capital $3,000 $3,000 $3,150 $3,000 Capital as % of Total UA Budget 14.2% 17.3% 13.6% 14.9% $0 $0 $0 $0 • ARU • Regents Innovation Fund $0 $0 $0 $0 $0 $0 $0 $0 0.0% 0.0% 0.0% 0.0% • Access/Workforce $0 $0 $0 $0 • Technology Transfer $0 $0 $0 $0 ABOR Total Capital Capital as % of Total ABOR Budget • R&D: SYSTEM $974 2006 Revised Budget 2005 Revised Budget 2004 Actual Expend 2004 Revised Budget $4,894 $3,346 $4,240 $5,000 Biotechnology $2,974 $2,346 $2,240 $2,000 Information Technology $0 $0 $0 $0 Environmental (ERDENE) $0 $0 $0 $0 $1,000 Optical Science $1,000 $1,000 $1,000 Water Sustainability $0 $0 $0 $0 Capital Projects (NAU) $920 $0 $1,000 $2,000 $0 $0 Total System Capital $4,894 $3,346 $4,240 $5,000 20% Limit on Capital $12,098 $8,531 $13,237 $10,600 8.1% 7.8% 6.4% 9.4% University Initiatives Capital as % of Total System Budget * Not applicable. TRIF allocations for ASU East and ASU West debt service are allocated by statute. Therefore, these amounts are excluded from calculation of the 20% capital limitation. 3 This page intentionally left blank. 4 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET SUMMARY FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 5,080,200 19,500,000 $ 24,580,200 $ 5,080,200 19,712,500 $ 24,792,700 $ $ 8,152,400 1,614,700 10,266,900 20,034,000 $ 7,120,900 1,386,700 4,219,300 12,726,900 $ 974,200 3,356,200 4,330,400 346,200 3,356,200 3,702,400 $ 24,364,400 $ 16,429,300 $ 20,679,900 $ 29,197,100 $ 21,982,200 SUMMARY BY INITIATIVE Biodesign Institute at Arizona State University Campus Capital Infrastructure Development (East) CLCC II Building and Central Plant Expansion (West) $ 21,008,200 1,869,900 1,486,300 $ 13,073,100 1,869,900 1,486,300 $ 16,900,000 2,116,100 1,663,800 $ 25,417,200 2,116,100 1,663,800 $ 18,200,000 2,116,600 1,665,600 EXPENDITURES GRAND TOTAL $ 24,364,400 $ 16,429,300 $ 20,679,900 $ 29,197,100 $ 21,982,200 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 20,464,100 20,464,100 $ 6,649,800 1,337,800 7,912,400 15,900,000 $ $ 1,000,000 3,779,900 4,779,900 8,733,000 20,500,000 29,233,000 $ 12,583,200 2,504,900 10,239,600 25,327,700 $ $ 89,500 3,779,900 3,869,400 35,900 21,946,300 21,982,200 6,528,100 1,346,000 10,325,900 18,200,000 3,782,200 3,782,200 Note: FY 2004 expenditures include encumbrances at 6/30/04. Note: The FY 2006 ASU East and ASU West COPs budgeted revenue request is reduced by $35,900 to bring the appropriation in line with the COPs payments. Arizona State University Summary 5 6 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 BUDGET / ACTUAL SUMMARY FY 2004 REV BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET $ FY 2004 ACTUAL 5,080,200 19,500,000 $ 24,580,200 5,080,200 19,712,500 $ 24,792,700 $ $ 8,152,400 1,614,700 10,266,900 20,034,000 $ 7,120,900 1,386,700 4,219,300 12,726,900 974,200 3,356,200 4,330,400 346,200 3,356,200 3,702,400 EXPENDITURES GRAND TOTAL $ 24,364,400 $ 16,429,300 SUMMARY BY INITIATIVE Biodesign Institute at Arizona State University Campus Capital Infrastructure Development (ASU East) CLCC II Building and Central Plant Expansion (ASU West) $ 21,008,200 1,869,900 1,486,300 $ 13,073,100 1,869,900 1,486,300 EXPENDITURES GRAND TOTAL $ 24,364,400 $ 16,429,300 FY 2004 ASU ACTUAL TRIF EXPENDITURES (in millions) Biodesign Institute at ASU $13.1 80% ASU West COPs $1.5 9% ASU East COPs $1.9 11% Arizona State University Summary ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS REVENUE Carryforward - Biodesign Institute Carryforward - Capacity Building Project Investments TRIF Revenue - Biodesign Institute TRIF Revenue - Capacity Building Project Investments TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 2,632,700 2,475,500 9,584,900 6,315,100 $ 21,008,200 $ 2,632,700 2,475,500 9,584,900 6,527,600 $ 21,220,700 $ 11,429,200 5,470,800 $ 16,900,000 $ 5,473,200 3,044,000 10,429,200 6,470,800 $ 25,417,200 12,667,600 5,532,400 $ 18,200,000 $ $ $ 6,649,800 1,337,800 7,912,400 15,900,000 $ 12,583,200 2,504,900 10,239,600 25,327,700 $ 8,152,400 1,614,700 10,266,900 20,034,000 7,120,900 1,386,700 4,219,300 12,726,900 $ 6,528,100 1,346,000 10,325,900 18,200,000 974,200 974,200 346,200 346,200 1,000,000 1,000,000 89,500 89,500 - $ 21,008,200 $ 13,073,100 $ 16,900,000 $ 25,417,200 $ 18,200,000 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW ASU’s TRIF funding portfolio is grouped into two main initiatives: (a) the newly-named Biodesign Institute at Arizona State University (formerly known as Az Biodesign Institute) and (b) Capacity Building Project Investments. Under the leadership of the new Institute Director, George Poste, the Biodesign Institute is organized into a growing number of networked research and design centers that link collaborators within ASU and affiliated institutions. The current centers are: • Infectious Diseases and Vaccines (IDV) -- research focuses on selective pathogens, identifying vaccine antigens, and using transgenic plants as low-cost, efficient production systems for orally active antigens. 7 Arizona State University Biodesign Institute at ASU The Biodesign Institute at Arizona State University is ASU’s flagship initiative, and is focused on use-inspired collaborative research targeting the understanding of biological systems. The Biodesign Institute is integrating research in systems biology and neurobiology with advances in computing, optoelectronics, biomimetic materials, and directed molecular assembly at the meso-nanoscale. The central theme linking these diverse fields is the comprehension of the structural and functional architectures in biological systems and how these design rules can inspire new applications in medicine, agriculture, environmental management, and national security. The Institute will also provide a primary vehicle for strengthening regional research capacity, capabilities, and facilities, increasing the total external funding for bioscience/biotech/biomedical research coming to Arizona. It will accelerate the rate of skilled workforce development, regional economic development, and technology transfer opportunities. The Biodesign Institute provides the catalyst for discovery and innovation in a physical and intellectual environment that promotes communication, collaboration, and integration of resources. The Institute will provide a hub for biotechnical and biodesign research in central Arizona, building collaboration networks among scientists and clinical researchers from leading industries and institutions. 8 ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS • Protein and Peptide Therapeutics (PPT) -- research focuses on working to identify, characterize, and optimize biologically active protein analogs as pharmaceuticals. • Bio-Optical Nanotechnologies (BON) -- research focuses on working to integrate biomolecular sciences with materials engineering and solid-state electronics to develop the next generation of biosensors, implants, pharmaceuticals, biomaterials, and nanoscale power sources. • Single Molecule Biophysics (SMB) -- research focuses on examining the physical processes on which life is based using the simplest model systems at the molecular level to develop new health care tools. • Applied NanoBioscience (ANB) -- research focuses on applying advances in nanoscience, molecular biology, and genomics to a new generation of biological tools to understand disease at the molecular level. • Neural Interface Design (NID) -- research focuses on developing novel approaches to evaluate and rehabilitate motor function disorders due to central nervous system disease or injury through neural interface and brain control technologies. • Rehabilitation Neuroscience & Rehabilitation Engineering (RNRE) -- research focuses on designing and developing technologies to counteract the effects of neurological disorders, enhancing therapeutics and devices for improved health, fitness, and assistance with daily activities. • Evolutionary Functional Genomics (EFG) -- research focuses on examining how genes, gene families, and genomes of model organisms change over time and elucidate the gene interaction networks responsible for development of a single fertilized egg cell in a complex adult animal. The Biodesign Institute serves as ASU's formal link to the rapidly expanding Translational Genomics Research Institute (TGen). ASU provides the computational capability for TGen through the acquisition and operation of a new IBM Supercomputer installed on the Main campus. There are a large number of affiliated faculty and formal joint appointments. Two large collaborative research proposals were submitted in FY 2004 with TGen. The Biodesign Institute also provides the formal link with the Arizona Biomedical Collaborative (ABC) and will assist in the programming of this Phoenix facility and in forging the connection between the ABC research activities with the Biodesign research programs. The Capacity Building Project Investments are focused primarily on: a) application of information technology as an enabler for economic growth in all areas, b) development of advanced materials for the new economy, and c) wireless technology needs for the advancement of new technology in areas ranging from biomedical to communications to environmental applications. Leadership for the information technology investments is now being provided by the Institute for Computer Information Science and Engineering (InCISE). The mission of InCISE is to foster computer science and applications of data acquisition, analysis, and management, security, modeling, visualization, and interpretation in interdisciplinary research, education, and entrepreneurship. Synergies have been identified with researchers in cognitive, biosciences, disabilities studies, enterprise computing and linguistics. The goal is to leverage selective investments in collaborative, interdisciplinary projects to build partnerships between researchers, improve visibility with funding agencies, and produce successful larger scale collaborative proposals. There are five core research groups: the Center for Cognitive Ubiquitous Computing (CUbiC); Intelligent Information Integration (ET-I3); Information Assurance (IA); the Partnership for Research in Spatial Modeling (PRISM); and the Software Factory (SF). InCISE also includes three affiliated research groups: the Center for Research in Arts, Media and Engineering; the Center for Advanced Business through Information Technology (CABIT); and, the Consortium for Embedded and Internetworking Technologies (CEINT). InCISE and many of these activities are centrally located in the Brickyard, a new 130,000 square foot academic and research space in downtown Tempe, providing the facilities and environment for ASU to build top-ranked, world-class programs. Arizona State University Biodesign Institute at ASU The advanced materials for the new economy capacity building project initiative (with linkages to the Biodesign Institute and Information Technology initiatives) accelerates ASU’s participation in nanotechnology research areas, leading to advances in microscale and nanoscale systems. This initiative builds on substantial existing strengths in nanoelectronics and emerging strengths in nanoscale science and technology such as molecular electronics, and in new materials such as wide bandgap semiconductors. Specifically, ASU is working to integrate research in physical, molecular, materials, and biological sciences with engineering to produce revolutionary nanoengineered devices including, for example, molecular electronics-based sensors and nanomagnetic memory devices. Basic research and engineering in nanotechnology and advanced materials is being integrated into new micro and nanoscale system concepts. Examples include novel microelectronic (low power, high power, high temperature, and/or high frequency), microfluidic, and bio devices integrated into microsystems for high-value-added applications in the information technologies, health care, threat detection, transportation, processing, and manufacturing industries. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS The wireless technology capacity building project initiative (WINTech/ConnectionOne) is focused on the nano-scale wireless devices that will play a major role in the next generation of communication, monitoring, security, bio-telemetry, bio-implant, and other wireless systems. The WINTech (wireless-info-nano-technologies) program has been formed to build ASU’s capacity to develop fully autonomous wireless systems envisioned by other TRIF initiatives like the Biodesign Institute, CEINT, and the advanced materials initiatives. The wireless initiative derives its uniqueness from its focus on total end-to-end system solutions, and from its existing strong links to industry through ASU’s ConnectionOne, a complementary National Science Foundation (NSF) Industry/University Cooperative Research Center (IUCRC) focused on near-term industry research and development needs in the wireless technology area. To complement the Biodesign and Capacity Building Project Initiatives, and to help bring all ASU discoveries to the new economy, investments continue to support technology venturing. Arizona Technology Enterprises (AzTE), ASU’s technology venturing company, was formed in July 2003 to take a more “market-oriented” approach to technology transfer. AzTE is a separate 501(c)(3) company staffed with industry professionals with expertise in technology licensing, product development, and venture capital. The organization focuses on starting new companies and licensing and building technology alliances based on ASU technology. AzTE also facilitates relationships between ASU and industry for new technology development. The key design elements of AzTE include active technology and idea harvesting, innovation screening, portfolio marketing and management, comprehensive commercialization partnership creation, and entrepreneurial training, assistance, and mentorship for faculty engaged in start-up activities. FY 2004 GOALS/OBJECTIVES Biodesign Institute at Arizona State University The following goals were adopted by the Biodesign Institute for FY 2004: • Increase the governmental and private funding of research connected with the Institute and its associated Research and Design Centers by about 25% annually. • Double in five years (16% annual increase) the research capacity of ASU faculty and facilities (in terms of numbers, equipment, and investment) in bioscience, biotechnology, and biomedicine and support similar growth and strengthening of the regional research community. • Build a new, state-of-the-art bioscience/biotech research complex on the ASU campus. Complete Phase I by December 2004. • Increase the rate of intellectual property development and technology transfer from Institute-associated research programs by 20% annually (doubling every 4 years). These are to be accomplished through the following: 9 Arizona State University Biodesign Institute at ASU • Organize the Biodesign Institute into networked Research and Design Centers. • Identify and pursue major (>$1 Million) collaborative federal research grant opportunities. • Establish and strengthen partnerships with industry, institutions, and foundations. Become a proactive partner with the U of A and NAU in the Arizona Biomedical Collaborative. Establish firmer research links with TGen, with at least one collaborative research proposal funded by a federal agency in FY 2004. • Hire new ASU faculty in strategic areas of targeted opportunity. Hire senior faculty members to ensure early funding success and junior faculty members who will be mentored by a first-class group of successful role models. • Maintain a close, collaborative connection with Arizona Technology Enterprises (AzTE) and their managers for Health Sciences and Information Technologies to promote Biodesign IP development and marketing. 10 ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS Capacity Building Project Initiatives (CBPI’s) Goals for the CBPI’s include: • Solidify the information technology investments under InCISE and identify opportunities where information technology strengths at ASU can be used to enable the successful growth of other non-IT areas through application of novel IT developments. • Enhance interdisciplinary collaborative research in nanotechnology and advanced materials between departments and across colleges. • Attract new industry participation in wireless technology initiatives. • Increase research capacity through hiring research-oriented faculty in strategic areas of targeted opportunity. • Identify research partnerships and pursue opportunities for large-scale proposals. Technology Transfer/Technology Venturing • Establish operational objectives for the organization, as well as processes for IP evaluation and management, a focused communication and marketing strategy, and forms and policies for the organization. • Begin building relationships with industry (local and national) and with major Arizona research institutions. Arizona State University Biodesign Institute at ASU ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS PERFORMANCE MEASURES/DELIVERABLES FY 2004 REVISED FY 2004 ACTUAL FY 2005 ORIGINAL FY 2005 REVISED FY 2006 REVISED $11.00 M $2.50 M $240 K 4 $500 K $21.34 M $5.75 M $1.40 M 5 $1.40 M $14.00 M $3.00 M $360 K 5 $750 K $29.00 M $5.53 M $2.20 M 8 $2.20 M $37.05 M $7.80 M $3.00 M 10 $3.00 M 15 10 8 50 20 60 60 7 44 24 106 67 139 37 25 10 10 55 25 65 60 25 32 24 101 67 139 40 25 37 26 112 74 170 50 Return on Investment 1. 2. 3. 4. 5. External funding: new federal awards External funding: new industrial contracts and donations Value of new startups to ASU (R&D $'s) New products in marketplace Value of new products to ASU Work Force/Access Contributions 1. Increase in number of teachers who graduate with math/science certification 2. New post-doctoral students in pipeline 3. New post-doctoral students entering workforce 4. New graduate students in pipeline 5. Graduate students earning degrees and entering workforce 6. Undergraduate students with research experience 7. Growth in CS/CSE graduates Curriculum Innovations 1. Tier 1 Introduction to Information Technology for all students Tier 2 package of 3 courses Tier 3 concentration for BIS degree BS Applied Computing (ASU West) High school students completing software design material 6. Internships (industry or Software Factory) 7. New courses introduced (Bio, Info, Nano) 2. 3. 4. 5. Completed FY 2002 Partially Partially 75 90 4 200 136 16 75 95 4 75 128 18 X 75 174 24 8 X 10 109 117 20 3 6 3 10 4 4 98 128 18 4 5 9 130 70 10 5 8 5 15 2 4 120 140 20 4 14 10 16 2 4 144 154 20 4 11 11 15 24 15 24 20 30 15 28 15 32 10 19 14 19 26 1 large 2 small 1 large 3 small 1 large 3 small 1 large 3 small 1 large 4 small Technology Transfer New software packages distributed Form industry-university nationwide research consortium Create research road map in collaboration with industry Invention disclosures Patent applications Patents Startup companies Fund proof of concept grants to faculty Business plans written Technology transfer portal inquiries from industry Licenses/options signed (technologies adopted by industry) Partnerships 1. New research collaborations with industry and national laboratories Economic Development 1. Companies identifying ASU as a factor for relocating or expanding in AZ 11 Arizona State University Biodesign Institute at ASU 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12 ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS FY 2004 RESULTS AND ACCOMPLISHMENTS Biodesign Institute at Arizona State University • Annualized research grants in the biosciences increased by 10% in FY 2004. For researchers connected to established Biodesign Institute Centers, annualized grants increased to $12.5M, an increase of 31% over FY 2003. • In FY 2004, there were seven multi-investigator proposals that requested total awards of more than $3M submitted by Biodesign researchers. Five of the proposals requested >$1M per year. Of these, three are collaborations between two or more Centers and two involve collaborations with TGen. • Biodesign played a major role in landing the Army Flexible Panel Display Grant at $45M over five years. • National Academy member, Dr. Roy Curtiss, was recruited and will join Biodesign in December 2004. Other Biodesign Institute-related hires include four senior faculty, three junior faculty, and ten research faculty. Over 80 faculty and staff researchers are now affiliated with the Biodesign Institute. • Dr. Kathleen Matt was appointed to the newly established position of Director of Clinical Partnerships. A new collaborative agreement has been signed with the Mayo Clinic. Broadened research agreements are being explored with Banner Health and Barrow Neurological Institute. • Construction of Phase I of the Biodesign Institute is on schedule for start of occupancy by October 1, 2004. The Phase II building was started and is on track for occupancy in October 2005. The Research Support Services #5 animal facility will be occupied in January 2005. Capital commitments have been made for the construction of additional ASU buildings to support the biosciences: The Interdisciplinary Science and Technology buildings #1 and #3; the Biodesign Institute Phase II building; the Arizona Biomedical Collaborative building; and the Research Support Services building #5. • In FY 2004, four new patents were issued in the biosciences. Biodesign Institute researchers filed 17 patent applications and 9 invention disclosures. License agreements were reached with two spin-outs (AzERx and Nanobiomics) involving Biodesign faculty. Arizona State University Biodesign Institute at ASU Capacity Building Project Initiatives • To help increase interactions between information technology initiatives, all InCISE affiliates moved into space in the Brickyard complex except CABIT and the Software Factory. • Over $30M in large-scale collaborative research proposals were facilitated by InCISE, including a TGen/CSE/InCISE research initiative, enterprise computing initiatives between the Ira A. Fulton School of Engineering and the W. P. Carey School of Business, and multi-disciplinary proposals to NSF. • PRISM, a core member of InCISE, led the development of the Decision Theater concept, a major information technology-based research resource. Development of prototypes has led to significant external funding including the new NSF-sponsored Decision Center for a Desert City ($6.9M), and significant external visibility for potential partners in business, government, and funding agencies. • CEINT was named as one of three finalists for the prestigious Governors Council on Innovation Award. CEINT was chosen from over 80 nominees to be one of three organizations featured in the service provider category at the awards banquet. • CEINT introduced three new Embedded Systems courses and laboratories into the undergraduate curriculum. • The advanced materials Initiative helped in successfully attracting the major new $45M/5-year Army Flexible Display Center grant to ASU. Associated with this new award, a new interdisciplinary faculty member (Ghassan Jabbour) was recruited to bring the new critical skill area of organic light-emitting devices to ASU and the Flexible Display Center. • Molecular Imaging Inc. donated two key instruments valued at $0.25M for characterization nanomaterials and nanomolecular surfaces. • Advanced materials investments attracted a substantial level of grants and gifts (over $9.1M in new funds for future years). • The wireless technology area exhibited significant growth, with over $5M in new awards for future years from sponsors like DARPA, NASA, JPL, NSF, the U.S. Army, and the Air Force Research Labs (more than ten new successful grants), over $0.8M in industry funding (involving nine corporate participants). • ConnectionOne added two more universities to their university-industry consortium, the University of Arizona and the University of Hawaii. • ConnectionOne/WINTech established the AZ Wireless Expo in November 2003. This national event attracted over 300 participants. • The Software Factory has supported strategically important centers that have significantly increased their external support this past year, including: Applied Nanobioscience Center (ANBC), Center for Research on Education in Science, Mathematics, Engineering, and Technology (CRESMET), and Technology Based Learning and Research (TBLR). ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECT INVESTMENTS Technology Transfer/Technology Venturing • Closed 22 technology deals and started 4 new companies. • Hired world-class management team and Board of Directors. • Established operating and IP policies. • “Clustered” technology portfolio and established deal process. • Entered into significant collaborations with TGen and Mayo Clinic. • Established the Technology Venture Clinic. • Established AzTE Venturing Magazine and the AzTE Lecture Series. • Increased revenues, invention disclosures, and patent filings. Arizona State University Biodesign Institute at ASU 13 14 ARIZONA STATE UNIVERSITY EAST TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET Campus Capital Infrastructure Development REVENUE Carryforward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET (34,400) 2,000,000 1,965,600 $ $ (34,400) 2,000,000 1,965,600 $ $ 2,020,400 2,020,400 $ $ $ 95,700 2,000,000 2,095,700 $ $ $ (20,400) 2,137,000 2,116,600 - - - - - 1,869,900 1,869,900 1,869,900 1,869,900 2,116,100 2,116,100 2,116,100 2,116,100 2,116,600 2,116,600 1,869,900 $ 1,869,900 $ 2,116,100 $ 2,116,100 $ 2,116,600 INITIATIVE OVERVIEW The ASU East Proposition 301 initiative funds $27.5 million of Certificates of Participation (COPs) for infrastructure development, including multiple building renovations, campus infrastructure improvements, and a new campus student union. The building renovations will prepare academic space, including classrooms, faculty and staff offices, and student support services to meet anticipated growth. The infrastructure improvements continue the transition of the former Williams Air Force Base to an attractive university campus. The major projects include campus street and roadway improvements, new campus malls, lighting and emergency telephones, and campus landscape improvements. The COPs were issued in June 2002. Scheduled payments run through 2021. Approximately $26.8 million (98%) of the COPs has been committed to building renovation and campus infrastructure projects at ASU East. Completed projects include the Administration Building, the Simulator Building renovations, the renovation of Wanner and Sutton Halls, as well as the North and South Pedestrian Malls. Both the new Union Building and the Agribusiness Center renovation projects are scheduled for completion in July 2004 and will be fully operational for the fall semester beginning in August 2004. ASUE will complete all TRIF-funded capital improvement projects by June 2005. The FY 2006 budgeted revenue request is increased by $20,400 to bring the appropriation in line with the COPs payments. Arizona State University East Capital Infrastructure Development PROGRESS REPORT ARIZONA STATE UNIVERSITY WEST TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL / FY 2005 - FY 2006 BUDGET Classroom Laboratory / Computer Classroom II Building and Central Plant Expansion REVENUE Carryforward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET 6,400 1,600,000 1,606,400 $ $ 6,400 1,600,000 1,606,400 $ $ $ 1,543,700 1,543,700 $ 120,100 1,600,000 1,720,100 $ $ $ 56,300 1,609,300 1,665,600 - - - - - 1,486,300 1,486,300 1,486,300 1,486,300 1,663,800 1,663,800 1,663,800 1,663,800 1,665,600 1,665,600 1,486,300 $ 1,486,300 $ 1,663,800 $ 1,663,800 $ 1,665,600 INITIATIVE OVERVIEW PROGRESS REPORT The COPs were issued in June 2002. Scheduled payments run through 2021. Construction on the projects was completed for the Spring 2004 semester. The FY 2006 budgeted revenue request is reduced by $56,300 to bring the appropriation in line with the COPs payments. 15 Arizona State University West Classroom Lab/Computer Classroom II Building & Central Plant Expansion The ASU West Proposition 301 initiative funds $21.6 million of Certificates of Participation (COPs) for two projects, a 104,400 gross square foot (GSF) Classroom Laboratory/Computer Classroom Building (CLCC II) and a Central Plant expansion. The CLCC II building includes approximately 42,000 net assignable square footage (NASF) of instructional space with a 150-seat lecture hall, two 80-seat classrooms, ten 60-seat classrooms, two 40-seat computer classrooms, five science labs, and one computer lab. The Central Plant expansion adds 4,800 GSF for a new 1,000 ton chiller, a thermal storage tank, and utility line extensions required to service the CLCC II building. This page intentionally left blank. 16 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET SUMMARY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 4,155,009 8,920,000 $ 13,075,009 4,155,009 9,038,627 $ 13,193,636 $ $ $ $ 5,795,992 1,390,791 4,968,226 12,155,009 $ 920,000 920,000 5,065,234 1,199,417 2,682,077 8,946,728 $ - 9,350,000 9,350,000 $ 4,246,908 9,350,000 $ 13,596,908 $ 4,469,063 949,814 1,691,123 7,110,000 $ $ 2,240,000 2,240,000 6,675,817 1,627,616 2,944,193 11,247,626 1,349,282 9,817,500 $ 11,166,782 1,000,000 1,000,000 5,033,866 1,073,801 3,059,115 9,166,782 2,000,000 2,000,000 $ 13,075,009 $ 8,946,728 $ 9,350,000 $ 12,247,626 $ 11,166,782 $ 5,999,032 1,330,270 2,308,833 1,852,267 1,584,607 - $ 4,395,484 1,309,360 1,510,536 1,650,660 80,688 - $ 2,000,000 800,000 2,250,000 2,060,000 2,240,000 - $ 4,422,314 800,885 2,979,271 2,201,229 1,126,800 717,127 $ 2,905,637 806,400 2,268,000 2,076,480 2,357,282 752,983 $ 13,075,009 $ 8,946,728 $ 9,350,000 $ 12,247,626 $ 11,166,782 Note: FY 2004 expenditures include encumbrances at 6/30/04. SUMMARY BY INITIATIVE Access and Workforce Development Biosciences/Biotechnology E-Learning ERDENE (Environmental) Capital University Initiatives EXPENDITURES GRAND TOTAL Northern Arizona University Summary 17 18 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 BUDGET / ACTUAL SUMMARY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE FY 2004 FY 2004 REV BUDGET ACTUAL $ $ 4,155,009 8,920,000 13,075,009 $ $ 4,155,009 9,038,627 13,193,636 FY 2004 NAU ACTUAL TRIF EXPENDITURES (in millions) ERDENE $1.7 18% EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET $ CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Access and Workforce Development Biosciences/Biotechnology E-Learning ERDENE (Environmental) Capital $ 920,000 920,000 5,065,234 1,199,417 2,682,077 8,946,728 E-Learning $1.5 17% - $ 13,075,009 $ 8,946,728 $ 5,999,032 1,330,270 2,308,833 1,852,267 1,584,607 $ 4,395,484 1,309,360 1,510,536 1,650,660 80,688 $ 13,075,009 $ 8,946,728 Biosciences/ Biotechnology $1.3 15% Access and Workforce Development $4.4 49% Northern Arizona University Summary EXPENDITURES GRAND TOTAL 5,795,992 1,390,791 4,968,226 12,155,009 Capital $0.1 1% NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS/WORKFORCE DEVELOPMENT REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 2,119,032 3,880,000 $ 5,999,032 $ 2,119,032 3,931,493 $ 6,050,525 $ 2,000,000 $ 2,000,000 $ 1,655,041 2,767,273 $ 4,422,314 $ $ 2,462,280 622,152 2,914,600 5,999,032 $ 2,244,371 514,329 1,636,784 4,395,484 $ 1,254,000 260,252 485,748 2,000,000 $ 2,889,754 793,254 739,306 4,422,314 $ 1,254,000 260,252 1,391,385 2,905,637 - - - - - $ 5,999,032 $ 4,395,484 $ 2,000,000 $ 4,422,314 $ 2,905,637 2,905,637 $ 2,905,637 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW This initiative represents a major step forward in Northern Arizona University's ability to provide education services to Arizona citizens who are time- or place-bound. 19 Northern Arizona University Access/Workforce Development Additional funding support of NAU’s Extended Programs/Distance Learning System is an investment in the New Economy that directly supports the identified needs of the Governor's Task Force on Higher Education, the Arizona Partnership for a New Economy, and the ABOR guidelines. This initiative will: 1. Address the teacher shortage: emphases on alternative certification and preparation of mathematics and science teachers 2. Provide engineers with advanced training to support business and industry 3. Increase the number of advance-trained nurses/other health professionals to maintain quality of life 4. Educate information technology professionals to serve the New Economy needs of the state 5. Prepare post-baccalaureate business/non-profit managers to be leaders in existing/new businesses 6. Build the support infrastructure for future development of degrees/certificates responsive to the needs of the New Economy. 20 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS/WORKFORCE DEVELOPMENT FY 2004 GOALS/OBJECTIVES I. Programs The program strategy for years three through five (FY 2004 through FY 2006) is to: 1. Evaluate programs, discontinue the unsuccessful programs and continue successful programs, and seek modest increases in enrollment. 2. Use incremental funding to increase student capacity in existing non-TRIF funded programs. A. Education 1. Alternative Teacher Certification -- Redesign from a certificate program to a Masters. Incremental enrollment sought through additional cohorts. 2. Master of Education in Educational Technology -- Incremental enrollment sought. 3. English as a Second Language Endorsement -- Convert program to the Web. Incremental enrollment sought. 4. Science/Math education -- Complete development of all modules. Develop marketing materials and Web site. Develop Chemistry courses for completion in Spring 2004. 5. Newly hired faculty member to develop and teach required graduate Education Foundations courses for 150 new students. B. Health Professions 1. Accelerated Bachelor of Science in Nursing; Registered Nurse to Bachelor of Science in Nursing -- Seek incremental student enrollment. 2. Bachelor of Science in Dental Hygiene -- Expand program. Incremental enrollment sought. 3. Bachelor of Applied Science in Health Promotion -- Incremental enrollment sought. 4. Master in Nursing -- Incremental enrollment sought. C. Business and Public Service 1. Master of Science in Management -- Rename to meet student needs and AACSB accreditation requirements. Incremental enrollment sought. 2. Bachelor of Applied Science in Computer Technology -- Incremental enrollment sought. 3. Post-Baccalaureate Certificate in Entrepreneurship -- Develop this program. 4. Bachelor of Arts in Liberal Studies in Public Agency Service/Bachelor of Applied Science in Public Agency Service, and support courses for all BAILS/BAS -- Develop and teach Web courses. Incremental enrollment sought. 5. Culinary and Sanitation Certificates -- Finish development and offer these certificates. 6. Graphical Information Systems (GIS) post-baccalaureate certificate and workshops -- Finish development and recruit students. II. Infrastructure B. Technical Infrastructure -- Maintain high-bandwidth Internet connections and modems in rural sites. Complete the conversion of the old analog IITV System to a full digital system with voice (VOIP), video, and Internet over IP by Summer of 2004. C. Faculty support -- Develop and teach Web courses with a combination of Prop 301 and Distance Learning Services stipends. D. Develop marketing materials; place print, radio, and cable TV advertising in statewide and local media; and utilize electronic Internet advertising such as e-mail postcards and Web site banners. Northern Arizona University Access/Workforce Development A. Student Services -- Meet increasing needs for toll-free phone and Web access for students. Continue to advise students at a distance, incrementally add staff as needed to meet demand. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS/WORKFORCE DEVELOPMENT PERFORMANCE MEASURES/DELIVERABLES Leveraged Investment 1. Grants/contracts proposed Technology Transfer 2. Courses/modules sold/brokered Economic Development 3. Companies identifying NAU as reason for relocating or expanding in AZ Work Force Contributions 4. Potential new students served -New teachers -Nurses/health professionals -Engineers with advanced training -Business/non-profit managers Specific Curriculum Innovations 5. Degree/certificate programs 6. Statewide access (rural and urban) 7. Regional/national global access 8. New/revised courses Partnerships 9. Community College partners 10. Tri-University (ASU, NAU, U of A) 11. K-12 partners (schools/districts) 12. Industry or agency partnerships FY 2002 FY 2003 FY 2004 FY 2004 FY 2004 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED $3,951,834 $150,000 $5,094,132 $250,000 $250,000 5 2 0 2 2 0 1 0 1 1 542 266 545 200 807 414 600 300 30 200 600 300 30 200 0 250 120 20 44 Reported in ARU TRIF Reported in ARU TRIF 182 60 303 11 yes yes 75 19 yes yes 72 15 20 20 100 37 yes yes 105 80 80 14 3 30 2 16 3 51 21 15 3 30 5 17 3 119 42 16 3 60 25 16 3 60 25 FY 2004 RESULTS AND ACCOMPLISHMENTS NAU has maintained and, in some cases, expanded the number of students in programs; added a few new programs; and added new students in existing programs. We have been very pleased with the progress. A. Education 1. Alternative Teacher Certification - Program was revamped from a certification to a Master in Education and reduced from 22 months to 12 months to get teachers into the classroom more quickly. Year three results included: three elementary education cohorts in Tucson; two elementary and one secondary education cohort in Phoenix; and one elementary education cohort in Yuma (20-25 students each cohort). Over 90% of the graduates stay in Arizona to teach. 2. Master of Education in Educational Technology and Certificate Program -- Both of these Web programs have been completely converted to Web delivery. Student demand continues to grow from 177 to 195. 21 Northern Arizona University Access/Workforce Development I. Programs 22 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS/WORKFORCE DEVELOPMENT 3. English as a Second Language Endorsement -- All except one required course have been converted to Web delivery. Once the final course is converted in Fall of 2004, the complete program will be accessible to students on the Web. Enrollment dropped from 284 to 235 due to changes in state law requiring that all classes be taught exclusively in English. 4. Science/Math education -- Six Biology, five Chemistry, and nine Physics Web-delivered mini-courses have been designed and delivered. These mini-courses (1 credit hour each) allow current teachers to acquire skills to enhance their teaching or to be certified to teach science. Enrollments have been small (32 in AY 2003/2004). Through assessment we found that teachers taking the courses have found them useful in their teaching. Marketing through brochures and a Web site was completed. New marketing strategies are being developed to reach more teachers in Arizona and throughout the Southwest. 5. Four required graduate Education Foundations courses have been converted to Web delivery with capacity for 150 new students. These courses are required for all NAU Education masters programs. 6. Bachelor of Science in Elementary Education -- A new program for TRIF funding in 2004, cohorts were started in Tucson and will be starting in Phoenix for the Fall 2004 semester. 7. Bachelor of Science and Master of Science in Career and Technical Education -- These are new TRIF programs for 2004, with the master entirely on the Web and the bachelor delivered primarily face-to-face in urban areas such as Phoenix and Tucson. B. Health Professions 1. Accelerated Bachelor of Science in Nursing -- Twenty new students admitted in FY 2004. 2. Registered Nurse to Bachelor of Science in Nursing -- Entire curriculum except for clinical experiences is delivered on-line. Twenty-two new students admitted in FY 2004. 3. Master of Nursing -- New program for FY 2004. Seventeen new students admitted in FY 2004. 4. Bachelor of Science in Dental Hygiene -- program expanded from 99 to131 students. Web site, journal ads, and recruitment visits to sites throughout state were used for marketing. This program has national interest and enrollment. 5. Bachelor of Applied Science in Health Promotion and Bachelor of Science in Health Promotion -- 132 students enrolled in this new program. Seven courses developed or revised for Web delivery bringing a total of 21 over the life of the project. Marketing was expanded to reach more students. 6. Health Promotion emphasis in Masters of Management -- Four students are in this emphasis that has a capability to serve 15 students. Northern Arizona University Access/Workforce Development C. Business and Public Service 1. Master of Science in Management -- Program increased with 18 new admits in FY 2004 to 69 students. There are six emphasis areas: Educational Leadership; Professiona Writing; Project Management; Public Management; Health Promotion; and a Custom Emphasis Option. Allows students to obtain basic grounding in business courses while specializing in non-traditional areas such as Public Service management. This program has been modified to better fit student needs and to comply with AACSB accreditation requirements. The renamed degree, the Master of Administration, admitted 34 new students in FY 2004 with an estimated 50-60 new students expected to be admitted by the start of Fall 2004 classes. 2. Bachelor of Applied Science in Computer Technology -- Program designed as a follow-up to community college degree in Computer Technology. Main focus has been on establishing articulation agreements with community colleges. Enrollment for this program during FY 2004 was 32 students. 3. Post-Baccalaureate Certificate in Entrepreneurship -- Demand for this program was low, and it has been discontinued. 4. Bachelor of Arts in Liberal Studies in Public Agency Service/Bachelor of Applied Science in Public Agency Service, and support courses for all BAILS/BAS and liberal studies students. -- Six Web courses were developed in FY 2004 to support these programs. Cross-degree utilization of the nine course sections offered totaled 293 enrollments. 5. Culinary Arts for Managers Certificate -- After a successful non-credit initial roll-out in early 2004, the Culinary Arts for Managers was renamed as a credit-granting certificate. American Hotel Online, a national Web site, has run a story on the program. The certificate will be underwritten by Kendall Jackson Wineries and will be available to students for the Fall 2004 semester. 6. Graphical Information Systems (GIS) post-baccalaureate certificate and workshops -- Student recruitment efforts have yielded few admissions and enrollments. Faculty member resigned and courses will be taught by part-time faculty in FY 2005 to see if admissions and enrollment is sufficient to justify rehiring a full-time faculty member. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS/WORKFORCE DEVELOPMENT II. Infrastructure A. Student Services -- toll-free phone and Web access for students provided follow-up for students who had not enrolled and for Web students. Advisors hired to work with students at a distance. On-site assistance available at 29 offices around the state. B. Technical Infrastructure -- Internet bandwidth met high-bandwidth demands of students. Internet 2 connectivity was maintained to support national exchange of instructional and research data. Modem pools were maintained in rural areas to better serve students. Citrix server maintained to enable complex software to be accessed by students with access to limited computer power. Students using the Citrix server totaled 2,622. New all-digital ITV System consisting of voice (VOIP-Internet telephone), video and Internet services installation completed by June 30, 2004, goal. C. Faculty support -- 105 Web courses developed with Prop 301/TRIF funding. Over 250 Web courses were taught each semester using a combination of Prop 301 and Distance Learning Services funding. Approximately 25% growth in Web enrollments. D. Developed marketing materials; placed print, radio, and cable TV advertising in statewide and local media; and utilized electronic Internet advertising such as e-mail postcards and Web site banners. Multi-purpose, multi-media marketing materials were emphasized. Wide variety of materials developed and used in multiple campaigns for each program. Northern Arizona University Access/Workforce Development 23 24 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET BIOSCIENCES/BIOTECHNOLOGY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 510,270 820,000 $ 1,330,270 $ 510,270 831,975 $ 1,342,245 $ $ $ $ 560,000 84,000 686,270 $ 1,330,270 574,960 131,243 603,157 $ 1,309,360 - - $ 1,330,270 $ 1,309,360 $ $ 800,000 800,000 $ 89,000 17,000 694,000 800,000 $ $ $ 32,885 768,000 800,885 $ 250,000 70,000 480,885 800,885 $ $ 800,000 $ $ 806,400 806,400 93,000 18,000 695,400 806,400 $ 800,885 $ 806,400 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW Consistent with the principles of Arizona at Risk, this initiative focuses on projects in the broad field of biotechnology which can: 1. Enhance the reputation of Flagstaff and Arizona as a center of quality bioscience/biochemistry research 2. Secure additional resources, largely in the form of federal grants, to speed up the processes of basic and applied science related to biotechnology 3. Stimulate technology transfer to better position Arizona in the fields of bioscience and biotechnology 4. Expand and enrich the Arizona workforce trained in state-of-the-art aspects of biotechnology FY 2004 GOALS/OBJECTIVES Plans for FY 2004 include: Northern Arizona University Biosciences/Biotechnology 1. Identify new projects for major focus in TRIF budget years 4 and 5 2. Focus efforts on obtaining new grant funds, primarily from the federal government, using Proposition 301 funds for leverage 3. Establish additional external collaborations with individuals and groups from industry and other academic institutions 4. Continue our nascent efforts with regard to obtaining patents for new discoveries that have been supported, in part, by Proposition 301 funds 5. Provide technical training and education to undergraduate and graduate students through advanced-content classes and individual research experiences 6. Expand the "mini-grant" program that provides support up to $25,000 to investigators exploring initiatives that might possibly expand into major Bio-Tech TRIF projects NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET BIOSCIENCES/BIOTECHNOLOGY PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED $1,400,000 $6,286,000 $3,000,000 $5,550,000 $3,000,000 $1,500,000 1 2 5 2 3 2 discussions 2 2 2 2 2 1 55 59 1 1 1 2 0 1 1 1 3 0 1 1 65 65 70 110 3 5 1 2 Leveraged Investment 1. Increased external funding Technology Transfer 2. 3. 4. 5. 6. 7. 8. Patents applied for Products generated/disclosed Business expansions Industry partnerships Startup companies created Presentations at professional meetings Publications in refereed journals Economic Development 0 0 0 9. Flagstaff/Northern Arizona Work Force Contributions 10. 11. 12. 13. Graduate/postdoc students in pipeline Undergraduate students with research experience Undergrad students in specialized bio-tech courses M.S./PhD/post-doc graduate increases Specific Collaborations 14. New research collaborations 60 80 62 79 60 75 11 12 10 60 43 133 5 6 29 10 3 FY 2004 RESULTS AND ACCOMPLISHMENTS Leveraged Investment: We were able to obtain a substantial increase in external dollars through leveraging Prop 301 and other funds during FY 2004. Additional new grants have also been submitted and are under review. Funding was received from the National Science Foundation, Bureau of Land Management, Centers for Disease Control, and National Institutes of Health, among others. 75% of the projects funded through this year's mini-grant proposals were able to obtain external funding at least partially as a result of having TRIF funds available. Technology Transfer: Five patents from previous years are in place, and discussions about commercialization of product are occurring with regard to a number of them. 25 Northern Arizona University Biosciences/Biotechnology Work Force Contributions: We now offer specialized training in molecular techniques, immunology, instrumentation, biochemistry, and medical microbiology. Over 130 undergraduate students received this training in FY 2004 Students not only learn how to carry out these activities, but more importantly, they also learn the theory behind the use of these various apparatus and procedures. These efforts have been aided by Proposition 301 funding. We currently have 7 post-doctoral fellows in place and over 40 undergraduates in the labs working on TRIF-funded research projects. 26 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET BIOSCIENCES/BIOTECHNOLOGY Specific Collaborations: One of the most exciting collaborations we have participated in is on our own campus. A new initiative called SABRE (Strategic Alliance for Bioscience Research and Education) has brought together faculty and researchers from disciplines such as Biology, Electrical Engineering, Chemistry, Physics and Astronomy, and Health Professions with representatives from the Northern Arizona Technology Business Incubator and the Greater Flagstaff Economic Council to take advantage of trends toward convergence among disciplines in the life sciences, chemistry, environmental science, physics, and engineering. The SABRE group will be the main force behind TRIF Bio-Tech initiatives in the future. We are excited about the possibilities these collaborations offer. We have established new collaborations with Utah State University, the Cleveland Clinic Foundation, and a researcher in Minsk, Russia. Northern Arizona University Biosciences/Biotechnology NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET E-LEARNING REVENUE Carry Forward TRIF Revenue TOTAL REVENUE FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 637,033 1,671,800 $ 2,308,833 $ $ 1,450,000 325,000 533,833 $ 2,308,833 $ 1,032,356 278,221 199,959 $ 1,510,536 - EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET $ EXPENDITURES GRAND TOTAL $ 2,308,833 637,033 1,692,774 $ 2,329,807 2,250,000 2,250,000 $ 819,271 2,160,000 $ 2,979,271 2,268,000 $ 2,268,000 $ 1,600,000 375,000 275,000 2,250,000 $ 1,600,000 375,000 1,004,271 $ 2,979,271 $ 1,632,000 383,000 253,000 $ 2,268,000 - $ - - - $ 1,510,536 $ 2,250,000 $ $ $ $ $ $ 2,979,271 $ $ $ 2,268,000 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW The Center for Research, Development and Assessment in Electronic Learning Environments has been established in response to APNE and the recommendations of the Governor’s Task Force on Higher Education. The Center is dedicated to using information technology to transform teaching and learning and to better prepare graduates for the Arizona workforce. Through the use of Web technologies, place-bound Arizona citizens will have increased access to an education; NAU graduates will be skilled at learning via the Web; and learning will be enhanced using information technology tools. Research in innovative applications of advanced technology into the learning process, coupled with assessment of the actual learning students experience, will assure a high impact of this project on NAU students, and on students across the state. 1. 2. 3. 4. 5. Use Web technology to transform learning and teaching in both residential and distance education Assess learning effectiveness associated with information technology-mediated learning environments Increase baseline technological literacy skills of all NAU baccalaureate graduates Provide advanced information technology skills to NAU undergraduates through modifications and new academic programs Assess technological literacy skills of all NAU graduates 27 Northern Arizona University E-Learning Some anticipated outcomes are: 28 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET E-LEARNING FY 2004 GOALS/OBJECTIVES Continue to refine program and support systems for faculty. Principal goals this year are the support of enhancing traditional courses, development of hybrid courses, and support the pilot use of Web resources to enhance IITV courses. A further goal that has been achieved is the redesign of the support process and structures for development of fully online courses. Work to achieve stated performance measures. PERFORMANCE MEASURES/DELIVERABLES Workforce Contributions 1. Number of new Web courses developed and offered FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED 130 121 90 80 125 2. Number of new IT-enhanced courses developed 3. Increase in enrollments of distance students in Web courses 4. Increase in residential undergraduate enrollments 5. Increase in student academic success in Web courses 6. Total number of faculty participating in Web development 101 new courses, 140 new sections offered 9,476 enrollments, in 408 sections 32 30 42 50 60 1,703 600 (136) 500 500 663 150 793 750 750 5% 5% DFW dropped from 17.7% to 16.8%, a 5% improvement. 150 22 in Winter '04 117 15% 200 155 120 120 12,180 4,500 10,133 11,000 12,000 889 2,000 1,633 2,000 2,300 85% 89.2% 90% 90% 1 1 $50,000 $50,000 1 1 82 on Web courses 35 on Web enhanced 7. Number of NAU students taking Web courses 8. Number of graduates with technical literacy 10. Number of new certificates in advanced technology for students Leveraged Investment 11. Grants and donations for research in best practices Specific Collaborations 12. Number of private sector partnerships 1,500 84%, an improvement from 75% last year. 89%, an improvement from 88% last year. 2 1 1 $50,000 $0 $100,000 0 2 $0 Northern Arizona University E-Learning (to be assessed directly) 9. Percentage of students satisfied with Web learning opportunities Senior survey data NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET E-LEARNING FY 2004 RESULTS AND ACCOMPLISHMENTS Work Force Contributions: Completed the projects for design of exemplary practices in assessment of student learning in degree programs that rely heavily on electronic instructional technologies. These include electronic portfolios in elementary education, assessing foundation courses in the Master of Science in Management, comparing outcomes in hybrid and traditional courses in Introduction to Advertising, comparing outcomes in online and traditional courses in Business and Professional Speaking courses, and building assessment reliability across eight programs in The School of Communications that use hybrid and online courses. Spring 2004 we initiated ten projects, hybrid course and program development projects ($105,000), to employ innovative applications of online technology to augment or replace traditional classroom learning practices. These projects are well under way and include the following: ACC 256 – Principles of Accounting (T.S. Amer), ANT 310, 311, 312 – Study (A. Hunter & W. Vannette), CHM151L – General Chemistry Lab (J. Maxka), CJ345 – Human & Cultural Relations (B. Perry & L. Jones), Construction Management BS Degree (T. Rogers), ECO284 – Principles of Economics (J. Pinto & P. Ng), FOR380 – Ecological Restoration Principles (M. Oelschlaeger & P. Fule), Masters in Ed Tech – (M. Blocher & L. Sujo de Montes), SOC101 – Intro to Sociology (J. Reed). Summer 2004 is the initiation of the Faculty Fellows Research Program. Four fellows have been selected for support to research in the area of technology for communication, verbal and written, Mathematics Education Practices on the Web, and Nursing Education Problems on the Web. The fellows are: Randi Reppen (English), Jeff Shamata-Hovermill (Math), Laura Humphrey (Communication), Sally Dosier (Nursing). These fellows will work with CRADLEE for the next 15 months. E-learning has hired an assessment specialist who is working with all hybrid projects and the fellows. Starting Fall 2004 all IITV courses will use WebCT and Web resources for document delivery and further enhancements will be developed during the coming year. Specific Collaborations: CTEL supported development of 121 new WebCT courses since July 1, 2003. E-Learning has supported integration of technology, or Web enhancements, into 42 courses since July 1, 2003. Northern Arizona University E-Learning 29 30 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ERDENE REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 224,067 1,628,200 $ 1,852,267 $ 224,067 1,650,222 $ 1,874,289 $ $ 1,248,712 349,639 253,916 1,852,267 $ 1,160,568 265,676 224,416 1,650,660 $ - - $ 1,852,267 $ 1,650,660 $ $ 2,060,000 2,060,000 $ 223,629 1,977,600 $ 2,201,229 $ 2,076,480 $ 2,076,480 1,526,063 297,562 236,375 2,060,000 $ 1,526,063 297,562 377,604 2,201,229 $ 1,644,866 320,749 110,865 2,076,480 - - - 2,060,000 $ 2,201,229 $ 2,076,480 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW Some anticipated benefits to the citizens of Arizona include: - Ecological restoration projects such as developing solutions to the threat of catastrophic fires at the wildland/urban interface - Leveraging additional resources from private, state, and federal sources - New Economy business start-ups - Assisting existing business and local government through workforce training and development in environmental themes and skills - An environmental research and development facility - Development of new courses and certificates in ecological restoration and environmental engineering - Preparation of baccalaureate, master, and doctoral students in environmental science and engineering Northern Arizona University ERDENE Throughout its history, Arizona’s economy has been closely linked to the state’s environment and natural resources. Rich mineral resources, a healthful climate, and wondrous landscapes have stimulated economic enterprises in our cities and from Yuma to Page. Development of higher education in Arizona has influenced, and been influenced by, these incredible resources. Leading academic programs in astronomy, forest science, hydrology, materials science, hospitality management, environmental engineering and technology, and others are directly related to the state’s resources and economy. Research by The Morrison Institute and others demonstrates the importance of “quality of life” when business leaders choose where to invest, where to locate, and where to expand. Environmental Research, Development and Education for the New Economy (ERDENE), managed by the Center for Sustainable Environments, builds on Northern Arizona University’s leadership, expertise, and collaborations in environmental and natural resources science, technology, and management. It is designed to accelerate Arizona’s environmental business enterprises, to better understand and manage our critical resources, and to prepare Arizona’s workforce for the many opportunities these represent. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ERDENE FY 2004 GOALS/OBJECTIVES Continue success of program and achieve stated performance outcomes. PERFORMANCE MEASURES/DELIVERABLES Leveraged Investment 1. 2. 3. 4. 5. Leveraged federal and state funds Leveraged industrial $$ Leveraged other $$ (private, etc.) Other returns (presentations and publications) Arizona economic losses avoided FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED $5,525,000 $366,000 $642,000 121 $4,338,056 $413,000 $300,873 180 $4,275,500 $100,000 $200,000 18 $4,700,000 $4,369,274 $53,950 $529,749 138 incalculable $5,663,000 $133,000 $267,000 24 $6,308,000 $152,000 $304,000 27 1 5 6 49 1 0 21 5 1 1 7 8 2 2 8 8 102 47 3 8 2,000 53 73 7 4 40 61 84 8 5 46 Technology Transfer 6. 7. 8. 9. 10. Products generated and in the marketplace Business spin-offs Patent applications generated Conferences sponsored Business expansions 11. 12. 13. 14. 15. Graduate students in pipeline or graduated High-end Baccalaureates in specific disciplines Certificates granted Post-Doc students in pipeline or graduated Cont Ed Prof/sponsored event attendees 1 1 14 2 19 1 Work Force Contributions 56 38 0 26 85 87 27 7 312 40 55 5 3 30 3 10 2 1 14 9 6 10 6 1 16 29 8 8 13 9 9 15 2 4 17 34 20 9 6 73 58 41 3 3 18 30 10 7 7 58 51 54 4 4 24 40 13 5 5 27 46 15 Specific Curriculum Innovations 16. New programs -- full-time students 17. Revised courses and programs 18. New courses -- full-time students Community College 2+2 Programs Tri-University (ASU, NAU, UofA) Industry/private sector collaborations Community-based (including tribes) Regional, nat'l, internat'l research and linkages 31 Northern Arizona University ERDENE Partnerships (Specific Collaborations) 19. 20. 21. 22. 23. 32 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ERDENE FY 2004 RESULTS AND ACCOMPLISHMENTS ERDENE is composed of a number of very active sub-projects. ERDENE partially funds activities for the Ecological Restoration Institute, the Merriam-Powell Center for Environmental Research, and the Center for Sustainable Environments, among others. Some of these projects (ERI, Merriam-Powell) are research focused, although that focus typically means involvement with communities, particularly in Arizona. Others (CSE in particular) are very focused on community education and events (expos, lectures, etc.). This blend results in outcomes that show that ERDENE projects affect the lives of many Arizona citizens, as well as the Arizona economy in general. Leveraged Investment: ERDENE funds were used to acquire more than $4,300,000 in external support from corporations, foundations, and governmental grants. The Center for Sustainable Environments has begun widespread efforts and collaborations to advance the role of small business in the sustainable foods and products industries. This initiative has spawned new courses, agricultural product fairs, and community partnerships throughout the Southwest. Over 45 Arizona-grown products have been "brought to market" through the availability of a Farmer's Market cooperative in Flagstaff. Technology Transfer: The Sustainable Energy Solutions program has been involved in planning for the sustainable Applied Research and Development building that will break ground in Fall 2004. Alternative energy sources such as wind power are part of the sustainable aspect of the this building. The Merriam-Powell Center for Environmental Research has received funding from the National Science Foundation to establish a research station on NAU's Centennial Forest. Partially funded by the university, this facility, when built, will provide an environment for researchers from any locality, national or international, to study the application of the results we have in studies of forest regeneration, drought effects, and weather sensing. The Ecological Monitoring and Assessment Program (EMAP) is designing, developing, and operating a GIS-based information system for land owners and managers of northern Arizona and southern Colorado Plateau. When fully functional, this system will support requests from ranchers, community planners, transportation planners, and a wide range of land management agencies. In addition, an environmental genetics lab, working in coordination with Dr. Paul Keim's genetics lab, is facilitating the study of genetic factors in environmental issues. Work Force Contributions: Development of Arizona workforce has become a significant and successful endeavor. More than 2000 persons participated in our professional development programs and sponsored conferences and workshops in FY 2004. Many of these programs are community oriented, such as "Ecofarm," which attracted over 100 participants who were mostly professional farmers, and a Native Food and Fiber conference which attracted over 500 participants. Northern Arizona University ERDENE Specific Collaborations: Partnerships with collaborators as diverse as the Northern Arizona Business Technology Incubator, the well-known La Posada Restaurant in Winslow, the New Jersey Pizza Company, Arcosanti, the Tohono O'odham tribe, and the Sharlot Hall Museum in Prescott, along with more traditional partners such as the Bureau of Land Management, United States Geological Survey, and National Park Service, give some flavor of the diversity of initiatives the ERDENE projects represent. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET CAPITAL REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 1,516,082 960,000 $ 2,476,082 $ 1,349,282 1,008,000 $ 2,357,282 $ $ $ 664,607 920,000 $ 1,584,607 $ $ $ 75,000 10,000 579,607 664,607 664,607 932,163 $ 1,596,770 920,000 920,000 $ 1,584,607 $ $ 2,240,000 $ 2,240,000 52,979 9,948 17,761 80,688 - - 2,240,000 80,688 60,000 16,800 50,000 126,800 60,000 16,800 280,482 357,282 1,000,000 2,000,000 2,240,000 1,000,000 2,000,000 $ 2,240,000 $ 1,126,800 $ 2,357,282 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW The major focus of this initiative is planning for capital projects to be constructed or enhanced using Proposition 301 resources. The two major projects originally planned were the Applied Research and Development Building (ARD), which would bring together researchers from a variety of sectors in a facility designed to maximize use of environmentally sensitive materials through building techniques and site location, and a major renovation of the 30+ year-old Biology and Chemistry labs and classrooms. Further analysis of the Biology and Chemistry buildings as part of ABOR's "deferred maintenance" study showed that it would be impractical to renovate the labs. Thus, a decision was made to construct a new lab building. We plan to use a significant amount of the carry forward money to purchase "one-time" items for the ARD building, such as a "Living Machine" that will allow us to demonstrate a complete "waste-water" cycle, from "black water" to reclaimed water. This would not only increase the sustabinability of the building, but would also increase the teaching/pedagogical aspects ot it. Since the ARD building will not be completed until the second quarter of 2006, it will be very helpful for us to have these carry forward funds available to meet needs such as this. 33 Northern Arizona University Capital The passage of the research infrastructure bill gives NAU an alternate source for dollars for these projects. However, the pressures to expand the Nursing Program and equip the ARD and lab buildings makes continuation of this initiative imperative, albeit on a reduced scale. Thus, instead of setting aside enough funds to pay debt service on $28 million, we are reserving a smaller amount, $960,000. For FY 2005, $1,280,000 of the capital budget was transferred to Access and Workforce Development to address the issues enumerated in that section. 34 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET CAPITAL FY 2004 GOALS/OBJECTIVES 1. Evaluate Nursing and Health Professions buildings to determine if renovations are required in order to accommodate Nursing and Health Program expansions. 2. Provide funds to partially renovate the Nursing building in order to accommodate faculty and facilities needed to expand the Nursing Program. 3. Evaluate the ARD and lab building projects to determine where the state receives the most benefit from applying TRIF revenues. PERFORMANCE MEASURES/DELIVERABLE FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED $300,000 $17,000 Leveraged Investment 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. Site selection Building occupants defined "Green" consultant hired Charette for building needs held Identification of matching funds Architect hired Board approvals obtained Schematic drawings prepared Preparations made for bond issuance Building construction Planning for Biology/Chemistry renovations Board approvals obtained (Bio-Chem) Building renovations (minor) Evaluate Health Professions and Nursing for expansion Identify needs for augmenting TRIF-related projects X partial X X partial X X 0 finalist selected X X X X partial X Begin partial delayed until Fall '04 X X X Nursing X X Planning FY 2004 RESULTS AND ACCOMPLISHMENTS Northern Arizona University Capital Leveraged Investment: The "Green Team" (steering committee for the Applied Research facility) participated in many activities designed to provide a return on investment in the future. The major effort was having a booth at the U.S. Green Building Conference in Pittsburgh, PA. There, the team made contacts with over 200 vendors, designers, and architects who had an interest in the building. Another significant effort was serious conversations with a number of potential partners for ARD, including APS, Siemans. We expect to know the outcome of these conversations very soon. We also were able to obtain a $2.5 million grant from the U.S. Economic Development Agency (see specific collaborations, below). In addition, Governor Napolitano is expected to highlight NAU's sustainable building initiatives during her visit to Flagstaff's Energy Exposition on August 6. This sort of endorsement not only helps us see that we are going in the right direction in our focus on sustainable buildings, but also gives the projects additional visibility and makes them more attractive to potential industry partners. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET CAPITAL Work Force Contributions: Several student interns are participating in different aspects of the project, including analyzing human comfort parameters for prospective tenants, and investigating the data requirements for developing an Energy Management System for the building. More student projects are expected. Specific Collaborations: NAU's partnership with the Northern Arizona Technology Business Incubator resulted in a $2.5 million award from the U.S. Economic Development Agency to augment the $18 million the university is investing in the ARD building. Northern Arizona University Capital 35 36 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET UNIVERSITY INITIATIVES REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ - $ $ - $ $ $ - $ $ - - $ - $ $ - $ $ - $ 350,000 75,000 292,127 717,127 $ 350,000 75,000 327,983 752,983 - $ - $ - $ - - $ - $ 717,127 $ $ $ 717,127 717,127 $ $ 752,983 752,983 - 752,983 Note: FY 2004 expenditures include encumbrances at 6/30/04. INITIATIVE OVERVIEW As the needs of the state economy change, opportunities often arise for NAU to participate in projects (often Tri-University projects) that arise relatively suddenly. In the past, NAU has been unable to react quickly to identify funds to put toward these initiatives. In addition, it has become obvious through the Auditor General's recent procedural review of NAU's TRIF funds that a centralized expenditure of administrative funds to provide oversight to the entire NAU TRIF program would be beneficial. Therefore, NAU has established a new TRIF project, "University Initiatives," which we will use for both administrative costs and for investment in relevant research initiatives as they arise. This new project will be funded through a reallocation of funds from existing TRIF projects. Northern Arizona University University Initiatives NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET UNIVERSITY INITIATIVES PERFORMANCE MEASURES/DELIVERABLES Leveraged Investment 1. 2. 3. 4. 5. Leveraged federal and state funds Leveraged industrial $$ Leveraged other $$ (private, etc.) Other Returns (presentations and publications) Arizona economic losses avoided FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL PROJECTED PROJECTED $600,000 $75,000 $120,000 15 $600,000 $75,000 $120,000 15 0 3 1 0 3 1 2 2 4 3 2 2 4 3 New project in FY 2005. Technology Transfer 6. 7. 8. 9. 10. Products generated and in the marketplace Business spin-offs Patent applications generated Conferences sponsored Business expansions 11. 12. 13. 14. 15. Graduate students in pipeline or graduated High-end Baccalaureates in specific disciplines Certificates granted Post-Doc students in pipeline or graduated Continuing Education professionals Work Force Contributions Specific Curriculum Innovations 16. New programs -- full-time students 17. Revised courses and programs 18. New courses -- full-time students Partnerships (Specific Collaborations) 19. 20. 21. 22. 23. Community College 2+2 Programs Tri-University (ASU, NAU, UofA) Industry/private sector collaborations Community-based (including tribes) Regional, nat'l, internat'l research and linkages Northern Arizona University University Initiatives 37 This page intentionally left blank. 38 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET SUMMARY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 2,877,555 18,200,000 $ 21,077,555 $ 2,877,555 18,389,286 $ 21,266,841 $ 19,200,000 $ 19,200,000 $ 3,884,012 19,200,000 $ 23,084,012 $ $ 11,814,347 2,288,404 3,974,804 18,077,555 $ 7,030,437 1,607,710 5,744,682 14,382,829 $ 9,473,808 1,943,110 4,783,082 16,200,000 $ 11,993,430 2,757,972 5,182,610 19,934,012 $ 10,443,235 2,277,098 4,479,667 17,200,000 3,000,000 3,000,000 3,000,000 3,000,000 3,000,000 3,000,000 150,000 3,000,000 3,150,000 3,000,000 3,000,000 $ 21,077,555 $ 17,382,829 $ 19,200,000 $ 23,084,012 $ 20,200,000 20,200,000 $ 20,200,000 Note: FY 2004 Actual includes $189,286 additional revenue and expenditures include encumbrances at 6/30/04. $ 2,249,160 5,365,463 815,858 4,824,825 5,726,929 2,095,320 $ 1,964,711 3,852,669 558,834 4,480,050 4,859,477 1,667,088 $ 1,800,000 6,000,000 800,000 4,200,000 4,100,000 2,300,000 $ 2,103,170 7,564,796 1,064,304 4,591,576 5,011,133 2,749,033 $ 1,800,000 5,500,000 800,000 4,200,000 4,400,000 3,500,000 EXPENDITURES GRAND TOTAL $ 21,077,555 $ 17,382,829 $ 19,200,000 $ 23,084,012 $ 20,200,000 39 University of Arizona Summary SUMMARY BY INITIATIVE Access and Workforce Development Biosciences/Biotechnology Technology Transfer Infrastructure Optical Sciences Internet Technology & Commerce Institute Water Sustainability Program 40 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 BUDGET / ACTUAL SUMMARY FY 2004 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET $ EXPENDITURES GRAND TOTAL $ SUMMARY BY INITIATIVE Access and Workforce Development Institute for Biomedical Science & Biotech Technology Transfer Infrastructure Optical Science Internet Technology & Commerce Institute Water Sustainability Program EXPENDITURES GRAND TOTAL 2,877,555 18,200,000 21,077,555 11,814,347 2,288,404 3,974,804 18,077,555 FY 2004 ACTUAL $ $ $ 3,000,000 3,000,000 21,077,555 2,877,555 18,389,286 21,266,841 7,030,437 1,607,710 5,744,682 14,382,829 3,000,000 3,000,000 $ 17,382,829 $ 2,249,160 5,365,463 815,858 4,824,825 5,726,929 2,095,320 $ 1,964,711 3,852,669 558,834 4,480,050 4,859,477 1,667,088 $ 21,077,555 $ 17,382,829 FY 2004 UA ACTUAL TRIF EXPENDITURES (in millions) Technology Transfer $0.5 3% Optical Science $4.5 26% Institute for Biomedical Science & Biotech $3.8 22% Access and Workforce Development $2.0 11% Water Sustainability Program $1.7 10% Internet Technology & Commerce Institute $4.9 28% University of Arizona Summary UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS TO HIGHER EDUCATION REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 187,618 1,000,000 $ 1,187,618 $ 187,618 1,010,401 $ 1,198,019 $ 109,509 1,000,000 $ 1,109,509 $ 1,000,000 $ 1,000,000 $ $ $ $ $ 798,795 200,983 187,840 1,187,618 - $ 1,187,618 629,579 155,892 303,039 1,088,510 - 767,500 149,700 82,800 1,000,000 $ 847,009 179,700 82,800 1,109,509 1,000,000 $ 1,000,000 805,900 157,200 36,900 1,000,000 - - - - $ 1,088,510 $ 1,000,000 $ 1,109,509 $ 1,000,000 *based on estimated overrealized revenue of $10,401 INITIATIVE OVERVIEW The goal of this initiative is to increase the overall educational level of the State of Arizona by making higher education more accessible to those facing barriers of time, place, disability, culture, career, family obligation, or other circumstances. Recognizing that access is a complex mix of availability, affordability, and applicability, this initiative funds diverse development activities that divide broadly into content projects (course and program development by academic departments assisted by expert technical staff) and infrastructure projects (improved connectivity, improved capacity for content delivery, etc.). Most of the work funded through this initiative will be structured as projects of fixed duration rather than as ongoing research programs. Four projects have been approved to date: Establishment of a Distance Learning Support Team within the Faculty Center for Instructional Innovation Creation of an online Nursing PhD program, funded temporarily as a supplement to a grant from Arizona Regents University Creation within the University Libraries of advanced document delivery capability to serve students enrolled in online courses Creation of a high-speed Internet connection between UA Main and the UA South/Sierra Vista service area 41 University of Arizona Access to Higher Education 1. 2. 3. 4. 42 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ACCESS TO HIGHER EDUCATION PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED Increase usage 2 new 80 Increase usage 2 new 100 Curriculum Innovations 1. Increased capacity to deliver courses 2. New programs brought on line 3. New enrollments DS-3 line installed Increased usage Increased usage 2 new na 2 new 20 2 new 60 2 new 60 FY 2004 RESULTS AND ACCOMPLISHMENTS Last year's objectives are being met and significant progress is being made in the following areas: D2L student management system was installed as the platform for College of Nursing (CON) distance learning programs. Training programs have been developed and implemented for instructors and students. We have proceeded with planned development of CON course offerings from the initial 9 courses to a current total of 35 courses which will be available by June 30, 2004, for the 2004-2005 academic year. The program has expanded from PhD courses to include undergraduate and masters offerings, especially in the fast track PhD, rural health and nurse practitioner graduate programs. Numerous multi-media instructional learning objects have been created including audio enhanced PowerPoint presentations, instructional videos, interviews, and interactive instructional lessons. Survey reports and an evaluation of asynchronous discussion groups have been produced. The Learning Technology Center provided services to the NSF-funded STC-MDITR (http://stc-mditr.org/) in support of their educational mission http://stcmditr.org/education/index.cfm. In the original document, STC-MDITR proposed development of Web-based instructional support and curriculum materials related to the science of the Center for audiences spanning all levels, “K through Gray.” In the broadest terms, our TRIAD project is to provide support as needed or available to that mission. University of Arizona Access to Higher Education TRIAD/LTC in collaboration with STC MDITR staff has produced media and programming products as demonstrated in the weblinks in the first section of this report. Other than routine planning and production documents and correspondence and consultation, TRIAD/LTC’s output has been strictly the products developed by its programmer and graphics staff, since responsibility and authority for publicity or publication rests with the STC-MDITR group. The high-speed communications link to Sierra Vista is operational. This has resulted in decreased network costs, reliable connectivity to Fort Huachuca for KUAT Multimedia, and a reasonable cost for data and voice services for UA academic outreach efforts. Virtual Reference Desk services are operating within the Library and have become part of standard Library services. The Library’s document delivery service has been completed, and Illiad (InterLibrary Loan internet accessible database) software has been implemented. Interlibrary Loan is a service that provides access to materials not owned by the UofA through cooperative agreements; participating libraries share their collections with students and faculty from other institutions. New software for Electronic Reserves was implemented in Spring 2004. The system provides access to course material (articles, audio files, graphics, etc.) via the Web. Using digitization technology, the Library made these course materials available in various electronic forms which can be accessed via a Web browser. UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2003 ACTUAL/FY 2004-06 BUDGET WORKFORCE: TEACHER PREPARATION REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 261,542 800,000 $ 1,061,542 $ 261,542 808,320 $ 1,069,862 $ $ $ $ 490,000 114,170 457,372 1,061,542 - $ 1,061,542 394,516 78,951 402,734 876,201 $ $ 876,201 800,000 800,000 420,025 97,866 282,109 800,000 $ $ $ $ 800,000 193,661 800,000 993,661 $ 495,912 117,814 379,935 993,661 $ $ $ 993,661 800,000 800,000 420,025 97,866 282,109 800,000 - $ 800,000 *based on estimated overrealized revenue of $8,320 INITIATIVE OVERVIEW To address critical shortages in the state for math, science, and agricultural science teachers from elementary through secondary education levels. To educate and train over 100 new secondary school math and science teachers. To educate and train 150 new elementary school math and science teachers. To educate and train over 40 new agricultural science teachers. The goals for 2004 were (a) to continue to produce high quality math, science, and agricultural science teachers for Arizona schools and (b) to provide student support to the students to achieve the first goal. 43 University of Arizona Workforce: Teacher Preparation FY 2004 GOALS/OBJECTIVES 44 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2003 ACTUAL/FY 2004-06 BUDGET WORKFORCE: TEACHER PREPARATION PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED 1 6 15 15 a 20 25 3 7 10 10 a 15 15 29 18 28 15 30 17 27 16 30 16 30 17 Workforce Contributions 1. Completers of Secondary Science Teacher Prep 2. Completers of Secondary Math Teacher Prep 3. Completers in Elementary Math/Sci Teacher Prep 4. Completers in Agricultural Teacher Curriculum Innovations 5. Science Prep course developed in College of Science. NSF preproposal submitted to develop and offer specialized science and science education courses for middle school teachers a Teach for Tucson secondary prepared 11 science teachers and 4 math teachers during FY 2004, bringing the total number of science teachers to 26 and the total number of math teachers to 14. However, during FY 2004 TRIF funds were not used to support this group of completers in Teach for Tucson secondary. FY 2004 RESULTS AND ACCOMPLISHMENTS Secondary Science: The TRIF monies continue to provide essential support for the College of Science Teacher Preparation Program (CoS TPP). In particular, the salaries money allows the program to include on its staff two highly experienced masters-degree level science teachers as adjunct instructors. In a recent (May 2004) questionnaire of local science teachers who regularly work with the CoS TPP as cooperating teachers and the CoS TPP faculty, 100% of the respondents (n=26) stated in responses to open-ended questions that the work of the adjunct instructors (referred to as teachers-in-residence by the cooperating teachers) was very important for the successful education of the preservice science teachers in the CoS TPP. The TRIF monies also provide essential support for the mentoring activities of practicing science teachers who partner with our program by allowing preservice teachers into their classrooms in three different capacities: observers assigned specific tasks, interns who assist for 8-week sessions twice during their programs, and student teaching which involves a full day, 15-week teaching commitment. University of Arizona Workforce: Teacher Preparation The enrollment goal of the secondary science teacher education program is to graduate 20 new science teachers a year by 2005. We are working to accomplish that goal through opening a pipeline of students enrolling in preliminary science teacher education courses that will lead to student teaching and eventual recommendation for certification. In this past year, enrollments in these course have indicated that the pipeline is, indeed, filling up. The enrollments this year were: Course Enrollment STCH 250 55 STCH 310 38 STCH 410 18 STCH 420 22 Student Teaching 14 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2003 ACTUAL/FY 2004-06 BUDGET WORKFORCE: TEACHER PREPARATION Another important use of the TRIF monies is for student scholarships. Science majors with GPAs of 3.2 and above are eligible to apply for the $750 per semester scholarships. Since the TRIF scholarship program began, we have awarded $36,000 to 28 students (some exceptional students have received scholarship renewals for multiple semesters). During the 2003-2004 academic year (two rounds of scholarships), 21 scholarships were awarded to 16 students. The average student GPA for the 2003-2004 scholarship awards was 3.64. The science majors represented by the 2003-04 scholarship awardees included the following: Astronomy, Chemical Engineering, Chemistry, Chemistry Education, Earth Science Education, Ecology & Evolutionary Biology, Geosciences, Microbiology, Molecular & Cellular Biology, and Physics Education. The Secondary Science program has received $247,000 in grants and gifts to provide additional support to the College of Science teacher preparation program. Secondary Mathematics: The Center of Recruitment and Retention was founded in 2001. Since then, we have made significant progress in both recruitment and retention. This work is in a context in which, in 2000, Arizona ranked 49th among states in percentage of mathematics teachers with majors in mathematics. The Center has received dozens of letters from teachers, tutors, and students testifying to the positive impact that the Center’s programs have had on their mathematics education. A comparison of the status of mathematics education in 2000-2001 and the status of mathematics education now, three years later, shows: Recruiting · 2000-2001: 3 student teachers, 0 with majors from the Mathematics Department. · 2004-2005: 15 student teachers, 12 with majors from the Mathematics Department. · 2000-2001: 40 mathematics students expressed an interest in teaching. · 2003-2004: 104 mathematics students (30% are Hispanic or African American) expressed an interest in teaching. Retention · 2001-2004: 47 teachers have participated in the Induction Program · 42 of the teachers are still in the profession, a retention rate of 89% against a national retention rate for all teachers of 53%. · 2001-2002: 9 first-year teachers participated. · 2003-2004: 28 first-year teachers participated. 45 University of Arizona Workforce: Teacher Preparation Agriculture and Life Sciences: Since the 1994-95 academic year, the Department has prepared 85 students, 34 males and 51 females, for teaching Agricultural Education. Of those, five are Hispanic, three are Native American, and one is of Asian descent. The current Departmental recruitment efforts are attempting to bring more students of diverse backgrounds into the program. The current status of students in the Department suggests that the number of student teachers during the spring semester of the following years will be as follows: Year Students 2005 12 2006 16 2007 10 2008 13 46 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2003 ACTUAL/FY 2004-06 BUDGET WORKFORCE: TEACHER PREPARATION There are 13 freshmen who have been admitted to the program beginning the fall of 2004. While that number may seem low, it is significantly higher than usual. Most of our majors ultimately choose Agricultural Education after arriving at the university, usually as juniors. The higher number of students for student teaching in 2006 is a reflection of that trend. The recruitment efforts with the community colleges have, and will, continue to influence both the 2007 and 2008 numbers in the future. The TRIF Program has clearly had an impact on the recruitment of students into Agricultural Education. The shortage of teachers persists, and part of the solution is this program. However, the success of this program will only be achieved in the long term, which will require the sustained support of this program. Note the number of freshmen we have in the program this coming year. They are “in the pipeline” and should be supported during the coming years. With additional students will come the need for additional resources. At minimum, we need to be able to maintain the current level of support to keep this effort moving. Teach for Tucson Elementary: The Teach for Tucson (T4T) program prepares mathematics and science educators for schools in the metropolitan Tucson area. The program recruits career changers, that is, people with successful careers in other fields who wish to become teachers. The students typically range in age from 25-55 and come from many fields (e.g., military, financial services, engineering). The elementary teacher education component of T4T, with help from TRIF funding, has been enormously successful. Including the 27 graduates this year, we have provided 84 new teachers for the area’s schools. Because of recent changes in federal law (No Child Left Behind Act) that requires increased subject matter requirements for middle school teachers of mathematics and science, we are finding that most of the teachers prepared in the T4T elementary program are actually preparing for careers as middle school teachers. During FY 2004, we used some TRIF funds to support students in the T4T secondary program, a program that prepares secondary mathematics and science teachers for local area schools. These students will graduate in the spring of 2005, which will serve to increase dramatically the number of mathematics and science teachers prepared with TRIF funds. University of Arizona Workforce: Teacher Preparation UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET TECHNOLOGY TRANSFER INFRASTRUCTURE REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ $ $ 115,858 700,000 815,858 $ 455,238 146,395 214,225 815,858 $ $ $ 815,858 115,858 707,280 823,138 $ 294,797 74,609 189,428 558,834 $ $ $ 558,834 $ 800,000 800,000 $ 264,304 800,000 $ 1,064,304 $ 301,200 58,700 440,100 800,000 $ $ 640,842 150,023 273,439 1,064,304 - - 800,000 $ 1,064,304 $ 800,000 800,000 440,000 101,280 258,720 800,000 - $ 800,000 *based on estimated overrealized revenue of $7,280 INITIATIVE OVERVIEW Products and services provided by the Technology Transfer Infrastucture Project (TTIP) fall into two primary categories: (1) improvements in technology transfer infrastructure at UA’s Office of Technology Transfer (OTT) and (2) the formal involvement of UA’s Office of Economic Development (OED) in creating viable channels for UA technology to be transferred through the proposed TechCluster Program. University of Arizona Technology Transfer Infrastructure 47 Technology Transfer Infrastructure: · Hiring of a full-time marketing director for the Office of Technology Transfer to build University and industry relationships and thereby create and maximize commercialization outcomes. · Hiring of a patent/licensing specialist to more effectively and efficiently process UA-developed technologies. · Launch ongoing partnership and outreach initiatives under TTIP that will serve to coordinate disparate units to achieve common economic development goals. · Provide a permeable interface between the worlds of academia and industry by organizing a series of forums and events to discuss topics of joint interest, e.g., technical innovations and access to them, workforce needs, and curriculum development. · Serve a centralized coordinating function by partnering with other UA units, such as BPA and Office of Technology Transfer, Arizona State and Northern Arizona Universities, and other government and economic development organizations, to support the needs of Arizona’s cluster organizations. · Organize annual showcase events to highlight the many relationships and the interdependence between the University and high tech cluster organizations. · Utilize the extensive network of relationships within Southern Arizona, Metropolitan Phoenix, and throughout the state to provide a wide variety of flexible partnering opportunities. 48 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET TECHNOLOGY TRANSFER INFRASTRUCTURE · Design and implement several information technology tools to facilitate the interconnection of UA technology transfer, business community, and industry development components. The AZTechCluster High Tech Web Directory and the BusinessLink Program Database (City of Tucson Office of Economic Development) are two such projects underway. · Leverage the Professional Masters Degree Program of UA. This program melds practical science education in mathematics, physics, chemistry, biochemistry, and others to practical business application. · Leverage the Associates in Technology Program of UA’s Berger Entrepreneurship Program in business plan development for UA technologies. This program allows technical students to pair up with business students for one year of curriculum and application of new business development and technology development. · Leverage the facilities and expertise of the Arizona Center for Innovation (formerly Tucson Technology Incubator) and the UA Science and Technology Park to mobilize businesses for launch. TechCluster Program: Core program elements include two targeted industry studies and three industry directories, or equivalent projects, building on a decade of direct and related expertise. · Utilize targeted industry studies to feature global-to-local industry and market insights coupled with an in-depth examination of cluster-related University assets--human, programmatic, and physical. Similar UAOED studies were catalysts in the creation of Arizona’s optics and bioindustry clusters. · Leverage UAOED expertise in U.S. and international cluster development theory to provide strategic planning and best practice support for the Arizona cluster organizations. · Use research results to develop and interface multiple industry databases, provide Web access, and collaborate with other sites and organizations. · Develop an annual “state of the clusters” benchmarking report, the centerpiece of a major all-cluster event showcasing the industries’ growth and accomplishments over the prior year. · Design-in program flexibility to address the research and analytical needs of the cluster organizations and the state’s economic development community; has the capacity to increase the number of annual projects, depending on the availability of non-university resources beyond the core budget. · Provide an otherwise unavailable industry information resource that will support innumerable grant applications and project proposals by companies, cluster and economic development organizations, and university applicants. FY 2004 GOALS/OBJECTIVES University of Arizona Technology Transfer Infrastructure · Close on formal relationships between OTT and the Desert Angels in support of Tucson-based spinouts from UA. · Initiate cluster-based program on doing business with the university and increase outreach to industry partners in Arizona. · Continue refinement of the marketing position funded under the TRIF program to enhance technology transfer communication, outreach, and operations. · Release two benchmarking studies: (1) Industry Cluster Benchmarking and Supply Chain Analysis Study and (2) Technology Transfer at the University of Arizona Study. · Initiate two new studies designed to measure and compare Tucson/Pima County’s comparative performance as a high technology community and to assess the economic impact on the Pima County economy of companies using UA licensed technology. · Assist in the establishment and development of the Arizona Center for Innovation (AzCI). · Organize and host a seminar on contract manufacturing for high technology companies in Southern Arizona. UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET TECHNOLOGY TRANSFER INFRASTRUCTURE PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED 91 14 4** 95 25 $1,008,621 100 18 6 125 30 $1,126,007 105 22 8 140 35 $1,407,509 Technology Transfer 1. 2. 3. 4. 5. 6. Patent applications Patents issued Spin-off companies* Invention disclosures Licenses/options* Licensing income * Reporting since FY 2003 corresponds to definitions used by the Association of University Technology Managers (AUTM) Survey of technology transfer offices. 77 12 1 111 24 $1,076,870 ** Using AUTM definition of start-up, the actual number is 5; however, early years used a more expansive definition and one was counted prematurely in FY 2002. FY 2004 RESULTS AND ACCOMPLISHMENTS 49 University of Arizona Technology Transfer Infrastructure The major accomplishments for this year include: · Investment in OTT through the TTIP continues the increase in IP-based transactions from OTT in comparison to previous years, resulting in 39 Technology Transfer agreements of which 25 are license and option agreements; 91 patents filed (provisional and full); 14 new issued patents in the U.S. and 1 in Australia; and over $1 Million in gross royalty revenues for the second year in a row. Royalty revenue growth has been on average over 20% per year since 1999. · TTIP funds have increased the ability of OTT to patent in support of future activities, in particular start-ups or other advanced project initiatives such as supporting the activities of the UAF's UTR subsidiary in relation to a major patent donation from Proctor & Gamble concerning several oncology, HIV, and HCV compounds undergoing further commercialization activities at UA. · Start-up activity is on the rise as evidenced not only by the start-ups initiated in FY 2004 and those in progress for launch in FY 2005, but also by the increase in the number of Enabling Disclosures facilitated by OTT and approved by ABOR. In FY 2004, 9 Enabling Disclosures were approved by ABOR with another three in process. This is the largest number of such disclosures approved in any year since the mid-1990s. · OTT continued its expansion of outreach activities including: (1) Hiring of a new person for Outreach and Advanced Projects to replace the previous marketing communications manager. (2) Creation of a plan with SATC for mirror clusters within UA to facilitate contact between cluster companies and UA researchers and research resources. This is part of the implementation of the plan begun in FY 2003 with SATC and the PCC Small Business Center to enhance small business competitiveness through collaboration. (3) Expansion of the successful interactions with the McGuire Entrepreneurship Program to a total of six OTT projects, one of which was invited to compete in a national business plan competition; in FY 2005, entrepreneurship teams have signed up to work on at least 8 OTT projects. (4) OTT was invited by the Dean of Business and the Dean of Science to work as part of the team implementing the AZ-Mexico Bi-National Optics Consortium. (5) Presentations to student, faculty, community, and national groups on technology transfer. · OTT, through its TTIP-supported outreach manager, is working with ADOC on the design and implementation of the state's technology Web portal. · OTT continues it stong relationship with the Professional Masters Program enabled by TTIP funds, including sponsoring in conjunction with the Dean of Agriculture an Applied Professional Masters student in OTT to work on UA and CALS involvement in the Public Intellectual Property Resource in Agriculture and to improve technology transfer outreach and opportunities in agricultural and life sciences. 50 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET TECHNOLOGY TRANSFER INFRASTRUCTURE · UAOED has completed both benchmarking studies: The Industry Cluster Benchmarking and Supply Chain Analysis Study, and Technology Transfer at the University of Arizona: A Comparative Analysis and Benchmarking Study. · UAOED has initiated an evaluation of Tucson/Pima County’s high technology development in comparison to competitive cities. · UAOED directed the establishment of the Arizona Center for Innovation to assist in the development of new high technology companies. AzCI began formal operations in September of 2003 at the University of Arizona Science and Technology Park. AzCI acquired and furnished offices, laboratory, and meeting space for its client companies and staff. Staff was hired, including a full-time executive assistant and three part-time business consultants. Thirty-seven potential client companies applied for admission and were interviewed. Five companies were admitted to the Center, including a UA student company. AzCI organized and hosted a monthly seminar series on business development for its clients and Tucson high tech companies. An advisory board of experienced entrepreneurs, venture capitalists, and economic development professionals was organized and held two meetings. A student incubator and intern program was designed and implemented. · UAOED has conducted the preliminary research on contract manufacturing in Mexico and the services available to Tucson/Pima County high technology companies. University of Arizona Technology Transfer Infrastructure UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 365,463 5,000,000 $ 5,365,463 $ 365,463 5,052,002 $ 5,417,465 $ 6,000,000 $ 6,000,000 $ 1,564,796 6,000,000 $ 7,564,796 $ 5,500,000 $ 5,500,000 $ 1,861,225 362,939 1,141,299 3,365,463 $ 219,326 89,007 1,544,336 1,852,669 $ 1,950,483 380,344 1,669,173 4,000,000 $ 2,747,486 648,137 2,019,173 5,414,796 $ 1,890,010 368,552 1,241,438 3,500,000 2,000,000 2,000,000 2,000,000 2,000,000 2,000,000 2,000,000 150,000 2,000,000 2,150,000 2,000,000 2,000,000 $ 5,365,463 $ 3,852,669 $ 6,000,000 $ 7,564,796 $ 5,500,000 *based on estimated overrealized revenue of $52,002 INITIATIVE OVERVIEW 51 University of Arizona Institute for Biomedical Science & Biotechnology The goals of the Institute for Biomedical Science and Biotechnology (IBSB) are to improve human health, nutrition, and agriculture, and to fuel economic development. In pursuit of its goals, IBSB is empowering researchers to do cutting-edge 21st century Biology, defined as multidisciplinary, integrative, quantitative, translational, and data-driven. The Institute is supporting research and education initiatives that address some of the most important, yet most complex, biological problems facing our society, including asthma, diabetes, cancer, the diminishing world food supplies, and degradation of our environment. New research initiatives in the molecular life sciences are being catalyzed, building on current strengths at the University of Arizona. Researchers applying state-of-the-art technologies uncover new knowledge. By promoting the transfer of this new knowledge to specific problems, the Institute is encouraging the development of significant new applications in medicine and agriculture, benefiting society and fueling economic development. Additional impacts on economic development include initiatives promoting entrepreneurship, training and educating the biotechnology workforce, and enhancing science literacy. 52 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY FY 2004 GOALS/OBJECTIVES (•)/2004 RESULTS AND ACCOMPLISHMENTS (o) University of Arizona Institute for Biomedical Science & Biotechnology IBSB met or exceeded its 2004 Goals/Objectives: • Increase the number of nationally recognized UA faculty. Five strategic hires are planned for the coming year: a chemoinformatics position in partnership with the College of Pharmacy and TGen; three positions in molecular immunology in partnership with the College of Medicine; one bioinformatics/computational biology hire in partnership with the College of Science and the computer science department. o In partnership with five colleges and eight departments, IBSB hired eight (and retained one) tenured or tenure-track faculty members; one was hired in partnership with TGen. • Increase federal grant funding at UA. o IBSB-supported faculty significantly exceeded performance measures, bringing $22,518,442 to campus in FY 2004. The Institute faculty successfully garnered several major interdisciplinary, multi-investigator awards including a program project grant of $4.5M (over 5 years) from NIH, and $9.7M (over 5 years) and $3.6M (over 3 years) from the NSF Plant Genome program; these three projects represent $6,160,253 in FY 2004 grants. • Continue development of campus proteomics technologies. o The newly hired Director of Proteomics implemented equipment purchases and the hiring of personnel to establish a state-of-theart proteomics facility, which has enabled multiple new research projects and new grant applications. This facility is collaborating and interfacing with 34 research groups in 15 units at UA and with faculty at TGen, ASU, and 10 other national and international institutions. • Develop a strategic plan for building bioinformatics and biostatistics capabilities on campus. o Strategic plans for increasing bioinformatics and biostatistics faculty and graduate training programs were developed and implementation begun. These two enabling technology areas were identified as crucial in the Battelle AZ Biosciences Roadmap. • Create a program to award seed money for pilot interdisciplinary research to facilitate applications for new federal program project grants and center funding. o A funding mechanism to support pilot interdisciplinary research projects was established. Thirty-two proposals were reviewed and 7 grants awarded (to be funded in FY 2005). • Create a fellowship program to enable faculty release time to pursue interdisciplinary research. Establish a visiting scholar and symposia program. o The first IBSB symposium was held in May 2004, and plans have been finalized to sponsor two additional symposia in FY 2005. On the advice of the IBSB Faculty Advisory Committee, the establishment of programs for faculty release time and visiting scholars was postponed. This program will be initiated once the new building is completed, enabling these faculty to interact more directly with IBSB faculty and state-of-the-art technologies in the new building. • Foster direct faculty participation in IBSB through the creation of panels to review and rate applications for the interdisciplinary program, faculty release program, and visiting scholar and symposia program. Rebuild and refocus a faculty advisory committee to energize collaborative and interdisciplinary research and graduate recruitment programs. o All of these panels and committees were formed and are performing their assigned tasks. • Promote biotechnology workforce development. Build connections with Arizona bioindustry to enhance job opportunities for life science graduates. Increase the number and quality of graduate training programs. Partner with industry to establish internships. UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY - Create and fund a program for IBSB graduate research awards. o Performance goals have been exceeded. 1) New connections with Arizona bioindustry have been established and prior interactions strengthened, resulting in new internship programs for life sciences graduate students. 2) Through IBSB campus-wide recruitment efforts, the number and quality of graduate students coming to the UA has increased. 3) Direct support to the professional masters program that trains biotechnology workers was provided, and a program for interdisciplinary graduate fellowship awards to PhD candidates was established. Six fellowships were awarded in FY 2004. 4) A website was launched that serves as a portal for accessing information on all life sciences graduate programs; IBSB sponsored multiple initiatives that enhanced recruitment of graduate students, including organizing a recruitment weekend. • Participate in industrial recruiting, outreach, and other economic development activities. o IBSB continues to be an active participant in local and statewide economic development and bioindustry cluster-building activities. Involvement included planning and execution of the state’s participation in the BIO2004 international convention, Arizona’s state bio expo, and board membership with the BioIndustry Organization of Southern Arizona (BIO-SA). IBSB maintained close ties with economic development partners: the UA Science and Technology Park, the Greater Tucson Economic Council, and the Arizona Department of Commerce. • Continue media and government relations activities to increase awareness of UA life science capabilities and Arizona bioindustrial development strategies. o A substantial amount of time was devoted to publicity and outreach efforts to media, industrial, and economic development partners. These include events such as BIO2004, a groundbreaking ceremony, media interactions and briefings, and participation in industry and academic events. An electronic newsletter, IBSB E-News, distributed quarterly to approximately 400 individuals statewide, was successfully launched. Of special mention: IBSB and BIO-SA produced four half-hour television programs showcasing local bio companies. PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL PROJECTED PROJECTED $1,447,470 $19,106,683 7 $12,641,087 $21,490,312 8 $2,964,600 $15,000,000 $25,000,000 5 $2,683,498 $22,518,442 $43,322,036 8 $2,611,498 2 $24,000,000 $40,000,000 5 $725,000 2 $25,000,000 $40,000,000 6 $0 2 $105,090 64 6 $150,000 60 10 $240,000 96 12 $240,000 90 12 $240,000 90 12 57 75 37 7 55 70 35 5 46 17 63 11 50 20 60 10 50 20 60 10 Return on Investment 1. 2. 3. 4. 5. (1) Federal grants received Research grants pending New faculty hired Research infrastructure support SBIR/STTR grants Economic Development Technology Transfer(2) 9. 10. 11. 12. Invention disclosures Licenses Patent applications Patents issued 2 2 1 53 University of Arizona Institute for Biomedical Science & Biotechnology 6. Corporate contracts 7. Industrial interactions 8. Industrial collaborations 54 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY Workforce Contributions(3) 13. 14. 15. 16. 17. Training grants Undergraduate degrees awarded Undergrads w/research experience(4) Graduate degrees awarded Graduate students enrolled 18. 19. 20. 21. Media coverage (6) Web enhancements Presentations/exhibits (7) Political outreach FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL PROJECTED PROJECTED 3 658 229 266 1,183 2 660 235 260 1,190 2 705 234 280 1,299 2 700 235 270 1,300 2 700 235 270 1,300 79/12 2 19 21 70/15 1 15 20 70/44 1 26 7 70/15 1 25 10 70/15 1 25 10 Promoting Life Science Potential (5) [1] dollars received from research grants in indicated fiscal year from NIH, USDA, NSF, DOE, etc. [2] data represent activity of all UA life science departments [3] data represent all UA life science departments [4] number of undergrads participating in formal research experience programs (UBRP, MARC, etc.) [5] newspaper, radio, TV stories/background briefings and presentations [6] IBSB website redesign and upgrade, design of life science graduate website [7] includes formal events and individual briefings, presentations FY 2004 NEW INITIATIVES AND ACCOMPLISHMENTS University of Arizona Institute for Biomedical Science & Biotechnology • The University conducted a nationwide search and hired a new Institute director, Vicki Chandler, beginning July 1, 2004. Dr. Chandler served as an interim Co-Director with Dr. Fernando Martinez from May 15, 2003, through June 30, 2004. • The Thomas W. Keating BioResearch Building, which will house IBSB administration, campus and statewide research support facilities, and approximately 30 research programs, is under construction. After a successful groundbreaking event in November 2003, construction on the 177,000 square-foot structure began in December and is on schedule for completion in December 2005. • A Business Advisory Board was established, which is composed of prominent bioindustry scientists, business, finance, and marketing experts. The Board has met twice and is advising the Director on a number of IBSB initiatives. • New initiatives to increase K-12 outreach were implemented. 1) Support was provided to help science teachers (statewide) implement biotechnology into their curricula and to expose science teachers to current research areas. 2) Financial support to the 2004 Arizona Regional Middle School Science Bowl was provided. The winner (Tucson Doolen Middle School) went on to win the national competition. 3) A Task Force was formed to assist with IBSB efforts to coordinate and enhance science and math outreach programs offered by UA life scientists. • A Life Sciences Faculty Database was implemented to facilitate communication between academic and bioindustry scientists regarding UA life sciences research and to enhance graduate student recruitment through the Graduate Studies in the Life Sciences website (also launched this year). A campus-wide committee was formed to assess the needs for enhancing bioscience education and research opportunities for undergraduate and graduate students at the UA; interactions and intern programs with Pima Community College were established. • Relationships were established with faculty and students within the Eller Business College, which will enable new initiatives to improve entrepreneurship efforts by life sciences faculty. UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY FY 2005 GOALS/OBJECTIVES IBSB will continue to work to accomplish its goals through its current initiatives and to establish new initiatives: • Efforts to increase the number of nationally recognized UA faculty will continue with five strategic hires planned for the coming year. • Efforts to increase federal grant funding at the UA will continue. IBSB will continue current programs and initiate new programs to enhance interactions across the UA campus and statewide to leverage competitiveness at the national level. IBSB will continue the funding program for pilot interdisciplinary research to facilitate applications for new federal program project grants and center funding. • Two new research initiatives will be launched to complement the current initiatives in Asthma and Agricultural Biotechnology, and implementation of the strategic plan for building bioinformatics and biostatistics will continue. Additional new initiatives will be launched to expand “enabling technologies” in support of campus and statewide research efforts; specifically, IBSB will work to establish a high throughput chemical screening facility and a mammalian functional genomics facility. These research and enabling technology initiatives will have significant potential to impact all of the key areas emphasized in the Battelle AZ Biosciences Roadmap including Cancer, Neurobiology, and Diabetes. To help oversee development of these initiatives, a Scientific Advisory Board, composed of scientists external to the UA, will be established. • Construction of the Thomas W. Keating BioResearch Building will be monitored, and assignments of the research programs and enabling technologies to the new building will be completed. • Interactions will continue to be enhanced among scientists on campus and statewide (academic and industrial) by sponsoring two cutting-edge research symposia and several workshops. • Continue to promote biotechnology workforce development. 1) Increase the number and quality of graduate training programs and expand interactions with Pima Community College. 2) Develop a campus-wide graduate student records database for the life sciences to facilitate training grant applications. 3) Expand industry partnerships to establish more student internships. 4) Continue funding IBSB interdisciplinary graduate fellowship program. 5) Partner with Eller Business School, the Office of Technology Transfer, and the Professional Masters program to develop new curriculum to meet bioindustry’s workforce needs. • Continue to interface with Arizona Bioindustry. 1) A program will be launched to enable IBSB to be a one-stop resource for connecting the statewide Arizona bioindustry with research interactions and training opportunities in the life sciences at the UA. 2) IBSB will continue support of and interactions with the BioIndustry Organization of Southern Arizona. • Continue to enhance and expand life science outreach activities. 1) Initiate the development of a Web-accessible database to enhance accessibility to the science and math outreach resources at the UA. 2) Partner with Flandrau Science Center to initiate planning of the life sciences and biotechnology aspects of the Rio Nuevo Science Center. • Continue media and government relations activities to increase awareness of UA life science capabilities and achievements and Arizona Bioindustry development strategies. • Develop programs in partnership with Eller College of Management and the Office of Technology Transfer to increase faculty interest and involvement in tech transfer, licensing, and protecting intellectual property. • Develop additional collaborations with sister universities, TGen, and other research institutions within the state. University of Arizona Institute for Biomedical Science & Biotechnology 55 56 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INTERNET TECHNOLOGY & COMMERCE INSTITUTE REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 1,526,929 4,200,000 $ 5,726,929 $ 1,526,929 4,243,681 $ 5,770,610 $ 4,100,000 $ 4,100,000 $ 911,133 4,100,000 $ 5,011,133 $ $ 4,002,128 567,720 1,157,081 5,726,929 $ 2,342,309 535,383 1,981,785 4,859,477 $ 2,318,700 452,100 1,329,200 4,100,000 $ 3,079,833 602,100 1,329,200 5,011,133 $ 2,167,300 422,600 1,810,100 4,400,000 - - - - - $ 5,726,929 $ 4,859,477 $ 4,100,000 $ 5,011,133 $ 4,400,000 4,400,000 $ 4,400,000 *based on estimated overrealized revenue of $43,681 INITIATIVE OVERVIEW The Internet Technology, Commerce and Design Institute is a virtual resource center for assembling ideas and planning for the information technology needs of the future. The primary goal of ITCDI is to create a unique multidisciplinary culture to (a) train Internet Technology and commerce leaders; (b) establish theoretical foundations for the practical understanding of Internet Technology and commerce; and (c) develop Internet-enabling technologies (software and hardware) to design, optimize, and manage Internet systems and their services. The ITCDI is a stimulus for the growth of Internet-related businesses, educational initiatives, workforce development, and university research opportunities. FY 2004 GOALS/OBJECTIVES University of Arizona Internet Technology & Commerce Institute Integrate skills and strengths of different colleges to fulfill the goals of the initiative Increase the number of Internet technology leaders trained Increase the number of classes offered in support of Internet technology Foster research working with external partners Develop more Internet-enabling hardware and software Stimulate growth of more Internet-related business through the further development of classes and programs UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INTERNET TECHNOLOGY & COMMERCE INSTITUTE PERFORMANCE MEASURES/DELIVERABLES FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL PROJECTED ACTUAL REVISED REVISED * 1 * 1 * 1 * 1 * 1 * 1 0 * 2 * 2 * 2 * 2 * 4 * 0 2 1 0 1 1 * 10 * * 10 * * 10 * * 10 * * 10 * * 10 * * 2 * * * * 0 69 30 236 250 300 25 50 100 100 100 100 50 100 150 150 200 300 5 5 5 5 5 20 0 0 0 0 50 75 P1 39 40 40 40 40 * * $120K $1.0M * * $234K $4.8M * * $500K $2.0M * * $1.3M $2.1M * * $2M $3.0M * * $2M $4.0M P1 P2 P3 P3 P4 P5 * Indicates metrics not yet estimable. These will be added in coordination with the Office of Economic Development's development of the system by which growth will be tracked and attributed in the University/Community Proposition 301 Technology Report. ** P1=design and development of expanded network infrastructure; P2=testing and launch; P3-5=maintenance. 57 University of Arizona Internet Technology & Commerce Institute Technology Transfer 1. Licensing revenues attributable to ITCDI 2. Number of ITCDI start-up companies 3. Numbers of patents filed attributable to ITCDI 4. Arizona-sponsored research Companies Relocating Number of relocated and retained 5. companies Workforce Contributions 6. Jobs attributable to relocation 7. Jobs attributable to start-ups 8. Jobs attributable to expansion 9. Number of new faculty experts attracted 10. New graduates from ITCDI-related programs 11. ITCDI graduates benefiting from minors in related areas 12. Undergraduates taking non-technical minor 13. Growth in ITCDI-related graduate enrollment 14. New graduates from Information Sciences Program Curriculum Innovations 15. Curriculum innovations program implemented Partnerships/Collaborations 16. Government project grants obtained 17. SBIR/SBTT grants obtained 18. Grants/contracts from industry 19. Value of sponsorships obtained Other 20. Network infrastructure upgrades** FY 2002 ACTUAL 58 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INTERNET TECHNOLOGY & COMMERCE INSTITUTE FY 2004 RESULTS AND ACCOMPLISHMENTS The Institute is pleased with the results of the collaboration of the five colleges that are principals in the effort (Engineering, Business, Science, Fine Arts, and Social/Behavioral Sciences). Some of the results for this year include: Research: Research activities during FY 2004 include: • The Intelligent Large Scale Sensing Systems Initiative • Full Spectrum, an audio workshop for blind musicians • Dual width instruction set processors • Aerial robotics • Center for applied spatial analysis • Sensor network test bed • Nanotechnology initiative • Task Specific Knowledge Sources for Intelligence Analysts • Rapid prototyping and 3D printing • Nano-Biomolecular computing • Computational linguistics • Southwest land, culture, and society information gateway • Natural language processing and speech recognition • Remote sensing and spatial analysis • Virtual reality • Autonomic computing • Using multiscale collaboration to support cross-scale scientific research • Processing data in an imperfect data bases • Motion capture • XML topologies for genomic applications Conferences: • Managing IT in networked environment • Human factors and IT • Digital Libraries conference • DHS/NSF/NIJ Intelligence and Security Informatics University of Arizona Internet Technology & Commerce Institute Programs and Classes: • Master's Degree in Library and Information Science • Interdisciplinary undergraduate minor in Information Technology & Society • Professional master's degree in Human Language Technology • Developing new certificate in Geographic Information Systems • CoS classes in embedded systems and mobile technology UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET INTERNET TECHNOLOGY & COMMERCE INSTITUTE Infrastructure: Significant network communications upgrades have been performed or are in progress in the College of Engineering, College of Science, and the College of Fine Arts. Much of this was an upgrade from 10mgb to 100mgb. Symposiums: Two collaboration symposiums were sponsored by the Institute this year. More than 30 participants who have projects funded by TRIF gave brief presentations to their colleagues and generated more cross-college collaboration. Advisory Board: The Institute’s advisory board is in place. Interns: The Institute provided 15 student interns to local businesses for a summer program. The interns were given assignments with seven local companies. University of Arizona Internet Technology & Commerce Institute 59 60 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET OPTICAL SCIENCE & TECHNOLOGY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 324,825 4,500,000 $ 4,824,825 $ 324,825 4,546,801 $ 4,871,626 $ 4,200,000 $ 4,200,000 $ 391,576 4,200,000 $ 4,591,576 $ $ 2,801,302 612,057 411,466 3,824,825 $ 2,195,760 492,654 791,636 3,480,050 $ 2,100,000 489,300 610,700 3,200,000 $ 2,203,640 605,906 782,030 3,591,576 $ 2,200,000 589,600 410,400 3,200,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 1,000,000 $ 4,480,050 $ 4,200,000 $ 4,591,576 $ 4,200,000 $ 4,824,825 4,200,000 $ 4,200,000 *based on estimated overrealized revenue of $46,801 INITIATIVE OVERVIEW This initiative is designed to support funding for a broad multidisciplinary effort in optical sciences in Southern Arizona that will be designated as the Optical Science and Technology Plan (OSTP). OSTP has profound implications for the New Economy of the state of Arizona. The three key elements of OSTP are: University of Arizona Optical Science & Technology Research and Technology Development: · The funding of research projects and/or gap funding to provide for prototyping and proof of concept regarding the following: o Photonics – novel nanocomposite materials, photonic components, optical communications devices, and systems sensing devices for chemical and biological hazardous elements o Imaging and Sensors – wide array of practical applications including ultraviolet and infrared sensors o Astronomical Instruments – new enterprises that define the next generation of optics for large telescopes in space as well as operation of new generation ground-based telescopes · Increase number of world-class faculty in Optics · Increase major Optics research projects UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET OPTICAL SCIENCE & TECHNOLOGY Workforce Development: · Partnership with Pima Community College and the University of Arizona to develop a new two-year certificate program for optical technicians to work in the optoelectronic and optomechanical areas · Expansion of graduate and undergraduate optics programs · UA educational programs to upgrade K-12 science education. Arizona high school teachers and students will be engaged in statewide continuing education seminars that will prepare teachers to teach optical science and conduct optics experiments in the classroom and will introduce students to various career opportunities with optical science education. · The Professional Masters Degree Program of UA melds practical science education in mathematics, physics, chemistry, biochemistry, and others to practical business application. · The Associates in Technology Program of UA’s Berger Entrepreneurship Program allows technical students to pair up with business students for one year of curriculum and application of new business development and technology development. · New short courses in optical science and technology will be developed at the UA specifically for industrial training purposes in the area of optical science and technology. These may be offered on a distance learning platform and can be delivered anywhere in Arizona. A novel approach using a Web-based text is currently under development on the campus and will be incorporated into the proposed courses. Technology Transfer and Outreach: · Faculty and staff will work closely with the University of Arizona’s Office of Technology Transfer and the Arizona Optics Industry Association to identify research products that have potential for technology transfer. Periodic meetings will be held between University of Arizona faculty and staff and industrial partners to identify venture capital opportunities and to keep the enterprise solidly on track in its developmental New Economy goals. · Increase licenses and spin-off companies in optics through the Office of Technology Transfer · Establish technology outreach programs · The Office of Technology Transfer and Berger Entrepreneurship Program offer a business plan development team to work with optics disclosed technologies. FY 2004 GOALS/OBJECTIVES 61 University of Arizona Optical Science & Technology The goal of this initiative is to support the development of optics and photonics in the New Economy in Arizona through enhanced research and development, workforce development, technology transfer, and outreach. Specific objectives include: · Increasing the understanding and visibility of optics throughout the university, community, and state; · Developing new programs for involving underrepresented students in science; · Developing new programs for university-industry collaborations in both research and workforce development; · Developing new research and development programs in important areas of optical technology; · Leveraging TRIF funding to generate additional funding from government and industry sources; · Enhancing the number of patents and start-up companies related to optics. 62 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET OPTICAL SCIENCE & TECHNOLOGY PERFORMANCE MEASURES/DELIVERABLES FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED 3 6 0 0 2 2 2 1 0 0 0 1 30 15 0 21 0** 0** 12 25 10 44 0** 0** 11 3 2 14* 2 2 2 2 1 11 1 1 Workforce Contributions 1. Recruit world-class faculty experts Technology Transfer 2. New spin-off companies in optics Curriculum Innovations Number of additional graduate students 3. in areas related to optics Number of additional undergraduate 4. majors in areas related to optics Partnerships/Collaborations Increase number of industrial affiliate 5. optics companies New federally funded major optics 6. projects * Photonics Affiliates ** The numbers of undergraduate and graduate students have grown so rapidly in the first three years of this program that we are at the limit for number of faculty and space available. We surpassed our goals for the five-year program. FY 2004 RESULTS AND ACCOMPLISHMENTS 1. 2. 3. 4. 5. 6. 7. Six patents were submitted with industrial partners. Eleven new multi-year grants and contracts were funded. A Photonics Workshop was held for local companies. Photonics was taught at Dine Community College on Navajo Reservation; NSF REU proposal was funded for Dine College. Significant increase in optics graduate students. Significant increase in optics undergraduate students. Increased size of optics industrial affiliates program. University of Arizona Optical Science & Technology UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET WATER SUSTAINABILITY PROGRAM REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL FY 2004 FY 2004 FY 2005 FY 2005 FY 2006 REV BUDGET ACTUAL ORIG BUDGET REV BUDGET REV BUDGET $ 95,320 2,000,000 $ 2,095,320 $ 95,320 2,020,801 $ 2,116,121 $ 2,300,000 $ 2,300,000 $ $ 1,405,659 284,140 405,521 2,095,320 $ 954,150 181,214 531,724 1,667,088 $ 1,615,900 315,100 369,000 2,300,000 $ 1,978,708 454,292 316,033 2,749,033 - - - - $ 2,095,320 $ 1,667,088 $ 2,300,000 $ 2,749,033 449,033 2,300,000 $ 2,749,033 $ $ $ 3,500,000 3,500,000 2,520,000 540,000 440,000 3,500,000 - $ 3,500,000 *based on estimated overrealized revenue of $20,801 INITIATIVE OVERVIEW The mission of the Water Sustainability Program (WSP) is to provide science-based technical, economic, legal, and policy expertise necessary for water development, use, and conservation in an increasingly urban state with sustained population growth. It is a university-wide collaboration of researchers and educators that is coordinated by four University of Arizona water centers. Stronger relationships across disciplines result in research innovations and interdisciplinary solutions to real-world problems in the state. Enhancing the sustainability and safety of Arizona’s water supply is critical to the state’s economic development and quality of life. 63 University of Arizona Water Sustainability Program The University of Arizona is internationally recognized for its expertise in water-related sustainability planning, research, and technology development. The WSP builds on these strengths to provide services within the state that enhance educational opportunities, sustain economic growth, and provide state-of-the art scientific information in support of water management activities. Key WSP initiatives include an internally competitive grants program focused on resolving Arizona-specific water issues; a joint water education and outreach program targeted at K-12 students, the general public, public policy-makers, and professionals; a student fellowship program; and the water centers' directed research, outreach, and education programs. Collaboration with government agencies and the private sector to provide direct dollar matches and in-kind contributions to support these initiatives is an important strategy to supplement TRIF funds and broaden program reach. 64 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET WATER SUSTAINABILITY PROGRAM FY 2004 GOALS/OBJECTIVES The fundamental goals of the WSP are to strengthen research, outreach, and education efforts in the water resource area at the University of Arizona to help ensure a sustainable, high-quality water supply for economic development and enhanced quality of life for all of Arizona. WSP is leveraging its strengths in academia, research, and local environmental technology industries to create several outcomes, including: practical education for grades K-12 to create general awareness of issues, problems, and career-related training; internationally recognized research and technology transfer initiatives; a thriving industry cluster, which includes both private sector and public center entities, supported by a skilled workforce that is educated at the University of Arizona; and stronger relationships across disciplines within the University of Arizona, which will result in research innovations to create new business initiatives. Water is essential to the health and well-being of local industries and its citizenry, and WSP activities can assist in ensuring the long-term availability of water in the state for industrial, municipal, and other uses. The connection of academia and industry through this initiative will result in the following outcomes: • hydrology and other academic programs will provide a high-quality workforce for water resources companies and agencies; • industry can provide the University of Arizona funding for future research projects and internships to give students real-world science experience; and • sponsored research projects and initiatives produce new technologies, which fuel growth and in some cases provide for new companies and therefore new jobs. PERFORMANCE MEASURES/DELIVERABLES FY 2002 ACTUAL FY 2003 ACTUAL FY 2004 PROJECTED FY 2004 ACTUAL FY 2005 REVISED FY 2006 REVISED 0 $400,000 $244,700 $88,000 * * $450,000 $250,000 $500,000 $250,000 $500,000 $250,000 1 * 1 * 1 1 * 1 3 1 * * * * 2 2 1 2 Return on Investment 1. Government project grants obtained 2. Additional funding obtained Technology Transfer 3. State-wide water conference 4. Patent applications** Companies Relocating/Economic Development 5. 6. 7. 8. Number of relocated research offices Jobs attributable to relocation Jobs attributable to expansion Number of new faculty recruited 1 9. Number of undergraduate employment/research opportunities 10. Number of graduate employment/research opportunities 11. Number of post-graduate employment/research opportunities 0 9 12 22 22 30 1 16 12 54 50 60 2 2 4 3 3 4 University of Arizona Water Sustainability Program Workforce Contributions UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET WATER SUSTAINABILITY PROGRAM FY 2002 FY 2003 FY 2004 FY 2004 FY 2005 FY 2006 ACTUAL ACTUAL PROJECTED ACTUAL REVISED REVISED - number number of trained of facilitators teachers trained/student 0 40 * 44 40 40 contacts 13. Interdisciplinary curriculum modules developed number of teachers trained/student 0 475/26,500 * 735/26,340 700/26,000 700/26,000 0 7 * 5 3 0 9/390 * 105/1,490 200/1,500 200/1,500 2 2 * 0 2 2 * * 75 30 30 Curriculum Innovations/Education 12. Expanded delivery of K-12 water education programs contacts 14. New rural water resources centers established Partnerships 15. New collaborations with institutions/industry * Indicates metrics not available ** New measure added FY 2004 RESULTS AND ACCOMPLISHMENTS In FY 2004, $2,000,000 in new TRIF funds were budgeted for the WSP. Of that, $1M was awarded to top UA researchers and staff across campus to conduct 20 Arizona-specific projects in water research, education, and outreach, selected through a competitive expert review process. The grants program drew considerable interest from state and federal agencies and the private sector, attracting over $300,000 in matching funds and in-kind contributions from 70 new partnerships. Funds supported 50 student positions. The WSP Student Fellowship Program awarded a total of $100,000 to outstanding graduate (4) and undergraduate (5) students to encourage and support their studies on Arizona-specific water issues. Implementation of the second round of the grants program to award $1.2M to 16 continuing, multi-year projects and 12 new projects, and selection of 9 outstanding students to receive fellowship awards totaling $100,000 in FY 2005 was accomplished. Planning for major water initiatives beyond FY 2005 was initiated. 65 University of Arizona Water Sustainability Program Joint Education and Outreach Program: • Establishment of a cohesive UA Water Information System by the development of the UA WaterWeb and associated targeted information products. A comprehensive WSP website is in place at www.uawater.arizona.edu, with links to all the water center activities. • Strengthened industry outreach through development of student-designed mobile technology displays, demonstrating key applications of cleanroom technology and industrial water reuse, and a major assessment of industry education/training/continuing education needs by direct contact, questionnaires, and focus groups. • Built hydrologic literacy through Project WET (Water Education for Teachers) that now has major training programs in Pima and Maricopa counties, with a trained facilitation network throughout the state. The facilitators train teachers to use hydrologic and water policy curricula and provide support materials. A highly successful Water Festivals Program is being significantly expanded within Arizona schools. In 2003-2004, new curricula for high schools and a summer camp for middle school students were developed. • Conducted a briefing specifically targeted at Arizona Legislators on water management in the state and overview of the Water Sustainability Program. 66 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET WATER SUSTAINABILITY PROGRAM Water Center Activities: Each Water Center receives direct funding to pursue interdisciplinary research, education, and outreach programs. Accomplishment highlights are listed. Center for the Sustainability of Arid and Semi-Arid Hydrology and Riparian Areas (SAHRA) - water sustainability • Development and submission of patent applications for 2 devices and application software used for precise water sensoring in research and industry, derived from ongoing research to disaggregate water demand patterns. • Measurement of the impacts of the proximity to and quality of riparian habitat on home values. • Determination of opportunities and obstacles of domestic water reuse. Engineering Research Center for Environmentally Benign Semiconductor Manufacturing (ERC) - water use and reuse for the semi-conductor industry • Collaboration with microelectronics firms on water use optimization and low-water rinse technologies. • Joint project work with ASU on the development of low-water wafer cleaning that uses 85% of the water in IC industry. • Development of a new low-energy water purification method for removing organics and hardness-causing species. Water Quality Center (WQC) - water security and human pathogen detection • Developed a data set showing pathogen inactivation in household water lines via point-of-use devices. • Developed a data set showing limited transport of human pathogens via bioaerosol. Water Resources Research Center (WRRC) - outreach and education on critical water issues; expertise on state and regional water management and policy • Annual statewide water conference, Spring 2004, entitled, "The Future of Agricultural Water Use in Arizona," attracting 250 participants (elected officials, water professionals, university and government agency personnel, citizens). • Study and presentation on the role of the public sector and private enterprise in providing water to Arizona's communities. • Initiated a study on environmental restoration projects in Arizona. • Delivery of numerous briefings, presentations, workshops, articles, columns, interviews, with media coverage, on water management and policy, to diverse audiences. University of Arizona Water Sustainability Program ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-2006 BUDGET SUMMARY FY 2004 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Arizona Regents University Regents Innovation Fund Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET FY 2004 ACTUAL 2,123,392 3,205,000 5,328,392 $ 255,874 61,161 141,605 458,640 $ $ FY 2005 ORIG BUDGET 2,123,392 3,247,764 5,371,156 185,658 37,652 13,272 236,582 $ $ $ FY 2005 REV BUDGET FY 2006 REV BUDGET 3,315,000 3,315,000 $ $ 200,000 50,000 400,600 650,600 $ $ 2,120,301 3,315,000 5,435,301 326,512 72,507 449,081 848,100 $ $ 3,431,000 3,431,000 220,000 55,000 404,100 679,100 3,420,552 1,449,200 4,869,752 5,328,392 2,043,178 971,095 3,014,273 3,250,855 1,664,400 1,000,000 2,664,400 3,315,000 3,279,959 1,307,242 4,587,201 5,435,301 1,751,900 1,000,000 2,751,900 3,431,000 - - - - - $ 5,328,392 $ 3,250,855 $ 3,315,000 $ 5,435,301 $ 3,431,000 SUMMARY BY INITIATIVE Arizona Regents University Regents Innovation Fund $ 3,805,657 1,522,735 $ 2,219,428 1,031,427 $ 2,315,000 1,000,000 $ 3,930,559 1,504,742 $ 2,431,000 1,000,000 EXPENDITURES GRAND TOTAL $ 5,328,392 $ 3,250,855 $ 3,315,000 $ 5,435,301 $ 3,431,000 67 ABOR Central Office Summary EXPENDITURES GRAND TOTAL 68 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 BUDGET / ACTUAL SUMMARY FY 2004 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE $ $ $ All Other Operating Subtotal Operating Budget GRANTS/PROJECTS Arizona Regents University Regents Innovation Fund Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 ACTUAL 2,123,392 3,205,000 5,328,392 $ 255,874 61,161 $ $ FY 2004 CENTRAL OFFICE ACTUAL TRIF EXPENDITURES (in millions) 2,123,392 3,247,764 5,371,156 185,658 37,652 141,605 458,640 13,272 236,582 3,420,552 1,449,200 4,869,752 5,328,392 2,043,178 971,095 3,014,273 3,250,855 - - 5,328,392 $ Arizona Regents University $2.2 68% 3,250,855 Regents Innovation Fund $1.0 32% ARU (in thousands) Nursing $125 Other 6% $43 2% Campus Coord $95 4% SUMMARY BY INITIATIVE $ EXPENDITURES GRAND TOTAL $ 3,805,657 1,522,735 $ 5,328,392 $ 2,219,428 1,031,427 3,250,855 Nursing Prog $100 10% TUTOR Link $68 3% ARU Evaluation $65 3% MEng $250 11% Info Tech Collab $278 27% Operating $41 4% Arizona Biomed Collab $85 8% Learner Centered Ed $527 51% ABOR Central Office Summary Arizona Regents University Regents Innovation Fund Elec Library $1.301 59% Scholars Operating Portal $176 $96 8% 4% REGENTS INNOVATION FUND (in thousands) ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ARIZONA REGENTS UNIVERSITY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget GRANTS/AID TO OTHERS: Tri-University Master of Engineering Tri-University Electronic Library ARU Campus Coordinators Salary, ERE UA Nursing PhD ASU & NAU RN to BSN Scholars Portal Math & Science Teacher Preparation APASC/ATASS Partnership Tri-University Online Tutoring Resource (TUTOR) Link Web Development Research Survey Focus Groups ARU Consultants New Programs Subtotal Grants/Aid to Others TOTAL OPERATING BUDGET EXPENDITURES GRAND TOTAL 1, 2, 3 notations reflect year of grant funding FY 2004 ACTUAL $ 1,600,657 2,205,000 $ 3,805,657 $ 1,600,657 2,234,330 $ 3,834,987 $ 2,315,000 $ 2,315,000 $ 1,615,559 2,315,000 $ 3,930,559 $ $ $ $ $ $ 200,000 50,000 135,105 385,105 FY 2005 ORIG BUDGET 138,213 27,580 10,457 176,250 3 FY 2005 REV BUDGET 200,000 50,000 400,600 650,600 FY 2006 REV BUDGET 2,431,000 $ 2,431,000 200,000 50,000 400,600 650,600 220,000 55,000 404,100 679,100 250,000 147,400 100,000 200,000 95,500 delayed 75,497 67,800 115,000 49,000 2,320,355 3,420,552 3,805,657 250,000 1,301,456 94,564 125,000 95,500 delayed 67,800 1,450 42,000 65,408 2,043,178 2,219,428 - - - - - $ 3,805,657 $ 2,219,428 $ 2,315,000 $ 3,930,559 $ 2,431,000 2 2 2 151,106 200,000 195,800 250,224 68,600 798,670 1,664,400 2,315,000 3 3 2 3 151,106 100,000 200,000 195,800 250,224 68,600 115,000 161,981 2,037,248 3,279,959 3,930,559 3 3 3 2 3 151,106 250,224 1,350,570 1,751,900 2,431,000 3 69 ABOR Central Office Arizona Regents University CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET FY 2004 BUDGET 70 ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ARIZONA REGENTS UNIVERSITY INITIATIVE OVERVIEW Arizona Regents University (ARU), from its statewide perspective, can combine areas of strength within each of the state universities to make available unique programs that represent multi-university efforts and capabilities. · Create educational opportunities that can be delivered to new populations of potential students, including those in rural areas or who are place-bound and/or time-bound; and those with physical disabilities that prevent residence on campus; · Minimize the price of education by reducing the need for a student residence near a campus and by reducing interruption of an individual's paid employment; and · Emphasize areas of study that support lifelong career advancement. FY 2004 GOALS/OBJECTIVES 1. To expand access to postsecondary education to Arizona citizens by overcoming barriers to time and place at an affordable cost. 2. To support anytime, anyplace academic degree programs, articulation, and seamless student services. 3. To implement two consultant studies to provide guidance in the development of online student services and identification of the path for the long-term growth and structure of Arizona Regents University. PERFORMANCE MEASURES/DELIVERABLES FY 2002 ACTUAL FY 2003 ACTUAL FY 2004 PROJECTED FY 2004 ACTUAL FY 2005 PROJECTED FY 2006 PROJECTED 0 $89,070 520 1,471 573 1,531 1,715 1,852 9 / 14 12,353 $1,378,394 13 / 24 35,616 $1,760,328 13 / 16 16,330 $1,500,000 20 / 23 40,761 $1,169,162 20 / 24 42,799 $1,500,000 21 / 25 44,939 $1,500,000 not available 6 6 9 10 11 not available 400 412 437 450 475 Return on Investment Funds leveraged Workforce Contributions Curriculum Innovations Number of coordinated student services provided Number of faculty offering distance learning courses ABOR Central Office Arizona Regents University Number of courses provided Number of certificate and degree programs provided Number of enrollments Grant funds distributed to universities ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ARIZONA REGENTS UNIVERSITY FY 2004 RESULTS AND ACCOMPLISHMENTS Arizona Regents University continues to develop student services and academic programs that address Arizona’s workforce development needs. Since June 2001, ARU grant commitments, university memberships, and consulting services exceed $4.25M. During FY 2003-04, ARU distributed over $2M in grant funds to develop projects in academic program development and student services for the distance learner. The number of student registrations in distance learning programs has grown to over 40,000; and the number of individual distance learning courses offered has increased to 1,531. Much of this growth is the result of rapidly increasing interest in flexible and accessible web-based learning. Both on-campus and distance students are taking advantage of the web-based courses being offered. Two consulting firms were engaged in 2004: -- WCET to evaluate university online student services -- Hezel Associates to develop a roadmap for ARU for the next 5 and 10 years The results of these studies are expected by October 2004. The Tri-University Master of Engineering (MEng) program expanded the number of focused study areas in response to corporate needs. MEng also launched a brand marketing and enrollment campaign in June 2004. The brand marketing campaign included the development of a new brand image, the development of positioning lines, and a program name change to Master of Engineering Partnership (Partnership). To further promote brand identity, a new logo was designed, the Partnership website was redesigned, promotional materials were developed, and an enrollment campaign was launched at the start of FY 2005. A collaborative plan to positively influence the state’s critical shortage of nurses includes an expanded RN to BSN program and a nursing PhD program to increase the number of qualified university nursing faculty. The PhD program has developed 19 online courses, which are incorporated into a new learning management system, Desire2Learn. A web portal was designed and built to accommodate the PhD program (courses, research activities, support systems, etc.) and give students a "sense of place." The ASU and NAU RN/BSN programs are discussing courses that can be shared between institutions. NAU staff met with students from the five community colleges who are members of the Healing Community and attended career fairs at Maricopa, Yavapai, and Pima Community Colleges. Over 200 potential students expressed an interest in the program and requested additional information. This information was sent and transcripts requested. At ASU, four remaining online courses will be completed during the Fall 2004 and Spring 2005 semesters. Teacher education has also been identified as a critical workforce development area. ARU funded a Tri-University online secondary math and science teacher certification program, which begins in Fall 2004. A comprehensive website has been developed for the program, hosted by NAU. Recruitment efforts are underway. Supporting the programs identified above are a number of online student services that make distance learning a viable alternative to the traditional educational process. These services include online registration for MEng courses, an online library program called Scholar’s Portal, and a separate ARU website that now provides information about registration and lists the available programs and courses. An ARU Campus Coordinator is physically located at each of the universities to assist the distance students and address their individual needs. 71 ABOR Central Office Arizona Regents University The university libraries purchased nearly 3,000 digital books and online professional journals and monographs, expanding the digital accessibility of library resources to distance learning students, as well as enhancing library resources for campus-based students. 72 ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005-06 BUDGET ARIZONA REGENTS UNIVERSITY Research has been conducted, through the use of focus groups, to identify strengths and weaknesses in the student services being provided to the distance student. Research is ongoing to identify new areas of workforce development needs and provide the data to help identify future funding priorities. ARU now consists of two full-time people to support, coordinate, and monitor the progress of programs and services being offered. ARU operating and personnel expenses represent only 7% of the total ARU funding with the rest being dedicated to projects and programs that support the universities and the distance learner. Projects currently under consideration for ARU funding during FY 2004-05 include the following: ASU College of Nursing proposes an online Nurse Educator (NED) Certificate program that will address a severe shortage of nurse educators prepared to teach nursing in practice settings, community college, baccalaureate and master's programs. The courses in the certificate program provide a foundation for nursing PhD students and can apply to the Master of Nursing degree. Two of the courses were taught over the past two summers. Students are enthusiastic and look forward to the new courses focused on technology and web-based instruction. Once the program is online, it should be selfsustaining through student enrollments and adjustment of faculty teaching loads. Phase II of the web design project will include interactive applications and additional resources to support distance learning. Specific areas for development will be identified by the WCET consulting report. A Tri-University proposal by the libraries to offer learning objects to online programs in nursing, engineering, and teacher preparation is being developed. A continuation of the research project to identify future areas of learning need, focusing on business and healthcare, and to survey current students to specify needed student services. ABOR Central Office Arizona Regents University ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND SUMMARY REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget FY 2004 FY 2004 FY 2005 REV BUDGET ACTUAL BUDGET $ $ $ GRANTS/PROJECTS: Learner Centered Education Arizona Biomedical Collaborative for Education and Research Information Technology Collaborative Expansion of Nursing Programs Changing Directions TRIF Program Evaluation Arizona University System Redesign Study Academic Program Management System To be determined Subtotal Grants/Projects TOTAL OPERATING BUDGET EXPENDITURES GRAND TOTAL EXPENDITURES GRAND TOTAL $ 55,874 11,161 6,500 73,535 $ $ 807,772 76,109 280,000 100,000 60,319 125,000 522,735 1,013,434 1,536,169 $ 47,445 10,072 2,815 60,332 $ $ 514,212 79,130 277,787 99,966 - 1,449,200 1,522,735 504,742 1,000,000 1,504,742 126,512 22,507 48,481 197,500 777,060 250,000 154,000 15,000 111,182 1,307,242 1,504,742 971,095 1,031,427 $ 1,522,735 $ 1,031,427 $ 1,504,742 $ 824,272 100,000 280,000 100,000 60,319 125,000 $ 527,189 84,760 277,787 99,966 694 - $ 793,560 250,000 180,000 33,144 $ 1,522,735 110,000 20,000 40,000 111,182 41,031 $ 1,031,427 $ Note: The Regents Innovation Fund was established to address emerging opportunities and contingencies. Consistent with this intent, a detailed budget has not yet been developed for FY 2006. The total amount of the Innovation Fund budgeted for FY 2006 is $1 million. 1,504,742 73 ABOR Central Office Regents Innovation Fund Summary SUMMARY BY INITIATIVE Learner Centered Education Arizona Biomedical Collaborative for Education and Research Information Technology Collaborative Expansion of Nursing Programs Changing Directions TRIF Program Evaluation Arizona University System Redesign Study Academic Program Management System Operating To be determined 522,735 1,000,000 1,522,735 74 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Learner Centered Education REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget FY 2004 FY 2004 FY 2005 REV BUDGET ACTUAL REV BUDGET $ $ $ GRANTS: FY 2005 LCE Grants FY 2004LCE Grants FY 2003 LCE Grants FY 2002 LCE Grants Subtotal Grants TOTAL OPERATING BUDGET $ 9,400 1,600 5,500 16,500 $ $ 500,000 282,198 25,574 807,772 824,272 CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL 307,772 516,500 824,272 824,272 $ 9,365 1,491 2,121 12,977 $ $ 247,367 282,199 (15,354) 514,212 527,189 $ 307,772 516,500 824,272 527,189 9,400 1,600 5,500 16,500 483,500 252,634 (1) 40,927 777,060 793,560 $ 293,560 500,000 793,560 $ 793,560 The purpose of the LCE grants is to support the Regents' goal of institutionalizing learner-centered education throughout the university system. The grants provide a source of support for new, innovative academic projects and unforeseen, short-term needs that fall within the framework of learnercentered education. The grant cycle runs for 18 months, from January 1 through June 30 of the following year. Final reports for the grants awarded in January 2003 are due by July 31, 2004, and by July 31, 2005, for grants awarded in January 2004. The deadline for submitting proposals from the 2005 cycle is October 12, 2004. ABOR Central Office Regents Innovation Fund Learner Centered Education FY 2004 INITIATIVE OVERVIEW ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Learner Centered Education FY 2004 GOALS/OBJECTIVES Grants are solicited in four categories considered critical to the full implementation of learner-centered education throughout the university system: Faculty professional development Course/program modification or development Research on learner-centered education Improved assessment of learner-centered education at the course or program level Priority is given to proposals that are collaborative across campuses and among the universities. FY 2004 PERFORMANCE MEASURES/DELIVERABLES Curriculum Innovations 1. Number of courses modified to LCE focus 2. Faculty addressing curriculum through LCE grants FY 2002 Cycle FY 2003 Cycle* FY 2004 Cycle ** FY 2005 Cycle ACTUAL PROJECTED PROJECTED PROJECTED 95 188 114 53 107 100 80 70 14,000 6,000 6,000 5,000 Workforce Contributions 3. Students affected by LCE grant projects * Final reports due July 31, 2004. **Final reports due July 31, 2005. FY 2004 RESULTS AND ACCOMPLISHMENTS 71 proposals were submitted for the 2004 grant cycle, 15% more than the previous year. 16 were approved for funding. 75 ABOR Central Office Regents Innovation Fund Learner Centered Education Generally, the requests for funding fell in the lower funding range, compared to the previous year. As a result, awards for $25,000 or less make up 75% of the awards, compared to 40% in 2003. There was one tri-university award for the maximum amount of $100,000. Projects are funded from January 2004 through June 30, 2005. Approximately half of the funds were released during FY 2004. The remainder will be released during FY 2005 upon receipt of the progress reports required of each grantee on or before December 14, 2004. To date, it is estimated that with the 2002 cycle complete and the 2003 cycle just finishing, more than 200 faculty have developed or redesigned nearly 200 courses using LCE methods and approaches, involving approximately 20,000 students during the life of these grants. As these courses continue, more students will be impacted each semester. 76 Regents Innovation Fund 2004 LCE Grant Awards LCE Project Title Project Summary ASU Indigenous Geology: Development and Assessment of a Culturally-Resonant, Place-Based Model of Geology Education for American Indian PreService Teachers Assessing and Evaluating Learning Outcomes in Traditional, Hybrid, and Online First-Year Composition Course Design, development, implementation, assessment, and dissemination of an introductory undergraduate geology course that integrates culturally-responsive and place-based content and pedagogy, to enhance its relevance and interest to American Indian students in Arizona, principally pre-service teachers. $25,000 Assess and evaluate student success rates in traditional, hybrid, and online English 101 (First-Year Composition) courses at ASU. The study will use several assessment instruments to collect data that will be used to compare the effectiveness of face-to-face courses (traditional), hybrid courses, and online courses in meeting student-centered outcomes. $24,999 ASU Developing and Promoting LearnerCentered Instruction Through Science and Engineering Based Projects in Precalculus and Introductory Calculus Mathematics, Engineering, and Science faculty will collaborate to develop learnercentered modules for use in precalculus and beginning calculus, two large enrollment undergraduate courses. The modules will provide instructional support materials for teachers, problem-based activities for in-class group work, and take-home team design projects to promote students' further exploration and mathematical analysis of a problematic situation. $49,691 NAU The Virtual Environmental Learning Space: Phase II Build a Virtual Electronic Learning Space (VELS) that will move ecological science education at NAU into the 21st century by greatly enhancing learning experiences, exploring a novel integration of the research and learning communities, and promoting the development of interdisciplinary course content. $25,000 NAU Video-Based Learning Modules Create video-based learning modules. By enhancing curriculum with interactive video streaming, we will build a learner-centered environment that allows the pre-service teacher to experience some of the pressures, constraints, and systems of support that can influence curriculum construction and delivery. Students will become more actively engaged in the culture of the classroom where decisions are made quickly with immediate consequences, linking practice to theory as students interact in the virtual classroom. $19,738 NAU WeBWork in the Calculus Curriculum Improve student mathematical learning in the Calculus sequence by using the WeBWork online homework system. WeBWork will be piloted in the Spring 2004 semester in some sections of Calculus and more extensively implemented during the 2004-2005 academic year. $18,675 NAU Developing Scholar-Teachers in Doctoral Education: A LearnerCentered Approach Develop a one-credit professional development course whose goal is to incorporate structured apprenticeship into the role of scholar-teacher in the regular course of doctoral studies in the Applied Linguistics PhD Program at NAU. $17,000 ASU Grant Award ABOR Central Office Learner Centered Education University Regents Innovation Fund 2004 LCE Grant Awards University LCE Project Title Project Summary Grant Award Discovering Genetics: A LearnerCentered Undergraduate Laboratory Course Modify, implement, and institutionalize a discovery-based undergraduate laboratory course in genetics. Students design, conduct, and report (written and oral) original genetic research using a simple microorganism. Funds are requested for production of a formal laboratory manual and associated website, and for development of tools for assessing student performance as well as the achievement of broader course objectives. Discuss ways in which comparable learner-centered discovery-based laboratory courses could be developed in a variety of disciplines. $24,572 UA A Digital Self-Tutorial for Piano and Music Study Develop an interactive instructional CD-ROM that will facilitate a learner-centered approach to study of the piano and music through studied linking of the performance of a musical composition with a graphic representation of the musical score. The project is defined in three stages, all enhanced by user assessment and feedback: design of a prototype with one piano piece, which will then be field tested and assessed; using assessment data, develop remaining eleven compositions; revise, based on evaluation and assessment results. $24,999 UA Learner-Centered Mathematics Education for Pre-Service Teachers Develop three strategies to educate prospective teachers to create an effective teaching force: focus on the mathematics of children's thinking; incorporate technology into the course which will encourage discussion and promote discovery learning in geometry; and conduct a professional development workshop for new instructors of the courses to help them foster learner-centered environments. $19,430 UA A Web-Based Simulation Environment Development of a web-based simulation environment for a course on the chemistry and for a Learner-Centered Surface physics of solid surfaces. The centerpiece of this project is to build simulations that Science Course contain components, which are reversible in conceptual understanding. The simulation components can be run in the forward direction to build new knowledge as well as run in reverse to review or relearn the basic science concepts that provide the underpinning for the simulation. $22,000 UA Improving Communication and Information Access within the Community Environmental Leadership Program Enhance the experiences of the student and faculty participants in the interdisciplinary Community Environmental Leadership Program (CELP) by developing a common base from which students from various campus departments can continue to work together through ongoing community-based environmental projects and can build successfully on the work of students who came before them. $25,000 UA A Shared Advisor Model for Undergraduate Pharmacy Students Conducting Research Develop a shared advisor model of coaching undergraduate students doing research projects that is more effective and efficient than the graduate student model so that the research experience can be offered to classes that are 100 to 125% larger than current classes. The strategies include the development of an instructional website, offering justin-time workshops, recruiting additional community-based advisors, and offering support to advisors. $24,722 77 ABOR Central Office Learner Centered Education NAU 78 Regents Innovation Fund 2004 LCE Grant Awards University LCE Project Title Project Summary Grant Award Improving Student Centered Learning: Proposed project is to build upon the initiatives funded in last year's proposal to improve Mentoring and Language Support Labs assessment of learning outcomes at the course and program level within the Business Communication Program. The sustainability of this project rests on the final development of support labs that will provide the program with the necessary support to continue delivering the cycle of diagnostics now in place, as well as to respond to the data gathered in preliminary research indicating the need for earlier intervention to offset deficient student skill base. ASUW/NAU A Collaborative, Portable, LearningContinuation of a collaborative, portable, learner-centered, 34-credit hour Master of Centered, 34-credit hour Master of Social Work (MSW) degree program. This proposal seeks funding to help continue the Social Work Degree Program program through graduation of the current 27 student cohort. $24,991 The intent of the project is two-fold: (1) To develop a critical mass of faculty who will engage collaboratively in the study of learner-centered instructional practice, apply what they learn, assess the impact of what they learn, and share their learning with other faculty; and (2) for those faculty to develop and implement an LCE advocacy plan for each of their campuses that will ultimately bring faculty and institutional culture to actively embrace more learner-centered approaches to college education. $99,997 TOTAL GRANTS FUNDED $495,331 Develop and test a "tutorial" approach to instruction that requires students in large enrollment astronomy course to work in small collaborative learning groups and complete carefully designed tasks that focus on fundamental and notoriously challenging scientific concepts, according to the principles of learner-centered education such that faculty can easily and effectively implement these materials. $24,996 UA Tri-U Tri-University Collaboration on LearnerCentered Practice: Creating Learning Communities Among Faculty and Students $49,517 ALTERNATES Development of Learner-Centered Education (LCE) Tutorials for LargeEnrollment Astrobiology Courses UA Project ProPEL: Promoting PreBegin professional development of Pre-Education students in their freshman and Education Learners at the University of sophomore years, as they complete General Education courses. Through cohort groups Arizona of Pre-Education students and faculty, the project will provide academic support, mentoring, and school-based teaching experiences that allow individuals to maximize communication skills, subject area knowledge, and talents for teaching. $30,000 Profiles for Success: Providing Individual Self-Regulated Learning Feedback $17,000 NAU Support the continuation of a research agenda that has been investigating SelfRegulated Learning (SRL) concepts of students enrolled in online MEd in Educational Technology (MEd in Ed Tech) degree program in NAU's COE. The proposed study investigates how individualized feedback on motivation, cognitive, and metacognitive learning strategies aspects, which are foundational to LCE, affect student learning. TOTAL ALTERNATE FUNDS $71,996 ABOR Central Office Learner Centered Education UA ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Arizona Biomedical Collaborative for Education and Research REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Ayers/Saint/Gross, Inc. Ryden Architects, Inc. To be determined Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 FY 2005 REV BUDGET ACTUAL BUDGET 100,000 100,000 19,909 3,982 23,891 $ $ $ 100,000 100,000 $ 4,540 1,090 5,630 $ $ 250,000 250,000 - 23,000 53,109 76,109 100,000 14,030 65,100 79,130 84,760 250,000 250,000 250,000 - - - 100,000 $ 84,760 $ 250,000 Funding was provided for completion of General Site Assessment Studies on three historic buildings owned and offered by the City of Phoenix, adjacent to the Translational Genomics Research Institute (TGen) site, for use by the Arizona Biomedical Collaborative for Education and Research (UA, ASU, and NAU). 79 ABOR Central Office Regents Innovation Fund Arizona Biomedical Collaborative FY 2004 INITIATIVE OVERVIEW 80 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Arizona Biomedical Collaborative for Education and Research FY 2004 GOALS/OBJECTIVES Phase II will provide funding for additional planning for renovation of the three buildings, including: 1. Finalize Renovation Feasibility Study 2. Finalize Tri-University Utilization of Site Study 3. Identify funding sources for renovation and new construction 4. Complete Master Plan for site FY 2004 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Site analysis and cost estimate 2. Building utilization and occupants defined 3. Master Plan for site FY 2004 FY 2004 REVISED ACTUAL Completed Completed Completed Completed Completed Completed TBD Ongoing Completed Execute IGA Ongoing Completed Curriculum Innovations 4. Potential for tri-university medical classes and research Partnerships/Collaborations 5. Collaborative effort with three universities 6. Collaborative effort with City of Phoenix FY 2004 RESULTS AND ACCOMPLISHMENTS An Intergovernmental Agreement (IGA) between ABOR and the City of Phoenix was signed in February 2004. The IGA established the terms under which the universities would renovate, lease, and occupy the historic buildings on the former Phoenix Union High School site. The design team and construction manager at risk for the new ABC Building One are developing the documents necessary for a guaranteed maximum price prior to the Project Implementation Approval request to the Board anticipated for January 2005. ABOR Central Office Regents Innovation Fund Arizona Biomedical Collaborative Development/Finance proposals for the renovation of historic buildings #1 and #3 are currently being reviewed, with a final decision expected by September 1, 2004. The selection of the design team and construction manager at risk will follow soon thereafter to establish a guaranteed maximum price that can be translated into a contract with a specific lease cost for Board approval in November 2004. Construction is expected to begin in January 2005, with occupancy scheduled for January 2006. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Arizona Biomedical Collaborative for Education and Research FY 2005 INITIATIVE OVERVIEW Funding will be provided to support preliminary design concepts for ABC facilities at the former Phoenix Union High School site in downtown Phoenix. FY 2005 GOALS/OBJECTIVES Specific goals and objectives for this project will be developed as proposals are brought forward by ABC. FY 2005 FY 2005 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Specific measures to be determined. PROJECTED TBD Curriculum Innovations 2. Planning for tri-university research Completed Partnerships/Collaborations 3. Collaborative effort with universities 4. Collaborative effort with City of Phoenix Ongoing Ongoing ABOR Central Office Regents Innovation Fund Arizona Biomedical Collaborative 81 82 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2004 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Security Assessment of Tri-University Network and Server Environment Tri-University Access Management System Recovery Software Application To be designated Subtotal Grants/Projects TOTAL OPERATING BUDGET EXPENDITURES GRAND TOTAL $ 114,963 165,037 280,000 $ - $ $ FY 2005 BUDGET 114,963 165,037 280,000 - $ $ $ 180,000 180,000 25,000 1,000 26,000 - 9,787 - - 268,000 - 280,000 280,000 280,000 277,787 277,787 154,000 154,000 180,000 - - - 280,000 $ 277,787 $ 180,000 FY 2004 INITIATIVE OVERVIEW The Arizona Auditor General has recommended that the Board of Regents exercise more oversight of university information technology. An IT project approval process and extensive reporting requirements for IT expenditures are now in place. Collaborative IT projects that can improve service and/or result in cost savings hold ongoing particular interest to the Regents. Numerous possibilities exist for the efficient and effective use of seed money, including the continued use of consultants to develop an architecture for planning future IT development. Other examples include research into joining National LambdaRail and various other IT projects at the three universities. ABOR Central Office Regents Innovation Fund Information Technology Collaborative CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET FY 2004 ACTUAL ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2004 GOALS/OBJECTIVES 1. Acquisition of Network Access Management application which safeguards computers against viruses and malicious internet damage, ensuring that all computers requesting access to a network have all necessary anti-virus software and current operating system security patches loaded. 2. Development of an Information Technology Architecture facilitates the application of IT to university initiatives and projects. Its goal is to aid in the efficient and effective implementation of technology on our campuses by describing a direction for current and future IT activities, supported by underlying principles, standards, and best practices. FY 2004 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Network Access Management Acquisition 2. Information Technology Architecture Development 3. Partnerships/Collaborations among the three universities FY 2004 FY 2004 PROJECTED ACTUAL Completed Completed Completed Completed Completed Completed FY 2004 RESULTS AND ACCOMPLISHMENTS 1. Acquisition of Network Access Management application to safeguard computers and university networks was completed. Board approval was obtained in April 2004. 2. The Tri-University Architecture document will remain highly flexible to accommodate the ever-changing nature of IT. Its goal is to aid in the efficient and effective implementation of technology on our campuses, supported by underlying principles, standards, and best practices. It will further facilitate tri-university collaboration efforts by establishing a common vision for the future of IT on our campuses. The use of technology is a large and growing element of the universities' environment and overall expenditures. Arizona’s universities collectively are interested in increasing service quality and saving money through the best possible use of IT. FY 2005 INITIATIVE OVERVIEW FY 2005 GOALS/OBJECTIVES Goals and objectives will be provided when final IT projects are selected. FY 2005 FY 2005 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Performance measures will be provided when final IT projects are selected. PROJECTED TBD Partnerships/Collaborations 2. Performance measures will be provided when final IT projects are selected. TBD 83 ABOR Central Office Regents Innovation Fund Information Technology Collaborative An IT project approval process and extensive reporting requirements for IT expenditures are now in place to facilitate Board oversight of university IT projects. Collaborative IT projects that can improve service and/or result in cost savings continue to be of particular interest to the Regents. Numerous possibilities exist for the efficient and effective use of seed money, such as the continued use of a consultant to develop an architecture for planning future IT development at the three universities. $26,000 has been set aside for this purpose in FY 2005. 84 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND . Expansion of Nursing Programs REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: ASU NAU UA Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 REV BUDGET ACTUAL 100,000 100,000 $ - $ $ 100,000 100,000 - 33,333 33,334 33,333 100,000 100,000 33,333 33,333 33,300 99,966 99,966 - - 100,000 $ 99,966 Arizona's universities and community colleges were directed by SB 1260 to double the number of students in Registered Nursing (RN) programs by 2007. This will take a combination of funds from private, public, and university sources. These Regents Innovation Funds will support this collaborative effort. The Legislature provided no funding in FY 2004 for expansion of nursing programs. The universities are making internal reallocations to the extent possible under existing budget constraints. In addition, a number of private sector partnerships have been established, most notably the University of Arizona's partnerships with University Medical Center and Carondelet Health Network to implement a 14-month accelerated BSN program. The Governor's Council on Workforce Policy will award a $505,623 grant to the universities to expand RN programs. This grant will require matching funds. ABOR Central Office Regents Innovation Fund Expansion of Nursing Programs FY 2004 INITIATIVE OVERVIEW ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND Expansion of Nursing Programs FY 2004 GOALS/OBJECTIVES Expand registered nursing programs at Arizona's public universities. Provide $1.00 of matching money for every $5.00 of grant funds available to a university. FY 2004 PERFORMANCE MEASURES/DELIVERABLES Leveraging of Investment 1. External funds leveraged (university portion only). Curriculum Innovations 2. Develop accelerated BSN curricula. Workforce Development 3. Expand RN programs by 8 percent. Partnerships/Collaborations 4. Collaborate with universities, community colleges, hospitals, and Arizona Hospital and Healthcare Association to develop comprehensive plan responsive to SB1260. FY 2004 PROJECTED FY 2004 ACTUAL $500,000 $250,000 100% complete 100% complete 8% program expansion Enrollment counts available 11/04 100% complete 100% complete FY 2004 RESULTS AND ACCOMPLISHMENTS 1. The availability of $100,000 in TRIF funds helped to secure $500,000 of Governor's WIA discretionary funds. Notification was received from the Department of Economic Security in a letter dated July 2, 2004, that $500,000 would be made available to expand RN programs at the universities and community colleges in Arizona. WIA funds were awarded to the following institutions: Arizona State University ($83,333), Northern Arizona University ($83,333), the University of Arizona ($83,333), Mesa Community College ($144,500), and Northland Pioneer College ($105,500). 2. All Arizona public universities have developed and set in place accelerated BSN programs. 4. A letter of transmittal and an accompanying report was sent to the Governor and other interested parties in January 2004 that outlined the costs and enrollment projections needed to double the number of RN students enrolled in Arizona institutions. The letter was signed by both the Arizona Board of Regents and the Arizona Community College Association. 85 ABOR Central Office Regents Innovation Fund Expansion of Nursing Programs 3. Enrollment in RN programs at the universities and community colleges will be measured and reported following the 21-day enrollment reports that usually become available in November 2004. 86 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND Changing Directions REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: To be designated Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 REV BUDGET ACTUAL 60,319 60,319 $ - $ $ 60,319 60,319 694 694 60,319 60,319 60,319 694 - - 60,319 $ 694 FY 2004 INITIATIVE OVERVIEW The Board’s Changing Directions initiative will likely result in the need for the central office and the universities to retool admission, tuition, financial aid, and reporting systems to implement recommendations. Grants could be made available to support these efforts. ABOR Central Office Regents Innovation Fund Changing Directions A growing need exists for more and better data to support decision-making and accountability: 1. Academic program reviews are now expected to provide outcomes and assessments. 2. ABOR needs to improve its ability to track students in regard to the workforce and accountability. 3. Changing Directions intends to allow greater differentiation among universities while ensuring that students have adequate access to programs. Tracking programs will need to be improved. 4. As more ARU programs go online, students and programs will need to be tracked and managed. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND Changing Directions FY 2004 GOALS/OBJECTIVES 1. Continue the comprehensive review and development of a plan to improve the reporting mechanisms of the central office. 2. Depending on the needs of the universities, provide resources to the universities to retool admission, tuition, financial aid, and other reporting systems to meet the needs of Regents and the public as identified through Changing Directions. 3. Implement the Academic Program Inventory system for tracking and reporting purposes. 4. Receive, review, and implement recommendations in Battelle Institute work. FY 2004 FY 2004 FY 2004 PERFORMANCE MEASURES/DELIVERABLES Leveraging of Investment PROJECTED ACTUAL 1. Use funds to leverage investments made by the universities. Completed Canceled Completed Completed Partnerships/Collaborations 2. Build partnerships with other system developers. FY 2004 RESULTS AND ACCOMPLISHMENTS 87 ABOR Central Office Regents Innovation Fund Changing Directions 1. No work was undertaken on this initiative during FY 2004. Lack of staff and competing priorities in FY 2004 prohibited progress on this project in the central office. 2. No specific requests were received from the universities to provide them resources to the universities to retool admission, tuition, financial aid, and other reporting systems to meet the needs of Regents and the public as identified through Changing Directions. 3. Implementation of the Academic Program Management System was deferred. Costs were greater than expected, and there was concern expressed by the vendor that this was work that they did not wish to undertake. A smaller, incremental approach is proposed for FY 2005. Refer to the Academic Program Management System (APMS) project description. APMS will receive $20,000 of Regents Innovation Fund support in FY 2005 to accomplish its goals. FY 2003 RESULTS AND ACCOMPLISHMENTS 4. Recommendations by the Battelle Institute were shared with the Board at its March 2004 meeting. Areas in which they recommended efforts be concentrated were Biosciences, Advanced Communications, Information Technology, and Sustainable Systems. These recommendations could be used by the Board and the universities as one of the elements for proposing future budget requests for the Technology and Research Initiative Fund. 5. The expenditure of $693.56 paid for meeting expenses of the Health Science Input Group (HSIG) composed of Regents, Presidents, and CEOs of major healthcare organizations within Arizona to address healthcare professions education issues within the Changing Directions initiative. 88 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND TRIF Program Evaluation REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: External Consultant Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 FY 2004 REV BUDGET ACTUAL 125,000 125,000 $ - $ $ 125,000 125,000 - 125,000 125,000 125,000 - - - 125,000 $ - FY 2004 INITIATIVE OVERVIEW ABOR Central Office Regents Innovation Fund TRIF Program Evaluation It is the intent of the Regents that the TRIF initiatives be evaluated during FY 2004, the third year of the TRIF program, to provide direction for possible reallocation of funds in years four (FY 2005) and five (FY 2006) of the five-year budget cycle and to help inform development of the next five-year cycle. This funding will provide for engaging the services of an external, independent consultant to perform this work. Relevant work performed by the Morrison Institute at ASU, the Office of Economic Development at UA, and the Battelle Institute will help shape the evaluation. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL REGENTS INNOVATION FUND TRIF Program Evaluation FY 2004 GOALS/OBJECTIVES 1. Form steering committee to oversee evaluation. 2. 3. 4. 5. 6. Issue request for proposals (RFP). Select and engage external consultant. Receive and review final report. Implement any needed modifications to budgeted FY 2005 and FY 2006 TRIF programs. Use final report to aid in development of proposed FY 2007-FY 2011 TRIF budget. FY 2004 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Evaluation report from external consultant. FY 2004 FY 2004 PROJECTED ACTUAL Completed Curriculum Innovations 2. To be determined on review of final report. TBD Partnerships/Collaborations 3. Collaborative effort with three universities. Completed Universities and central office will conduct evaluations during FY 2005. FY 2004 RESULTS AND ACCOMPLISHMENTS The decision was made during FY 2004 not to engage an external consultant to evaluate the TRIF program. Therefore, these funds were not expended. Plans are currently being developed by the universities to conduct evaluations of the first three years of their TRIF projects, with the results tentatively scheduled to be presented to the Regents in March 2005. The results of these evaluations, along with the recommendations of the Battelle Institute, will inform the development of the second five-year TRIF budget cycle, FY 2007-2011. A draft FY 2007-2001 budget is scheduled to be presented to the Board at its April 2005 meeting, with final approval scheduled for June 2005. This will allow the universities a oneyear lead time to prepare for the implementation of this second five-year plan on July 1, 2006. ABOR Central Office Regents Innovation Fund TRIF Program Evaluation 89 90 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2005 BUDGET REGENTS INNOVATION FUND Arizona University System Redesign Study FY 2005 BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Subtotal Grants/Projects TOTAL OPERATING BUDGET 56,250 13,500 40,250 110,000 110,000 CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL 60,000 50,000 110,000 $ 110,000 FY 2005 INITIATIVE OVERVIEW ABOR Central Office Regents Innovation Fund Redesign Study A feasibility and planning study of the redesign of the Arizona University System will be conducted during FY 2005. The purpose of this study is to develop a plan to meet the projected demand for undergraduate education in the system over the next 20 years. Regents Innovation Funds will be used to support the staff director for this study, along with associated meeting, travel, and printing costs. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2005 BUDGET REGENTS INNOVATION FUND Arizona University System Redesign Study FY 2005 GOALS/OBJECTIVES 1. Identify and convene ABOR Feasibility and Planning Study Workgroup. 2. Workgroup will analyze Arizona's future higher education needs; study other state's university designs and strategies to address growth; develop criteria to evaluate various redesign proposals; and recommend final redesign plan to Review Team of Regents and university Presidents. 3. Identify, convene, and receive input from stakeholder groups. 4. Review Team will recommend final plan to full Board. 5. Full Board will approve a redesign plan. FY 2005 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Final redesign plan approved by Board. PROJECTED Completed Leveraging of Investment 2. Obtain Lumina Foundation and Ford Foundation funds. $ TBD Workforce Contributions 3. System redesign to meet Arizona's workforce needs. Completed Partnerships/Collaborations 4. Collaborative process among universities and with stakeholder groups Completed ABOR Central Office Regents Innovation Fund Redesign Study 91 92 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2005 BUDGET REGENTS INNOVATION FUND Academic Program Management System FY 2005 BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: External Consultant/Web Based Design Subtotal Grants/Projects TOTAL OPERATING BUDGET 5,000 5,000 15,000 15,000 20,000 CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET $ 20,000 FY 2005 INITIATIVE OVERVIEW The Board of Regents is responsible for the approval of all new academic programs that may be offered at the three universities. In addition, Board Policy 2-202.A requires a comprehensive Academic Degree Program Inventory (API) that includes all academic degree programs that have been approved for planning or for implementation at the respective universities. The Inventory indicates the institution, college, and Classification of Instructional Program (CIP) code. The CIP code is a national classification used for federal reporting and for identifying duplicate programs within the university system. The funds being requested will be used to develop a data base that is accessed from the Web. This data base would insure an up-todate API for prospective students and for use by the universities and would provide a history of changes. Currently, there is not a reliable system to record the approval of new programs or to track changes to existing programs. The API is the first component of a proposed comprehensive Academic Program Management System for the university system. ABOR Central Office Regents Innovation Fund Academic Program Management System EXPENDITURES GRAND TOTAL 20,000 20,000 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2005 BUDGET REGENTS INNOVATION FUND Academic Program Management System FY 2005 GOALS/OBJECTIVES Develop the Academic Program Inventory component of a proposed Academic Program Management System. FY 2005 FY 2005 PERFORMANCE MEASURES/DELIVERABLES 1. Identify Vendor Announcement RFP PROJECTED November 2004 2. Develop Data Base and Reporting Mechanism Test functionality January 2005 3. Data Entry Hire hourly personnel to enter historical data March 2005 4 Academic Program Inventory Available on Web May 2005 ABOR Central Office Regents Innovation Fund Academic Program Management System 93 94 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2004 ACTUAL/FY 2005 BUDGET REGENTS INNOVATION FUND Operating FY 2004 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: To be designated Subtotal Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2004 ACTUAL 33,144 33,144 $ 26,565 5,579 1,000 33,144 $ $ FY 2005 BUDGET 41,031 41,031 $ 33,540 7,491 41,031 $ $ 40,000 40,000 30,862 7,407 1,731 40,000 33,144 41,031 40,000 - - - 33,144 $ 41,031 $ 40,000 FY 2005 OVERVIEW ABOR Central Office Regents Innovation Fund Operating The Operating budget supports implementation of Regents Innovation Fund projects, as well as administration of the system's TRIF fund, including budget preparation, accounting, and reporting functions. APPENDIX Arizona Board of Regents Policy 3-412 95 Policy Number: 3-412 Policy Revision Dates: 3-412 A. Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 1 Administration of Technology and Research Initiative Fund Authority As authorized by Proposition 301 approved by the voters in November 2000, the Board shall establish and administer a technology and research initiative fund (TRIF), beginning July 1, 2001. The TRIF will consist of sales tax revenues generated through Proposition 301 and other private or public sources of funding which are received by the Board for purposes which are consistent with the proposed uses described herein. B. Funding Criteria The TRIF will be used to support projects and initiatives that meet one or more of the following criteria: C. 1. Promote university research, development and technology transfer related to the knowledge based global economy; 2. Expand access to baccalaureate or post-baccalaureate education for time-bound and place-bound students; 3. Implement final recommendations from the Governor's Task Force on Higher Education and/or the Arizona Partnership for the New Economy. 4. Develop programs that will prepare students to contribute in high technology industries located in Arizona. Calendar and Guidelines The Board shall establish an annual calendar for the allocation of Proposition 301 funding, including guidelines for the submission and evaluation of proposals, and final decisions by the Board. The calendar will incorporate a process to receive and consider input from the Arizona Partnership for the New Economy (APNE) or a successor agency as may be designated by the Governor. 96 Policy Number: 3-412 Policy Revision Dates: D. Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 2 Formats for Submission of Proposals Funding requests shall be submitted by the university Presidents, or prepared by the Central Office on behalf of the Board, in a format to be approved by the Executive Director, to include the following elements: A description of the proposed need, purpose and goals for each proposed project or activity, an explanation as to the ways in which the project promotes the purposes of the legislation, and/or an explanation of the relationship of the proposed project or activity to the foundation or clusters which are part of the state's overall economic development program; E. 1. The requested duration of the proposed project or activity; 2. Proposed detailed performance measures, desired outcomes, and proposed methodology for evaluating progress in attaining the desired outcomes; and 3. A detailed budget for each proposed project or activity, including the identification of funds which are intended to be either continuing, multiyear, or one time only. Special Factors The Board shall take into account several additional factors in determining its allocations from this fund: 1. Priority shall be given to proposals that involve collaboration between and among the universities and/or collaboration with private industry or public sector agencies. 2. The Board may authorize awards for an annual or multi-year basis, but in no event will the Board make an award on a multi-year basis without incorporating specific requirements regarding periodic review and assessment or progress in implementing the proposed project or activity and in attaining the desired outcomes. 3. Funding may be used to pay salaries only for persons directly involved in projects or activities funded under this program that would otherwise not be funded through general fund appropriations. 97 Policy Number: 3-412 Policy Revision Dates: 98 Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 3 4. The Board may allocate up to 20% of annual funding for capital projects relating to new economy initiatives, including the payment of debt service; capital projects must be clearly identified with each university's submission of proposals. 5. The Board will honor the legislative intent as described in Proposition 301 that a portion of the revenues in the fund shall be allocated on an annual basis to pay Certificates of Participation costs for leasepurchase of buildings and associated infrastructure at ASU East and West campuses. Arizona Board of Regents 2020 North Central Avenue, Suite 230 Phoenix, AZ 85004 602-229-2500 www.abor.asu.edu