State of Arizona The Master List of State Government Programs and State Agencies’ Five Year Strategic Plans Douglas A. Ducey GOVERNOR JANUARY 2017 Table of Contents About the Master List The Governors’ Office of Strategic Planning and Budgeting compiles The Master List of State Government Programs and State Agencies’ Five Year Strategic Plans with information provided by state agencies in September of each year. In the interest of faithfully communicating the intentions of the agencies, OSPB only edits content to the extent necessary for clarity and makes no changes to the provided funding or performance data. Funding amounts for current and future years include all monies the agency is requesting, or plans to request, and is not related to the recommendations made in the Executive Budget. Dental Examiners, State Board of ..............................................260 Early Childhood Development and Health Board ...............263 Economic Security, Department of ...........................................268 Education, State Board of..............................................................309 Education, Department of .............................................................310 Emergency and Military Affairs, Department of ..................347 Environmental Quality, Department of ..................................361 Economic Opportunity ...................................................................381 Arizona Finance Authority.............................................................382 Equal Opportunity, Governor’s Office for...............................383 Executive Clemency, Board of .....................................................390 Exposition and State Fair, Arizona .............................................393 About the Five-Year Plans and the Master List................. i Financial Institutions, Department of .......................................397 Fingerprinting, Board of.................................................................407 Forester, Arizona State ...................................................................410 Individual Agency Plans Funeral Directors and Embalmers, State Board of ..............417 Game and Fish Department .........................................................419 Accountancy, State Board of ................................................... 1 Gaming, Department of .................................................................432 Acupuncture Board of Examiners ......................................... 8 Health Services, Department of ..................................................447 Administration, Department of ........................................... 11 Highway Safety, Governor’s Office of ......................................465 Administrative Hearings, Office of..................................... 46 Historical Society, Arizona ............................................................469 African-American Affairs ........................................................ 51 Historical Society, Prescott ...........................................................481 Agriculture, Arizona Department of ................................. 52 Homeland Security...........................................................................485 Arizona Health Care Cost Containment System .......... 72 Homeopathic Medical Examiners, Board of ..........................491 Arts, Arizona Commission on the ...................................... 99 Housing, Arizona Department of ...............................................495 Athletic Training, State Board of ......................................108 Independent Redistricting Commission..................................503 Attorney General - Department of Law .........................109 Industrial Commission of Arizona .............................................504 Automobile Theft Authority ...............................................132 Insurance, Department of .............................................................517 Barbers Examiners, Board of ..............................................137 Judiciary ................................................................................................531 Behavioral Health Examiners, Board of..........................141 Juvenile Corrections, Department of ........................................588 Charter Schools, State Board for ......................................144 Land Department, State .................................................................603 Child Safety, Department of ...............................................149 Legislature, Auditor General ........................................................610 Chiropractic Examiners, State Board of .........................172 Liquor Licenses and Control, Department of ........................611 Citizens’ Clean Elections Commission ............................176 Lottery Commission, Arizona State ...........................................620 Commerce Authority .............................................................179 Massage Therapy ..............................................................................626 Constable Ethics Standards and Training Board .......183 Medical Board, Arizona ..................................................................627 Contractors, Registrar of ......................................................185 Mine Inspector, State ......................................................................630 Corporation Commission ....................................................190 Naturopathic Physicians Board of Medical Examiners ......640 Corrections, Department of ................................................208 Navigable Stream Adjudication Commission .......................644 Cosmetology, Board of.........................................................225 Nursing, State Board of ..................................................................649 Criminal Justice Commission, Arizona ...........................230 Nursing Care Institution Administration Examiners ...........655 Deaf and Blind, State Schools for the ............................244 Occupational Therapy Examiners, Board of ..........................658 Deaf and Hard of Hearing, Commission for the ........253 Opticians, State Board of Dispensing.......................................661 Optometry, State Board of ........................................................... 665 Secretary of State - Department of State ...............................795 Osteopathic Examiners, Board of .............................................. 668 Tax Appeals, State Board of .........................................................806 Parks Board, State ............................................................................ 673 Technical Registration, State Board of ...................................808 Personnel Board................................................................................ 682 Tourism, Office of .............................................................................811 Pharmacy, Arizona State Board of ............................................ 685 Transportation, Department of ...................................................821 Physical Therapy Examiners, Board of ..................................... 689 Treasurer, State ..................................................................................833 Pioneers’ Home, Arizona ............................................................... 694 Tribal Relations ..................................................................................839 Podiatry Examiners, State Board of ......................................... 697 Universities Postsecondary Education, Commission for ........................... 700 Regents, Board of ........................................................................841 Power Authority ................................................................................ 711 Arizona State University – Tempe .........................................845 Private Postsecondary Education, State Board for ............. 713 Arizona State University – Polytechnic................................860 Psychologist Examiners, State Board of .................................. 717 Arizona State University – West .............................................872 Public Safety, Department of ...................................................... 721 Northern Arizona University ....................................................884 Public Safety Personnel Retirement System ......................... 741 University of Arizona – Main Campus .................................912 Radiation Regulatory Agency ..................................................... 743 University of Arizona – Health Sciences Center ..............926 Real Estate, Department of .......................................................... 753 Veterans’ Services, Department of ............................................941 Residential Utility Consumer Office .......................................... 760 Veterinary Medical Examining, State Board of ....................953 Respiratory Care Examiners, Board of ..................................... 763 Water Infrastructure Finance Authority ...................................957 Retirement System, Arizona State ........................................... 767 Water Resources, Department of...............................................963 Revenue, Department of ............................................................... 777 School Facilities Board ................................................................... 791 Glossary Program Budgeting – About This Publication The Strategic and Operational Plans of State Government Agencies are Critical Components of Program Budgeting and Transparency Program budgeting in Arizona provides transparency and understanding of the functions of state agencies. Planning and budgeting is enacted and implemented in a way that allows citizens and policy makers to track the revenues and expenditures of each mandated function of state government as well as its operational goals and performance measures. To that end, the Governor’s Office of Strategic Planning and Budgeting (OSPB) annually publishes the Five-Year Strategic Plans of State agencies and the Master List of State Government Programs, which include each agency’s three-year operational plans. Five-Year Strategic Plans focus on an agency’s: strategic issues, strategies for dealing with the strategic issues, and resource assumptions for the five-year period. Five-Year Strategic Plans are presented here unedited, as they were submitted by each agency. The Master List of State Government Programs includes a detailed look at each mandated function of state government, organized as programs and subprograms. Each program and subprogram contains a mission, description, the main goals and performance measures, funding, and staffing. On the pages that follow for each agency, the Five-Year Plan is displayed first, followed by detailed information for each of an agency’s programs and subprograms. The Five Year Plan contains projections through fiscal year 2021. Detailed program information contains information through fiscal year 2018. State Agencies submitted their Five Year Plan and program information on September 1, 2016, prior to the creation of the Governor’s Executive Budget that was released in January 2017. When first developed in 1994, each mandated function of state government was isolated within a discrete program or subprogram, to the extent possible. At that time, the Master List contained 1,267 programs. Shortly thereafter, the number of programs was consolidated to 528, the effect being that any single program may now contain several related functions. Currently, The Master List is the most complete list of State government programs available. OSPB is required to publish the Master List of State Government Programs and the Five-Year Strategic Plans by A.R.S. § 35-122. Agency Summary BOARD OF ACCOUNTANCY Monica L. Petersen, Executive Director Phone: (602) 364‐0804 A.R.S. §§ 32‐701 Mission: To protect the public from unlawful, incompetent, unqualified, or unprofessional certified public accountants through certification, regulation, and rehabilitation. Description: The Arizona State Board of Accountancy consists of five Certified Public Accountants (CPAs) and two public members, all of whom are residents of the state and are appointed by the Governor. The Board also has six advisory committees consisting of 46 members appointed by the Board whose work directly supports the Board's mission. The advisory committees are Accounting and Auditing, Tax Practice, Peer Review, Certification, Continuing Professional Education, and Law Review. The Board and its committees qualify candidates for the Uniform CPA Examination, certify individuals to practice as CPAs, register accounting firms owned by CPAs, and biennially renew certificates for CPAs and registered accounting firms. The Board and its committees also receive and investigate complaints, take enforcement action against licensees for violation of statutes and regulations, monitor compliance with continuing education requirements, and review the work product of CPAs to ensure adherence to professional standards through the Board's peer review program. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 1,569.6 0.0 0.0 1,937.0 0.0 0.0 2,022.2 0.0 Total Funding 1,569.6 1,937.0 2,022.2 FTE Positions 13.0 13.0 13.0 Board of Accountancy Dollars are listed in thousands, as requested by agencies. 1 5 Year Plan Issue 1 Office Modernization Description The Board of Accountancy currently operates a database called the Accountancy Information Management System (AIMS) which is archaic and of limited value. The Board's existing database is not well organized in terms of its use, the data fields are static and do not collect history, it collects a limited and basic amount of information, and is restricted in its ability to query information for decision and policy making or performance measurement reporting due to its lack of content and static fields which are ever changing making it impossible to reproduce the result of a query from a former point in time. A new database that we will call the Arizona Regulatory Management System (ARMS) must be designed which will serve as a back office system. In contrast, AIMS is like four separate databases since information related to exam, certification, firms, and compliance must all be searched separately. This makes connecting the dots with individual registrants who might also be registered as a firm and who also might have a disciplinary history difficult and inefficient to ascertain. ARMS will be designed such that each individual receives a unique customer ID so with a search of a single name the Board can see all Board transactions related to the customer. Unlike AIMS, ARMS will build a relationship with our contacts. Contacts will link to our various business functions. ARMS will easily trace an individual from being an exam candidate, to being a certification candidate, to becoming a CPA, to belonging to a firm(s), as well as to having any possible compliance files. Solutions: Strategies: 1.Business Requirements/Analysis 1.1.Analyze exis ng AIMS data fields – what they truly represent and possible values 1.2.Iden fy AIMS predefined queries and reports used for the examina on module 1.3.Iden fy AIMS data used for various mail merges and where they’re customized 1.4.Define aspects of examina on, re‐examina on, grade review and appeal business processes 1.5.Define how transac ons should be recorded (e.g. Pre‐exam and Other Fee) 1.6.Iden fy addi onal cri cal data fields that are needed for examina on (e.g. contact preference for test results) 1.7.Design screen mock‐ups for each business processes to track important dates and milestones in the process, that are needed for management reporting 2.Data Development 2.1.Design tables/indexes in the database to represent the examina on business func ons 2.2.Verify the exis ng data entered in AIMS for accuracy and correct mistakes 2.3.Expand the database design to automa cally archive/track changes made in the database 2.4.Define the required data fields and data valida on rules 2.5.Map and translate data from AIMS where possible to the new database structure 2.6.Merge the exam people in AIMS with the contacts already loaded in ARMS due to them being added as part of Phase 1 3.Applica on Development 3.1.Ac vate search on examina on candidate name or number 3.2.Create add/edit screens for ini al exam applica ons 3.3.Create add/edit screens for re‐exam applica ons 3.4.Create add/edit screens for grade review/appeal requests 3.5.Create add/edit screens for grade transcript and grade transfer requests 3.6.Create add/edit screens for remaining minor business func ons 3.7.Redesign and create new reports that replace the reports and queries in AIMS 3.8.Create data files for upload to NASBA 4.Tes ng 4.1.Write a comprehensive user guide for the examina on module of ARMS 4.2.Confirm AIMS examina on data was extracted and translated to ARMS correctly Board of Accountancy Dollars are listed in thousands, as requested by agencies. 2 4.3.Enter data in new fields that couldn’t be converted from AIMS 4.4.Test adds, edits, deletes, saves and lookup of informa on using the various screens 4.5.Confirm that the security feature on various examina on screens is enforced 4.6.Confirm that required fields are enforced and data valida on rules are followed 4.7.Test the accuracy of examina on reports and user’s access to them 4.8.Test searching of examina on contacts by name and number 4.9.Test screen naviga on in rela on to business processes and workflows 4.10.Confirm the archive tables properly reflect every type of change in data 4.11.System test end‐to‐end ARMS in parallel with AIMS func ons 5.System Deployment 5.1.Document the new examina on module for IT maintenance 5.2.Migrate the AIMS examina on data to ARMS 5.3.Manually enter key data into new fields (embedded in notes in AIMS or kept separately) 5.4.Remove rights for users to access the old examina on data in AIMS 5.5.IT Systems benchmarks and monitors performance 5.6.Train staff to use the system and understand the new & translated data 5.7.Stop changes and evaluate the live system for a period of me a er each Phase Board of Accountancy Dollars are listed in thousands, as requested by agencies. 3 Issue 2 Security Description The State’s Security, Privacy & Risk (SPR) Office has required every agency to have a security program that addresses federal laws and follows best practices. SPR created the State’s template policies and standards, which complies with regulations. SPR recognizes small agencies and has promised resources to help create a program. A security program basically consists of the following: •Security and Privacy Policies and Standards •Annual Year‐end Audit •Annual Mi ga on Plan Security isn’t just for IT. Policies are determined by the type of data we hold. We’ll work with SPR to decide on appropriate policies and standards based on the State template. Our policies must be approved by SPR and exceptions are possible with justification. For example, a network closet may be locked but can’t track individual access. Our policies describe our required security level, not our current security level. Annual self‐audit findings are matched to our policies to identify our security gaps. This is a master list of all outstanding issues not just new issues for the year. Gaps are reported to SPR to see if they can get legislative support for statewide issues; it’s more cost effective. A mitigation plan begins with defining the selection criteria used to choose the security gaps we can address during the year. We likely can’t address all of the gaps from the audit so we need to be selective. Criteria may be based on a weighting of cost, probable risk, available resources, time involved and the fact that it’s required. Requirements include security training and vulnerability. A combination of staff, our network vendor, SPR, and security specialists can be used to address gaps. Services available from SPR will be leveraged, like training. Our mitigation plan and progress is reported to SPR. At the end of every year we need to reevaluate our security program. This includes a possible revision to our policies and another year‐end audit so mitigation can be scheduled on a calendar year basis. Solutions: 1.Define Security and Privacy Policies and Standards 1.1.Work with SPR to iden fy where our security and privacy related data ranks in the predefined security levels 1.2.Determined by the type of data we hold, have SPR iden fy the parts of the State’s security & privacy template that we must adopt 1.3.Working with SPR and our network vendor, review the template policies that apply and write jus fica ons for any excep ons that exist 1.4.Have SPR approve our security & privacy policies so we can officially adopt them 2.Iden fy Gaps 2.1.Have a qualified organiza on conduct a detailed security audit 2.2.Compare audit findings to our policies to create the 2015 Security Gaps (2015 not 2016); report gaps to SPR 2.3.With our network vendor, develop the 2016 Gap Selec on Criteria used to pick the gaps that can be addressed in 2016 due to limited resources; report justification to SPR 2.4.Iden fy the gaps that meet the selec on criteria to create the 2016 Security Mi ga on Plan; report plan to SPR 3.Mi gate Gaps 3.1.Schedule agency‐wide security training by leveraging services from SPR 3.2.Schedule specialized security training for IT staff as needed 3.3.Contract with security specialists as needed to mi gate issues that staff or our network vendor can’t address themselves 3.4.Update IT procedures and architecture documenta on to reflect security changes 3.5.Report mi ga on progress to SPR 4.Year‐end Evalua on Board of Accountancy Dollars are listed in thousands, as requested by agencies. 4 4.1.Review any revisions to the State’s template (based on new best prac ces and federal regula ons) to decide if revisions are needed in our Security Program 4.2.Audit ourselves to iden fy any possible new security gaps. These gaps will be added to any unresolved 2015 Security Gaps, creating the 2016 Security Gaps. This list will be reported to SPR and used for the following year’s security mitigation 4.3.Inquire with SPR on any 2017 statewide security resources that we can leverage Board of Accountancy Dollars are listed in thousands, as requested by agencies. 5 Issue 3 Records Retention Description To simplify the Board’s retention schedule and ensure consistent adherence for all public records regardless of medium. The Board’s retention schedule is onerous, not properly followed and requires archiving of records longer than they are of administrative value which comes at an unnecessary expense. The records maintained by the Board as well as other state and local governments are among the most valuable resources in their care. They are essential for the conduct of ongoing operations and the official documentation of legally binding decisions and actions of the government. Records allow the public to understand civic issues and they are the community’s memory. Records need to be adequately preserved because: •Officials use them to administer and monitor government opera ons •Records document the conduct of public business •Records ensure and measure government accountability •Records contain informa on that is used by researchers from within and from outside government •Historians and other researchers use government records for informa on on individuals, groups and the communication, on the development of the government and its operations, and on the life of the community itself. Solutions: 1.Perform analysis on exis ng records reten on schedule and determine business need for both onsite and offsite reten on and revise retention accordingly and submit to Library and Archives for approval 1.1.Exam files 1.2.Cer fica on files 1.3.Registrant (CPA) files 1.4.Registrant (firm) files 1.5.Compliance Files 1.6.Disciplinary Ac ons 1.7.Board and Commi ee Mee ngs 2.Evaluate the following general records reten on schedules that apply to all public bodies and determine current compliance/noncompliance. 2.1.Administra ve records 2.2.Audit records 2.3.Bond records 2.4.Copy center and mail room records 2.5.Elec on records 2.6.Electronic Communica ons, Social Networking and Website Records 2.7.Environmental Quality Management and Sustainability Records 2.8.Equipment/Vehicle Services Records 2.9.Facili es/Grounds Management Records 2.10.Financial Records 2.11.Human Resources/ Personnel Records 2.12.Informa on Technology (IT) Records 2.13.Law Enforcement Records 2.14.Library Records 2.15.Management Records 2.16.Medical Records 2.17.Official Records 2.18.Public Health Records 2.19.Public Informa on and Marke ng Records 2.20.Purchasing/Procurement Records 2.21.Warehouse/Supply Records 2.22.Historic Preserva on Records 2.23.Civic, Conven on, and Cultural Facili es and Visitors' Bureau Records 2.24.Parks and Recrea on Records Board of Accountancy Dollars are listed in thousands, as requested by agencies. 6 3.Develop records reten on policies and procedures 4.Train staff on records reten on policies and procedures 5.Archive or dispose of records as necessary to ensure compliance with: 6.1.New records reten on schedule approved by Library and Archives for Board specific records 6.2.Areas of non‐compliance iden fied in strategy 2. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds 13.0 0.0 2,022.2 0.0 0.0 13.0 0.0 2,022.2 0.0 0.0 13.0 0.0 2,022.2 0.0 0.0  Goal 1 To assist candidates in applying for the Uniform CPA examination so that the candidate can successfully complete the exam. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of exam candidates approved by Board to sit for the Uniform CPA exam 414 433 704 700 700  Goal 2 To certify and register persons who meet the statutory requirements as certified public accountants and to register firms that meet the statutory requirements. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of certificates issued Biennial renewal of certificates Number of firms registered Number of firms renewed (excluding sole practioners) Percent of applicants reporting very good or excellent service 397 5817 79 786 415 5665 100 813 408 5625 148 818 412 5481 116 802 412 5450 116 802 89 92 85 87 87  Goal 3 To process complaints and provide enforcement of statutes and rules to protect the public from incompetent, unethical and/or unprofessional conduct by registrants. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of revocations and relinquishments Number of compliance files established Number of compliance files that resulted in discipline Number of compliance files that resulted in administrative letters of concern Board of Accountancy 6 120 35 8 109 33 0 177 37 8 194.7 56 0 194.7 56 27 30 25 26 26 Dollars are listed in thousands, as requested by agencies. 7 Agency Summary ACUPUNCTURE BOARD OF EXAMINERS Pete Gonzalez, Executive Director Phone: (602) 364‐0145 A.R.S. § 32‐3901 Mission: To protect the health, safety, and welfare of the public by regulating and maintaining standards of practice in the field of acupuncture. Description: The Board licenses and regulates acupuncturists and certifies auricular (ear) acupuncturists for detoxification or substance abuse programs. The Board also oversees the licensing and certification of acupuncture training, continuing education programs, and visiting professors. The Board evaluates professional competency, investigates complaints, and enforces the standards of practice for the acupuncture profession. The Board regulates the educational, clinical, and clean needle technique programs approved to teach the practice of acupuncture in the State. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 141.9 0.0 0.0 178.5 0.0 0.0 228.5 0.0 Total Funding 141.9 178.5 228.5 FTE Positions 1.0 1.0 1.0 Acupuncture Board of Examiners Dollars are listed in thousands, as requested by agencies. 8 5 Year Plan Issue 1 Technology and operational upgrades. Description Description: As the Board plans for the future, the need to explore technology advances that will assist the Board in fulfilling its obligations is becoming critically important. The general public and licensed professionals are requesting the Board to update its information delivery systems. Solutions: Strategy: The Board will be submitting a Project Request, Statewide E‐Licensing Project, to achieve this strategic goal. Issue 2 Health and Safety Challenges. Description Description: As part of the Board’s role in protecting the safety and welfare of the general public, the Board continues to review its statutes and rules to ensure the profession is regulated in concert with the changes taking place at the state and national level. Solutions: Strategy: The Board, on July 1, 2016 now requires all new acupuncture license applicants to submit fingerprints to the Board for the purpose of obtaining a state and federal criminal records check and authorize the Department of Public Safety to exchange data with the Federal Bureau of Investigations. In addition, the Board not requires an applicant for licensure to disclose all other active and past professional health care licenses and certificates issued to the applicant in the United States. Lastly, the Board will be implementing statutory and rule changes as proposed by the Office of the Auditor General as a result of the Board's performance audit. Issue 3 Health care profession and provider changes. Description Description: In recent years, healthcare costs have risen dramatically and individuals are looking to integrative health services. As a result, professions (complementary and integrative) are beginning to expand their respective scopes of practice through rule or policy instead of utilizing the “sunrise process” created by the legislature. This activity requires the Arizona Acupuncture Board of Examiners to become more involved in changes of the profession and healthcare in general. Solutions: Strategy: The Board will participate and contribute to discussions that may result in statutory changes to other healthcare professions that are interested in providing acupuncture treatments. This would include the establishment of appropriate statutory educational and training protocols for those professions seeking to expand their scope of practice. Resource Assumptions Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds FY2019 Estimate FY2020 Estimate FY2021 Estimate 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0  Goal 1 To handle consumer complaints in an efficient manner. FY 2015 FY 2016 Performance Measures Actual Estimate Number of complaints received. Unlicensed individuals or institutions identified. Total complaints. Average time from receipt of complaint until resolution Number of complaints resolved from prior year. Acupuncture Board of Examiners FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 3 1 3 116 10 3 10 100 7 0 7 76 10 3 10 100 10 3 10 100 0 2 0 2 2 Dollars are listed in thousands, as requested by agencies. 9  Goal 2 To ensure that investigations are handled in an efficient manner. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Number of investigations conducted Licensees with greater than one investigation. Percent of unlicensed practitioners brought into compliance. Percent of investigations resulting in disciplinary enforcement FY 2017 Estimate FY 2018 Estimate 1 0 100 10 0 100 0 1 100 10 1 100 0 1 100 1 1 1 1 1  Goal 3 To ensure that all applications are handled in an efficient manner. Beginning FY 2012, continuing education applications were included. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of applications received 89 95 66 75 85 Explanation: FY12: 60 acupuncture license applications, 7 auricular acupuncture certificate applications and 33 continuing education applications. Number of renewals issued Auricular Acupuncture Certificates Issued Total number of licensees Total number of auricular acupuncture certificate holders Acupuncture Board of Examiners 557 11 593 37 570 15 605 40 595 7 599 37 Dollars are listed in thousands, as requested by agencies. 605 15 610 45 625 15 620 55 10 Agency Summary DEPARTMENT OF ADMINISTRATION Craig Brown, Director Phone: (602) 542‐1500 A.R.S. §§ 41‐701,41‐1051,41‐2501 Mission: To deliver results that matter by providing best in class support services. ADOA Vision: Become the partner of choice for all state agencies Agency Values: Solving Problems; Building Trust; Keeping Commitments; Embracing Change Description: The Arizona Department of Administration (ADOA) was established by the Arizona State Legislature in 1973 to support the operation of state government. As the administrative and business operations hub of state government, ADOA provides medical and other health benefits to state employees, processing claims when employees get injured, maintaining office buildings for employees to work in, purchasing goods and services needed to conduct business, providing information technology and telecommunication services for employees, and much more. These centralized support services enable state agencies to focus their efforts on their own unique missions. The divisions within ADOA include: ‐General Accounting Office ‐General Services Division ‐State Procurement Office ‐Benefit Services Division ‐Human Resources Division ‐Arizona Strategic Enterprise Technology ‐Risk Management Division ‐Governor's Regulatory Review Council Agency Summary: ($ Thousands) Program  ADMINISTRATION  GENERAL ACCOUNTING  STATE PROCUREMENT  BENEFITS SERVICES DIVISION  HUMAN RESOURCES DIVISION  ARIZONA STRATEGIC ENTERPRISE TECHNOLOGY OFFICE  RISK MANAGEMENT  GENERAL SERVICES DIVISION Agency Total: Funding: FY 2016 Actual 7,599.0 FY 2017 Estimate 5,026.2 FY 2018 Estimate 5,902.1 277,071.2 6,356.1 285,933.7 6,401.2 287,078.3 6,401.2 887,776.0 935,011.4 962,706.4 12,842.4 55,708.4 14,320.2 101,605.1 14,320.2 98,301.2 85,540.3 35,123.6 97,869.1 39,940.0 130,437.1 110,075.8 1,368,017.0 1,486,106.9 1,615,222.3 FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 106,696.8 178,493.0 1,082,827.2 108,382.4 235,999.7 1,141,724.8 198,094.1 244,842.7 1,172,285.5 Total Funding 1,368,017.0 1,486,106.9 1,615,222.3 FTE Positions 611.2 600.4 600.4 Department of Administration Dollars are listed in thousands, as requested by agencies. 11 5 Year Plan Issue 1 People Retention Description The Arizona State Personnel System has over 35,000 state employees. This workforce is comprised of very broad and diverse career fields such as, information technology, healthcare, law enforcement, social services, legal services, administration, engineering, and finance. Like many employers, Arizona is facing leaner staffing levels and tighter budgets and the needs to have the right expertise is more critical today than ever. Demographic shifts and competition for talent are expected to be the biggest influence on our workforce over the next five years, as increasing numbers of experienced employees leave or retire. We will continue to focus on implementing strategies to mitigate anticipated departures of our valuable employees, implementing recruitment measures to attract top talent, and ensuring our compensation system includes salary ranges consistent with market pricing of jobs. Solutions: Objectives: The Arizona Department of Administrations’ Human Resources Division’s (HRD) priority is to professionally support effective employee performance activities that drive a 21st century education system, a strong innovative economy, safe communities, and an efficient accountable government. Strategies: •Partner with leadership in Agencies and Departments to improve the quality of reten on and promo on prac ces, including the effective use of the stay interviews and check‐ins. •Implement a statewide program to build workforce planning into the agency strategic planning process, ensuring that each Agency has a workforce plan by end of calendar year 2019. •Expand outreach ac vi es to reach diverse candidate pools that meet par cular job needs in State Government. •Implement a program of employee exit survey for purposes of future recruitment and reten on planning. •Implement a human capital management moderniza on solu on (HRIS) and incorporate leading‐edge technologies to enable faster decisions and better employee performance measurement and accountability. •Use the Human Resources Informa on System (HRIS) upgrade to feed workforce planning by iden fying trends in turnover, leave use, and other human resources related matrices. •Perform a comprehensive analysis of the current salary structures, including salaries governed by statute. Develop recommendations that are consistent with the spirit of an accountable public service system. Performance Measures: •Ensure that every agency has a workforce plan by end of calendar year 2019. •Assess employee sa sfac on from recruitment, hiring and reten on perspec ves, and establish a baseline measure by the end of FY 2017. Establish targets for improvement in each succeeding year. •Establish a baseline for regre able a ri on by end of FY 17. Decrease baseline number by 10% through the end of FY 18. •Establish the baseline of mely performance evalua ons by end of calendar year 2017. An increase of 25% over the calendar year 2016 baseline will be realized by the end of calendar year 2019. Department of Administration Dollars are listed in thousands, as requested by agencies. 12 Issue 2 Benefits Cost Containment Description The Benefit Services Division manages the Health Insurance Trust Fund and is responsible for the benefits provided to its 130,000+ members. Programs administered include self‐funded medical, pharmacy and dental plans; fully insured dental HMO, vision, basic life, supplemental life, dependent life, short‐term disability, long term‐disability, flex spending accounts, home‐owners and auto insurance plans, computer purchase and employee discount programs. In addition, the Division manages the statewide wellness program, as well as, an Employee Assistance Program. Benefit costs are projected to continue to rise. Application of strong performance guarantees, on‐going management of vendors and audit controls have aided efforts to maintain costs. In addition, the introduction of a health incentive program in 2014 and its continuation should assist in managing costs. Also, the purchase of a health care analytics tool will provide additional information to make better decisions regarding expenditures. Solutions: •Increase knowledge of employees, agencies and legislature regarding self‐insurance. •Improve health of members. •Reduce costs through plan design changes. Solutions: Objectives: •Contain per member per month medical/pharmacy costs to $10 million) in several key target areas; health and biosciences, sustainability, flexible electronic systems, light‐inspired energy, personalized learning, global security, and complex adaptive systems. Strategy 2: Pursue a University Affiliated Research Center (UARC)‐like entity (a research laboratory) on the scale of $50‐$100 million per year, in energy, sustainability, advanced materials, national security, or biosciences. Strategy 3: Continue to promote and support ASU’s projects from across the university through the improvement of the Office for Research and Sponsored Project Administration infrastructure, reduction of faculty burden and providing assistance to the academic units for opportunity identification and development. Strategy 4: Continue to expand philanthropic funding for our research programs by working closely with the Foundation to support its activities. Strategy 5: Expand our collaborative research activities with industry to take advantage of their desire to shift basic and applied research requirements to university labs. Strategy 6: Continue to pursue angel and venture investment in emerging companies. Activities will include developing a best‐in‐ class intellectual property team and extension of Sky Song’s entrepreneurship agenda. Strategy 7: Develop and implement plans to provide the research facilities and infrastructure that are required to meet the research goals of the University. Key Focus Area #1: Incorporate new approaches, including continued focus on interdisciplinary research In keeping with the spirit of the New American University vision, we will continue to expand our research capabilities through an interdisciplinary approach. Interdisciplinary research involves not only drawing upon the expertise across the University but also includes partners such as industry, national laboratories, academia and clinical entities. We are focusing our efforts in bringing together researchers from disparate disciplines to tackle complex questions central to the areas of strategic interest. The Biodesign Institute and its research centers exemplify this approach. We are working on new industry‐university consortium models that bring together industry and University researchers working collaboratively to address national challenges and result in significant educational and economic impact. We are increasingly focusing our research on global problems with local relevancy. We are also creating the ecosystems for promotion of innovation and entrepreneurship activities. Key Focus Area #2: Increase participation in multi‐institutional grants and consortiums It is a strategic goal of ASU to be successful in securing several multi‐institution, multi‐disciplinary, multi‐year, multi‐million dollar(4M) research projects. A specific goal is to secure a national research laboratory or its equivalent by 2020. To achieve this objective, we will cultivate, identify, target and develop 4M research opportunities leveraging ASU strengths in strategic research areas. Competitive teams and consortia will be constructed by bringing in complementary strengths through partnerships with national laboratories, academia, industry and government partners to successfully secure these grants. Key Focus Area #3: Accelerate technology transfer initiatives As ASU's research enterprise has expanded over the past several years, AzTE has undertaken a variety of activities in furtherance of its mission to facilitate advancement of University technology into the marketplace. •Closely align AzTE func ons and support with established and new research ini a ves •Con nue focus and support of exis ng ini a ves and programs •Increase connec vity with investors and industry through conferences and other outreach ac vi es ASU - Tempe Dollars are listed in thousands, as requested by agencies. 848 •Form a seed stage venture capital fund led by ASU to accelerate the number of faculty related spin‐outs •Increase technology exposure through cross marke ng ac vi es with other universi es •Increase faculty interac on and outreach, including the establishment of an AzTE office on campus to foster faculty rela onships and commercialization activities Key Focus Area #4: Improve infrastructure to support research Achieving our research expenditure goals will require additional research space. The University must develop plans to repurpose existing space and construct new facilities. To develop these plans the University has undertaken an effort to survey unused and underused space, determine return on investment of allocated space and consistently revisit space allocation to respond to the dynamic research needs. Results will be shared with all stakeholders and plans to refurbish and repurpose will be developed to meet current and future needs. Funds for construction of new buildings will involve State, Federal and Philanthropic entities. The University will work with the State to clearly define research priorities and communicate current and future space requirements. Federal and Philanthropic funding opportunities will also be explored where appropriate to address the current and future space requirements. The University’s information technology infrastructure is continuously challenged to keep pace with the rapid increase in externally funded research. To meet the demands of research growth and to plan for future growth, new tools must be designed and implemented across the Research Enterprise in a way that leverages existing IT infrastructure and increases functionality for the entire Research community. Implementation of an end‐to‐end research administration system will allow for immediate process improvements and continued research expenditure growth. The improvement of the information technology infrastructure will be executed concurrently with the reorganization of research administration personnel and business processes. Issue 5 Enhance and improve local impact and social embeddedness Description Development of ASU requires the university to be a fully engaged and integral part of the social, cultural, and economic fabric of the metropolitan area and the state of Arizona. ASU will demonstrate its social embeddedness to the extent that the faculty and staff are supporting and sustaining communities and solving problems through applied research, service, and partnerships in the P‐12 education system, business and industry, government, and the community. ASU must assist in building a socially diverse and economically viable community, in developing civic and community leadership, and in addressing challenges such as poverty, growth, economic development and diversification, social infrastructure, and quality of life. Achieving a higher degree of social embeddedness requires a change in the internal culture of the university as well as a change in the role of the university in the eyes of the community. The university must continue to expect employees to contribute to community life through their expertise, intellect, and engagement. And the community must come to see the university as the key resource and place to get advice about community issues and solutions to community problems. Solutions: Strategy 1: Address the interests and workforce needs of the metropolitan area and state in times of diminishing economic resources. Strategy 2: Enhance partnerships with the community and the state. Strategy 3: Increase the number of qualified teachers to meet the K‐12 educational demands of a growing population and provide opportunities for continuing development ASU - Tempe Dollars are listed in thousands, as requested by agencies. 849 Maintain quality and breadth of baccalaureate degree programs in an environment of diminished and uncertain public investment and plans for cost constraints Description Beginning approximately a decade ago through FY 2012, Arizona State University (ASU) experienced a reduction in public investment of $196,305,700 while student FTE enrollment grew by over 12,000 (20 percent). In response, ASU committed to protecting to the greatest extent possible the educational mission of the university, including reducing administrative and to a lesser extent student services functions rather than academic activities. Colleges and departments were consolidated, eliminating duplicate administrative structures. While the decline in state investment was real, and while the majority of the resulting burden was ameliorated through efficiency measures, reductions in cost, and by federal stimulus funds, tuition increases were relied upon to fill a portion of the lost revenue. Issue 6 In response to the FY 2012 Higher Education Budget Reconciliation Bill, the Arizona Board of Regents (ABOR) convened a work group to extensively study and to develop a methodology to address the public investment per FTE student funding disparity that existed among the three Arizona Universities. As an outcome of the study, ASU requested and received a total of $45.5 million over the three fiscal year period of FY 2013 ‐ FY 2015. In addition to addressing the aforementioned funding disparity, ABOR endorsed the legislatively mandate to develop a funding model calling for performance funding based on metrics and goals set for each of the universities. Although ASU submitted performance funding requests for both FY 2015 and FY2016 it did not receive performance funding in either year. In fact, ASU’s FY 2016 base public investment was reduced by 15 percent ($53.3 million). To mitigate approximately one quarter of this dramatic loss of support ASU implemented a temporary tuition surcharge on resident students. The surcharge will end when public investment restores 50 percent of the $53.3 million reduction. In conjunction with the funding reduction, the Governor challenged ABOR to refashion its existing strategic plan into a sustainable, long‐term business plan that can count on the State of Arizona as one of many investors. The Board of Regents has endorsed a business plan‐based request for public investment which focuses on resident student support with a goal of achieving base funding for half of the Educational and General (E&G) expenses for such students derived from public investment. At present, the state’s public investment supports approximately 34% of the E&G cost for resident students across the university system. ASU’s FY 2018 operating budget request of $45.7 million is comprised of two components, progress toward the goal of the state’s commitment to fund 50 percent of the estimated cost of educating an Arizona resident student and resident student FTE growth funding to maintain annual progress toward the 50 percent funding goal. The $45.7 million is not incremental to ASU’s FY 2017 funding level, as the FY 2017 level included $7 million in one‐time funding that will be returned through the FY 2018 budget process. Finally, ASU is requesting a one‐time capital appropriation of $12.2 million to begin to address a deferred maintenance backlog that has reached the crisis stage. Solutions: Strategies: Strategy 1: Restructure current funding mechanisms to create a sustainable enterprise financial model that relies on the State as one of many investors. Strategy 2: Continue to introduce innovative curricula structures and student advising programs to improve outcomes within an efficient cost structure. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds ASU - Tempe 218.0 41,806.1 29,656.3 37,977.7 20,390.3 218.0 41,783.7 31,139.1 39,117.1 21,613.7 Dollars are listed in thousands, as requested by agencies. 218.0 41,786.1 32,696.1 40,290.6 22,910.5 850 Program Summary INSTRUCTION Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To offer high quality academic degrees, general studies, and honors programs that prepare graduates for personal growth, fulfilling careers, and lifelong contributions to the quality of intellectual life in the community, state, region, and nation. Description: Instruction is comprised of activities carried out during the academic year, summer sessions, and other periods outside the regular term and associated with degree credit and non‐credit academic courses. This program also includes faculty departmental research and public service activities that are not separately budgeted and academic administration where instruction plays an important role, such as at the dean and department chair levels. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 138,710.7 339,657.1 261,292.8 151,978.9 382,683.8 260,001.4 173,316.0 382,683.8 283,266.7 Total Funding 739,660.6 794,664.1 839,266.5 FTE Positions 5,717.4 5,857.1 6,042.1  Goal 1 To improve the quality of undergraduate education. FY 2015 FY 2016 Performance Measures Actual Estimate Average years taken by freshman students to complete a baccalaureate degree program Percentage of undergraduate degree recipients participating in research related or capstone (case study) experience Percent of graduating seniors who rate their overall university experience as good or excellent Percent of full‐time undergraduate students enrolled per semester in three or more primary courses with ranked faculty Number of Bachelors degrees granted FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 4.4 4.4 4.4 4.3 4.3 90 91 92 92 93 89 89 90 90 91 85 85 87 87 88 12,852 13,409 13,164 13,626 14,230  Goal 2 To enhance the number and diversity of the most highly qualified students entering Arizona State University and the Barrett Honors College. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Honors undergraduate headcount students BHC degree recipients (i.e., with honors) Courses offered for honors credit ASU - Tempe 5,416 733 2,967 6,343 775 3,200 6,800 950 3,600 Dollars are listed in thousands, as requested by agencies. 7,200 1,050 3,700 7,500 1,200 3,900 851  Goal 3 To provide support services and courses that assist students in achieving academic success and planning programs of study within their chosen degree curricula. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of tutorials conducted by University Academic Success Programs Number of students enrolled in UNI Academic Success courses to transition successfully to college and achieve academic success Major and Career Exploration (UNI and ASU 101) course sections for exploratory students Number of degree program course audits run by students and staff Number of eAdvisor tracking audits run by students and staff Percent of graduating students who 'have done' or 'plan to do' a practicum, internship, co‐op experience, or clinical assignment. 143,099 146,676 151,076 154,097 157,179 4,779 6,213 6,246 8,120 10,556 171 200 216 272 326 1,548,816 1,703,697 2,051,083 2,256,191 2,481,810 1,101,387 1,211,525 1,782,089 1,960,297 2,156,327 0 0 58 58 59 Explanation: NOTE: Reflects total university  Goal 4 To provide enriched educational opportunities to students by expanding accessibility and delivery of courses. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Summer sessions headcount students 25,522 30,199 30,199 35,525 39,939 92,870 110,267 118,934 138,322 154,921 2,283 2,736 2,808 3,329 3,728 Explanation: NOTE: Reflects total university Internet course registrations during the fall semester (duplicated enrollments) Explanation: NOTE: Reflects total university Internet course sections offered during the fall semester Explanation: NOTE: Reflects total university  Goal 5 To improve graduate education by enhancing programs central to the University's mission, promoting retention and graduation, and increasing the diversity of students. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students enrolled in graduate degree programs Masters degrees granted Doctorate degrees granted First professional degrees granted Minority graduate enrollment as percentage of total enrollment ASU - Tempe 14,870 4,500 668 223 22.3 15,762 5,416 668 225 23.0 15,187 4,520 652 198 23.8 Dollars are listed in thousands, as requested by agencies. 15,567 4,874 662 224 25.5 16,034 5,232 681 239 26.0 852 Program Summary ORGANIZED RESEARCH Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster pre‐eminent scholarship and creative activity that serves the citizens of Arizona through the development, application, and transfer of new knowledge especially beneficial to Arizona. Description: Organized Research includes research activities taking place within centers, divisions, bureaus, institutes and experiment stations formally approved by the Arizona Board of Regents. These activities are specifically created and organized to produce research, whether separately budgeted within the university or commissioned by an external agency, as with federal grants and contracts. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 14,523.1 0.0 199,602.1 13,192.3 0.0 187,929.6 13,192.3 0.0 187,910.1 Total Funding 214,125.2 201,121.9 201,102.4 FTE Positions 1,465.2 1,371.3 1,371.3  Goal 1 To maintain and enhance the University's status as a major research institution. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Dollar value of proposals submitted (in millions) External dollars received for research and creative activity (in millions of dollars) Dollar value of total research expenditures (in millions) Dollar value of externally funded, non‐research expenditures (in millions) FY 2018 Estimate 1,520.0 300.1 1,641.6 324.1 1,703.7 348.9 1,772.9 350.0 1,914.7 378.0 428.5 457.1 461.7 499.4 539.6 32.9 34.5 39.4 36.3 38.1  Goal 2 To continue and improve University efforts to provide opportunities for undergraduate and graduate students to participate in research and creative activity. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Undergraduate students supported by sponsored funds 1,830.0 1,875.8 1,790 1,923 1,971 1,680.0 1,722.0 1,784 1,765 1,809 Explanation: NOTE: Reflects total university Graduate students supported by sponsored funds Explanation: NOTE: Reflects total university ASU - Tempe Dollars are listed in thousands, as requested by agencies. 853 Program Summary PUBLIC SERVICE Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To serve the public by offering a public telecommunications system, by providing the finest available artists and productions in music, theater and dance, by establishing partnerships with local industry and educational institutions to foster community engagement, and by serving as a resource and focal point in providing information about various university services to the business community and economic development professionals. Description: Public Service includes those activities established primarily to provide services beneficial to individuals and groups external to the university to enhance corporate and community engagement. Public Service includes conferences, general advisory services, reference bureaus, public radio and television, consulting, continuing education and professional development programs, and similar services to particular sectors of the community. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 633.3 1,404.0 37,865.9 545.8 1,264.4 36,469.8 545.8 1,264.4 36,498.4 Total Funding 39,903.2 38,280.0 38,308.6 FTE Positions 217.1 219.5 219.5  Goal 1 To provide quality educational and informative television programs and improve services provided to the community, especially in rural areas. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Persons viewing KAET‐TV on a weekly basis (in thousands) Teachers served through educational support programming Students served through educational support programming 1,134 1,168 1,170 1,204 1,241 65,089 67,041 67,119 69,132 71,205 1,236,691 1,273,779 1,286,517 1,325,113 1,364,866  Goal 2 To continue to stage excellent cultural and other nonathletic special events for various diverse constituents. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Persons attending University sponsored cultural events (in thousands) Special events coordinated ASU - Tempe 478 487 559 489 514 445 460 500 525 550 Dollars are listed in thousands, as requested by agencies. 854 Program Summary ACADEMIC SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide services and programs to faculty, staff and students in support of the instructional, research, and service mission of the university. Description: Academic Support services include the retention, preservation, and display of educational materials through libraries, museums and galleries; audio visual and other activities that aid in the transmission of information; separately budgeted course and curriculum development; and academic computing support. Funding: FY 2017 Estimate FY 2018 Estimate 28,086.2 62,255.7 66,505.7 29,538.1 68,436.7 65,457.4 35,626.5 68,436.7 71,802.6 Total Funding 156,847.6 163,432.2 175,865.8 FTE Positions 1,333.8 1,456.0 1,476.0 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To manage the number of books and periodical subscriptions owned by the university libraries for increased accessibility. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Periodical subscriptions Virtual/remote reference transactions Visits to Libraries web site Online catalog use (pageviews) Online databases use (searches) 59,719 59,000 9,140 9,250 3,880,318 3,800,000 3,152,573 2,900,000 12,496,521 12,590,000 63,122 12,299 3,316,682 3,001,289 10,400,014 64,000 12,399 3,400,000 3,100,000 10,450,000 65,000 12,499 3,200,00 3,200,000 10,500,000  Goal 2 To increase impact and attendance by positioning the Museum as a center for research and discovery around new art forms and ideas for students and the public, utilizing strategies of presenting high quality exhibitions at ASU and international venues, international artist residencies, educational events for broad audiences including classes taught in the Museum, and transdisciplinary collaborative projects on and off campus. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Annual attendance at university art collections Annual attendees of lectures and special events 97,300 35,000 100,000 40,000 50,000 25,000 70,000 35,000 90,000 45,000  Goal 3 To employ, provide, and maintain sufficient reliable microcomputer, network, and server resources to support the academic needs of the University. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of mediated classrooms Percentage of classrooms with mediation Number of common computing site seats Percentage of site equipment out dated (>4 years old) ASU - Tempe 433 100 827 3 443 100 827 2 438 100 827 5 Dollars are listed in thousands, as requested by agencies. 448 100 827 15 453 100 827 16 855 Program Summary STUDENT SERVICES Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster the academic, social, emotional, and physical growth of learners by creating an inclusive holistic learning environment that offers services and opportunities for students to maximize their learning experience and become well‐rounded productive citizens. Description: Student Services includes functions and other activities with the primary purpose of contributing to students’ emotional and physical well‐ being and intellectual, cultural and social development outside the context of the formal instruction program. These other activities include cultural events, student newspapers, intramural athletics, student organizations, nonacademic counseling and career guidance, student health services, and the administration at the senior vice presidential level. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 12,965.8 28,740.1 345,695.2 12,894.0 29,874.2 351,394.2 17,986.2 29,874.2 388,929.6 Total Funding 387,401.1 394,162.4 436,790.0 FTE Positions 1,432.8 1,534.1 1,578.1  Goal 1 To promote the emotional and physical well‐being of students by providing quality health care services. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving health care at the Campus Health Service Disabled students served 50,628 51,640 51,722 52,756 53,812 2,079 2,120 2,772 2,827 2,883  Goal 2 To enhance the quality of students' educational experience by providing programs and services which promote involvement in university activities and enhance opportunities for future employment. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Registered campus clubs and organizations Student participation in advising services, workshops, career events, job fairs, on‐campus interviews, Sun Devil CareerLink engagement and special events offered by Career Services to assist students seeking employment, career guidance and professional development. Organizations recruiting on campus and virtually Jobs and internships approved and posted in Sun Devil CareerLink ASU - Tempe 865 73,333 880 75,530 880 80,359 885 84,377 890 88,596 5,493 5,660 6,274 6,462 6,656 0 0 16,795 17,299 17,818 Dollars are listed in thousands, as requested by agencies. 856  Goal 3 To provide services that enhance the likelihood of students' academic success FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Students participating in orientation Students living in first‐year residential communities Students receiving financial assistance in an academic year FY 2018 Estimate 9,523 8,015 9,750 8,482 10,017 8,417 10,200 8,000 10,400 8,100 77,649 79,978 87,684 92,068 96,672 1,194,990 1,230,840 1,370,826 1,439,368 1,511,336 Explanation: NOTE: Reflects total university Dollar volume for all financial assistance programs (dollars in thousands) Explanation: NOTE: Reflects total university  Goal 4 To provide opportunities for men and women by developing and sustaining programs which help student athletes achieve success, both academically and athletically. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Average GPA of student athletes (4.0 highest) Percent of student athletes graduating in six years based on NCAA Graduation Success Rate ASU - Tempe 3.04 82 3.10 84 3.12 84 Dollars are listed in thousands, as requested by agencies. 3.15 87 3.20 88 857 Program Summary INSTITUTIONAL SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide timely, efficient, and effective support for the university’s mission of instruction, research, and public service goals through executive management, administrative information and services, adequate and well maintained facilities, and strong partnerships with alumni, community leaders, and State decision makers. Description: Institutional Support includes central executive level activities concerned with management and long‐range planning for the entire university and the operation and maintenance of the physical plant. Administrative activities include planning and programming, legal services, fiscal operations, administrative data processing, space management, employee personnel and records, purchasing, stores, safety, security, printing, transportation services, community and alumni relations, and development and fundraising. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 46,619.1 103,335.4 549,853.9 47,851.6 110,867.1 654,743.8 60,051.6 110,867.1 660,975.7 Total Funding 699,808.4 813,462.5 831,894.4 FTE Positions 1,493.3 1,550.4 1,550.4  Goal 1 To provide efficient and comprehensive human resources programs and services to the university community in areas such as employment, training, employee relations, and other human resource activities. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of employees trained through targeted institutional programs Administration as a percentage of total cost Job applications processed Positions filled Percent of agency staff turnover (classified staff only) 3,161 2,100 1,977 1,900 2,400 1.00 55,096 1,947 13.7 1.04 62,800 2,100 12.8 1.99 42,484 2,508 15.5 1.86 44,608 2,884 13.5 1.76 44,738 3,316 12.5  Goal 2 To provide customer‐focused, high quality facilities and services to enhance a safe and secure environment in support of the University's mission. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Maintenance work order man‐hours on buildings/tunnels/structures Number of faculty, staff, and students participating in fire and safety training classes Annual Parking Permit Sales to students and staff Community‐based police assignments and contacts ASU - Tempe 205,867 207,926 217,086 219,257 221,449 12,446 13,500 11,646 12,500 13,500 18,800 18,000 19,700 19,000 19,000 368 375 2,584 2,680 2,770 Dollars are listed in thousands, as requested by agencies. 858  Goal 3 To maintain support for all telecommunications systems throughout the University. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Centrally supported Ethernet connections FY 2018 Estimate 134,138 139,000 138,058 132,400 127,000 20.0 20 54.0 20.0 20 62.1 20 20 69.1 20 20 79.4 20 20 91.4 Explanation: NOTE: Reflects total university Internet bandwidth available (in Gigabits) Internet bandwidth burstable (in Gigabits) Wireless hours (in millions) ASU - Tempe Dollars are listed in thousands, as requested by agencies. 859 Agency Summary ASU ‐ POLYTECHNIC Dr. Michael Crow, President Phone: (480) 965‐8972 A.R.S. § 15‐1601 Mission: To emphasize professional and technological programs based in the liberal arts and sciences and engage in intellectual inquiry focused on addressing societal needs by offering undergraduate and graduate programs primarily in professional and technological fields and in selected areas of the liberal arts and sciences; engaging in forms of scholarship involved with discovering, integrating, applying, and transmitting knowledge to address the conditions and concerns of society; and working with community partners in accomplishing all aspects of this mission. Description: Arizona State University at the Polytechnic campus serves over 15,500 students and the metropolitan area through baccalaureate and graduate degree programs as well as through applied research and service. The programs at The Polytechnic campus provide students with the knowledge and extensive technological competence to succeed in their chosen professions and further learning.The Polytechnic campus offers an environment that places students at the center, embraces diversity and interdisciplinary inquiry, and strives to integrate the academic and social lives of students. Programs have outcomes directly relevant to the needs of society and the community, emphasizing collaboration and partnership to foster the educational, economic, and cultural development of local communities, the metropolitan area, the state, and the nation. Agency Summary: ($ Thousands) Program FY 2016 Actual 42,427.4 FY 2017 Estimate 39,892.7 FY 2018 Estimate 44,163.2 7,897.1 1,172.1 7,679.8 1,179.3 7,679.8 1,179.3 12,521.7 17,346.3 17,346.3 5,735.0 58,833.0 6,661.3 58,142.8 8,889.3 58,142.8 128,586.3 130,902.2 137,400.7 FY 2017 Estimate FY 2018 Estimate 22,323.4 38,031.8 68,231.1 22,688.4 44,303.3 63,910.5 25,734.5 44,303.3 67,362.9 Total Funding 128,586.3 130,902.2 137,400.7 FTE Positions 582.2 594.3 616.3  INSTRUCTION  ORGANIZED RESEARCH  PUBLIC SERVICE  ACADEMIC SUPPORT  STUDENT SERVICES  INSTITUTIONAL SUPPORT Agency Total: Funding: General Funds Other Appropriated Funds Other Non Appropriated Funds ASU - Polytechnic FY 2016 Actual Dollars are listed in thousands, as requested by agencies. 860 5 Year Plan Issue 1 Increase participation in postsecondary education and ultimately increase baccalaureate degree production Description To broaden access to a quality education for all segments of the population, ASU must be positioned to accommodate the expected growth in high school graduates, particularly minority populations and a growing pool of older students requiring new job skills. Never in the history of Arizona has a university education been more important. Our knowledge‐based economy and an ever‐increasing trend toward globalization are changing the skills needed for success in the labor force. Yet, rising costs, need for financial aid, and years of under funding of public investments in higher education place the idea of access at risk. Tuition rates approved by the Board of Regents in recent years and future changes consistent with Board policy will help to meet some of the increasing need for financial aid and improve affordability for a greater number of students. ASU is strongly committed to providing access to college for all qualified students. Furtherance of this goal requires bold and sustained planning to provide for the projected increases in enrollments, primarily of undergraduate students. Continued investment will be necessary to provide the infrastructure for the enrollment growth envisioned at each of the campuses. Solutions: Strategy 1: Increase efforts to enroll more Arizona high school graduates. Strategy 2: Increase the diversity of the student population. Strategy 3: Enhance partnerships with the community colleges to facilitate more effective transfer processes. Strategy 4: Increase ASU Online program offerings to increase access for students seeking ASU degrees. Strategy 5: Provide flexibility in course offerings and educational modalities. Strategy 6: Increase financial assistance available to needy students. Strategy 7: Establish Colleges@ASU sites that will provide an opportunity for students to complete baccalaureate degrees at lower costs. ASU - Polytechnic Dollars are listed in thousands, as requested by agencies. 861 Issue 2 Improve the quality of undergraduate and graduate education Description Undergraduate and graduate education are the cornerstones of the university enterprise. Students seek a high quality education that prepares them to be successful in their careers, to contribute to society, and to become lifelong learners. Today’s graduates must have strong communication, team building, and critical thinking skills as well as a global perspective to be successful. A continued emphasis on providing a quality educational experience requires examining and evolving how the university designs and delivers its instructional programs to maximize the impact of education. Improvements can be accomplished through new pedagogical techniques, such as adaptive learning, collaborative learning, service learning, and other learner‐centered approaches; through the appropriate use of technology to enhance the learning environment; through undergraduate education that focuses on the student as an individual; by providing seamless access to the services and resources required for learning and creative and intellectual inquiry; and by providing an environment that fosters student scholarship. ASU continues to conceptualize and create a wide range of new interdisciplinary schools, institutes, centers, and programs that will foster the development of new knowledge. In addition, ASU is enhancing learning environments that facilitate learner‐centered delivery with improved instructional technologies and flexible room design. Necessary public investments will provide the resources needed to improve the learning environments, to accommodate the increased student population, and to hire the faculty necessary to establish national standing for colleges and schools in every field. Solutions: Strategy 1: Increase the number of tenured and tenure‐track faculty. Strategy 2: Enhance the electronic systems that provide students with information to assist their academic planning and progress. Strategy 3: Emphasize learning experiences that are outcomes‐focused. Strategy 4: Expand the use of alternative instructional methodologies and delivery methods. Issue 3 Recruit and retain faculty and staff in highly competitive national and local markets during a period of limited resources Description Quality faculty members are fundamental to a quality university education. Without the best faculty members, providing Arizona citizens the superior quality higher education they deserve and the output of research innovations they expect is impossible, and Arizona will not be able to achieve the necessary cultural and economic vitality required for the state to thrive. At ASU, hiring and retaining outstanding faculty members continues to be a concern. Like the other Arizona universities, ASU struggles to consistently compete in the demanding marketplace of top institutions. With the public investment for salaries between FY05 and FY08, ASU made some progress in improving faculty salaries, enabling the University to recruit and retain highly recognized and respected academics in a variety of fields. But the average salary for faculty members continues to fall below most of its peer institutions. Staff salaries also continue to fall further behind comparable jobs in the relevant markets. Turnover among staff continues to be a significant problem, in part due to salaries that are not competitive with the local market. Solutions: Strategy 1: Close the gap on salaries as defined in the ABOR Annual Personnel Report through an ongoing commitment of performance salary adjustments. Public investment in faculty salaries is critical at this time to retain key faculty members as well as enabling ASU to continue attracting and successfully competing for the highest qualified new faculty members. Strategy 2: Adopt and implement an ongoing commitment of salary improvement to address the significantly negative market position of staff (non‐academic) salaries by targeting budgetary funds at a level anticipating salary movement of 3 ‐ 4% per year, with allocations tied directly to outcome driven performance measures. Strategy 3: Develop and maintain the laboratory facilities and the network and computational resources required by the research community. Maintaining competitiveness in research, faculty and student recruitment and retention requires well‐equipped modern facilities as well as secure access to high capacity network connectivity; computational, data, and analytic resources required to support researchers; and the systems and application support staffing required by individual researchers, clusters, and research teams. Strategy 4: Maintain the program to improve salary and benefits for graduate research and teaching assistants. Other universities with whom ASU competes for top‐quality graduate students have better salary and benefits packages. Excellent graduate students are essential for improving the quality of both graduate programs and the broader research enterprise. ASU - Polytechnic Dollars are listed in thousands, as requested by agencies. 862 Issue 4 Expand research capabilities Description ASU continues to vigorously pursue long‐term initiatives in such areas as health and biosciences, advanced materials, global security, renewable energy and sustainability, learning sciences, informatics and communications. Over the last decade, ASU is the fastest growing research enterprise among U.S. universities with research portfolios exceeding $100M in research expenditures [NSF Surveys]. ASU’s goal is to establish itself as a global center for interdisciplinary research, discovery and development by growing its research expenditures to more than $700M annually by 2020. To support our aspirations, ASU has defined seven strategies and four key focus areas that will allow us to continue our exceptional growth, serve the surrounding community and increase the impact of the research and scholarly work of our faculty. Solutions: Strategy 1: Differentiate ASU from the competition through the procurement of large projects (> $10 million) in several key target areas; health and biosciences, sustainability, flexible electronic systems, light‐inspired energy, personalized learning, global security, and complex adaptive systems. Strategy 2: Pursue a University Affiliated Research Center (UARC)‐like entity (a research laboratory) on the scale of $50‐$100 million per year, in energy, sustainability, advanced materials, national security, or biosciences. Strategy 3: Continue to promote and support ASU’s projects from across the university through the improvement of the Office for Research and Sponsored Project Administration infrastructure, reduction of faculty burden and providing assistance to the academic units for opportunity identification and development. Strategy 4: Continue to expand philanthropic funding for our research programs by working closely with the Foundation to support its activities. Strategy 5: Expand our collaborative research activities with industry to take advantage of their desire to shift basic and applied research requirements to university labs. Strategy 6: Continue to pursue angel and venture investment in emerging companies. Activities will include developing a best‐in‐ class intellectual property team and extension of Sky Song’s entrepreneurship agenda. Strategy 7: Develop and implement plans to provide the research facilities and infrastructure that are required to meet the research goals of the University. Key Focus Area #1: Incorporate new approaches, including continued focus on interdisciplinary research In keeping with the spirit of the New American University vision, we will continue to expand our research capabilities through an interdisciplinary approach. Interdisciplinary research involves not only drawing upon the expertise across the University but also includes partners such as industry, national laboratories, academia and clinical entities. We are focusing our efforts in bringing together researchers from disparate disciplines to tackle complex questions central to the areas of strategic interest. The Biodesign Institute and its research centers exemplify this approach. We are working on new industry‐university consortium models that bring together industry and University researchers working collaboratively to address national challenges and result in significant educational and economic impact. We are increasingly focusing our research on global problems with local relevancy. We are also creating the ecosystems for promotion of innovation and entrepreneurship activities. Key Focus Area #2: Increase participation in multi‐institutional grants and consortiums It is a strategic goal of ASU to be successful in securing several multi‐institution, multi‐disciplinary, multi‐year, multi‐million dollar(4M) research projects. A specific goal is to secure a national research laboratory or its equivalent by 2020. To achieve this objective, we will cultivate, identify, target and develop 4M research opportunities leveraging ASU strengths in strategic research areas. Competitive teams and consortia will be constructed by bringing in complementary strengths through partnerships with national laboratories, academia, industry and government partners to successfully secure these grants. Key Focus Area #3: Accelerate technology transfer initiatives As ASU's research enterprise has expanded over the past several years, AzTE has undertaken a variety of activities in furtherance of its mission to facilitate advancement of University technology into the marketplace. •Closely align AzTE func ons and support with established and new research ini a ves •Con nue focus and support of exis ng ini a ves and programs •Increase connec vity with investors and industry through conferences and other outreach ac vi es ASU - Polytechnic Dollars are listed in thousands, as requested by agencies. 863 •Form a seed stage venture capital fund led by ASU to accelerate the number of faculty related spin‐outs •Increase technology exposure through cross marke ng ac vi es with other universi es •Increase faculty interac on and outreach, including the establishment of an AzTE office on campus to foster faculty rela onships and commercialization activities Key Focus Area #4: Improve infrastructure to support research Achieving our research expenditure goals will require additional research space. The University must develop plans to repurpose existing space and construct new facilities. To develop these plans the University has undertaken an effort to survey unused and underused space, determine return on investment of allocated space and consistently revisit space allocation to respond to the dynamic research needs. Results will be shared with all stakeholders and plans to refurbish and repurpose will be developed to meet current and future needs. Funds for construction of new buildings will involve State, Federal and Philanthropic entities. The University will work with the State to clearly define research priorities and communicate current and future space requirements. Federal and Philanthropic funding opportunities will also be explored where appropriate to address the current and future space requirements. The University’s information technology infrastructure is continuously challenged to keep pace with the rapid increase in externally funded research. To meet the demands of research growth and to plan for future growth, new tools must be designed and implemented across the Research Enterprise in a way that leverages existing IT infrastructure and increases functionality for the entire Research community. Implementation of an end‐to‐end research administration system will allow for immediate process improvements and continued research expenditure growth. The improvement of the information technology infrastructure will be executed concurrently with the reorganization of research administration personnel and business processes. Issue 5 Enhance and improve local impact and social embeddedness Description Development of ASU requires the university to be a fully engaged and integral part of the social, cultural, and economic fabric of the metropolitan area and the state of Arizona. ASU will demonstrate its social embeddedness to the extent that the faculty and staff are supporting and sustaining communities and solving problems through applied research, service, and partnerships in the P‐12 education system, business and industry, government, and the community. ASU must assist in building a socially diverse and economically viable community, in developing civic and community leadership, and in addressing challenges such as poverty, growth, economic development and diversification, social infrastructure, and quality of life. Achieving a higher degree of social embeddedness requires a change in the internal culture of the university as well as a change in the role of the university in the eyes of the community. The university must continue to expect employees to contribute to community life through their expertise, intellect, and engagement. And the community must come to see the university as the key resource and place to get advice about community issues and solutions to community problems. Solutions: Strategy 1: Address the interests and workforce needs of the metropolitan area and state in times of diminishing economic resources. Strategy 2: Enhance partnerships with the community and the state. Strategy 3: Increase the number of qualified teachers to meet the K‐12 educational demands of a growing population and provide opportunities for continuing development ASU - Polytechnic Dollars are listed in thousands, as requested by agencies. 864 Maintain quality and breadth of baccalaureate degree programs in an environment of diminished and uncertain public investment and plans for cost constraints Description Beginning approximately a decade ago through FY 2012, Arizona State University (ASU) experienced a reduction in public investment of $196,305,700 while student FTE enrollment grew by over 12,000 (20 percent). In response, ASU committed to protecting to the greatest extent possible the educational mission of the university, including reducing administrative and to a lesser extent student services functions rather than academic activities. Colleges and departments were consolidated, eliminating duplicate administrative structures. While the decline in state investment was real, and while the majority of the resulting burden was ameliorated through efficiency measures, reductions in cost, and by federal stimulus funds, tuition increases were relied upon to fill a portion of the lost revenue. Issue 6 In response to the FY 2012 Higher Education Budget Reconciliation Bill, the Arizona Board of Regents (ABOR) convened a work group to extensively study and to develop a methodology to address the public investment per FTE student funding disparity that existed among the three Arizona Universities. As an outcome of the study, ASU requested and received a total of $45.5 million over the three fiscal year period of FY 2013 ‐ FY 2015. In addition to addressing the aforementioned funding disparity, ABOR endorsed the legislatively mandate to develop a funding model calling for performance funding based on metrics and goals set for each of the universities. Although ASU submitted performance funding requests for both FY 2015 and FY2016 it did not receive performance funding in either year. In fact, ASU’s FY 2016 base public investment was reduced by 15 percent ($53.3 million). To mitigate approximately one quarter of this dramatic loss of support ASU implemented a temporary tuition surcharge on resident students. The surcharge will end when public investment restores 50 percent of the $53.3 million reduction. In conjunction with the funding reduction, the Governor challenged ABOR to refashion its existing strategic plan into a sustainable, long‐term business plan that can count on the State of Arizona as one of many investors. The Board of Regents has endorsed a business plan‐based request for public investment which focuses on resident student support with a goal of achieving base funding for half of the Educational and General (E&G) expenses for such students derived from public investment. At present, the state’s public investment supports approximately 34% of the E&G cost for resident students across the university system. ASU’s FY 2018 operating budget request of $45.7 million is comprised of two components, progress toward the goal of the state’s commitment to fund 50 percent of the estimated cost of educating an Arizona resident student and resident student FTE growth funding to maintain annual progress toward the 50 percent funding goal. The $45.7 million is not incremental to ASU’s FY 2017 funding level, as the FY 2017 level included $7 million in one‐time funding that will be returned through the FY 2018 budget process. Finally, ASU is requesting a one‐time capital appropriation of $12.2 million to begin to address a deferred maintenance backlog that has reached the crisis stage. Solutions: Strategies: Strategy 1: Restructure current funding mechanisms to create a sustainable enterprise financial model that relies on the State as one of many investors. Strategy 2: Continue to introduce innovative curricula structures and student advising programs to improve outcomes within an efficient cost structure. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds ASU - Polytechnic 23.0 3,046.1 2,115.2 1,693.1 609.1 23.0 3,046.1 2,220.9 1,743.9 645.6 Dollars are listed in thousands, as requested by agencies. 23.0 3,046.1 2,332.0 1,796.3 684.4 865 Program Summary INSTRUCTION Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To offer high quality academic degrees, general studies, and honors programs that prepare graduates for personal growth, fulfilling careers, and lifelong contributions to the quality of intellectual life in the community, state, region, and nation. Description: Instruction is comprised of activities carried out during the academic year, summer sessions, and other periods outside the regular term and associated with degree credit and non‐credit academic courses. This program also includes faculty departmental research and public service activities that are not separately budgeted and academic administration where instruction plays an important role, such as at the dean and department chair levels. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 10,047.4 17,117.3 15,262.7 8,908.9 17,396.1 13,587.7 11,514.8 17,396.1 15,252.3 Total Funding 42,427.4 39,892.7 44,163.2 FTE Positions 320.6 313.8 331.8  Goal 1 To improve undergraduate and graduate education. FY 2015 FY 2016 Performance Measures Actual Estimate Percent of graduating students who rate their overall experience at ASU Polytechnic as good or excellent Percent of full‐time undergraduate students enrolled per semester in three or more primary courses with ranked faculty Number of degrees granted Number of Bachelors degrees granted Number of Masters degrees granted Average number of years taken to graduate for student who began as freshmen Fall semester enrollment (headcount) FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 82 83 87 87 88 84 85 83 83 84 1,073 835 232 4.7 1,156 871 279 4.6 1,599 930 665 4.6 1,684 963 717 4.5 1,779 1,005 770 4.5 12,290 14,550 14,632 15,525 16,301  Goal 2 To provide support services and courses that assist students in achieving academic success. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of tutorials conducted by University Academic Success Programs ASU - Polytechnic 0 0 14,644 Dollars are listed in thousands, as requested by agencies. 16,108 19,609 866 Program Summary ORGANIZED RESEARCH Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster pre‐eminent scholarship and creative activity that serves the citizens of Arizona through the development, application, and transfer of new knowledge especially beneficial to Arizona. Description: Organized Research includes research activities taking place within centers, divisions, bureaus, institutes and experiment stations formally approved by the Arizona Board of Regents. These activities are specifically created and organized to produce research, whether separately budgeted within the university or commissioned by an external agency, as with federal grants and contracts. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 7,897.1 0.0 0.0 7,679.8 0.0 0.0 7,679.8 Total Funding 7,897.1 7,679.8 7,679.8 FTE Positions 42.1 40.2 40.2  Goal 1 To provide support mechanisms for ASU Polytechnic researchers in an effort to increase research and sponsored project activities. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Dollar value of sponsored project proposals submitted (in millions) External dollars received for research and creative activity (in millions) Dollar value of total research expenditures (in millions) Dollar value of externally funded, non‐research expenditures (in millions) ASU - Polytechnic 49.3 53.2 49.6 57.5 62.1 6.9 7.5 9.3 8.0 8.6 9.9 10.5 7.1 7.7 8.3 1.5 1.6 1.9 1.7 1.8 Dollars are listed in thousands, as requested by agencies. 867 Program Summary PUBLIC SERVICE Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To serve the public by offering a public telecommunications system, by providing the finest available artists and productions in music, theater and dance, by establishing partnerships with local industry and educational institutions to foster community engagement, and by serving as a resource and focal point in providing information about various university services to the business community and economic development professionals. Description: Public Service includes those activities established primarily to provide services beneficial to individuals and groups external to the university to enhance corporate and community engagement. Public Service includes conferences, general advisory services, reference bureaus, public radio and television, consulting, continuing education and professional development programs, and similar services to particular sectors of the community. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 1,172.1 0.0 0.0 1,179.3 0.0 0.0 1,179.3 Total Funding 1,172.1 1,179.3 1,179.3 FTE Positions 7.2 7.1 7.1  Goal 1 To partner with industry and the community to develop innovative solutions and to provide high quality continuing education courses and training programs. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of people served in professional activities (The Poly School). Number of iProject and external (non‐agency) research sponsors. 122 121 118 120 125 54 44 30 45 50 To provide meaningful community engagement opportunities through education. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate FY 2018 Estimate  Goal 2 Number of attendees at K‐12 outreach activities. ASU - Polytechnic 8,319 9,309 10,626 Dollars are listed in thousands, as requested by agencies. 10,271 11,325 868 Program Summary ACADEMIC SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide services and programs to faculty, staff and students in support of the instructional, research, and service mission of the university. Description: Academic Support services include retention, preservation, and display of educational materials through libraries, museums and galleries; audio visual and other activities that aid in the transmission of information; separately budgeted course and curriculum development; and academic computing support. Funding: FY 2017 Estimate FY 2018 Estimate 3,952.2 6,733.4 1,836.1 5,306.9 10,362.8 1,676.6 5,306.9 10,362.8 1,676.6 Total Funding 12,521.7 17,346.3 17,346.3 FTE Positions 109.3 115.1 115.1 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To provide Library Services as an integral and essential component in the academic success of students and faculty. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Library gate count Workstations available for public use in library facilities Number of hours the library is open each week 122,941 29 125,000 30 141,893 29 145,000 29 150,000 30 87 87 87 87 87  Goal 2 To provide students and faculty with the technological resources and services needed to support accomplishment of their academic goals. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of mediated classrooms Percentage of classrooms with mediation Number of common computing site seats Percentage of site equipment outdated (>4 years old) ASU - Polytechnic 95 100 93 0 98 100 93 0 98 100 93 0 Dollars are listed in thousands, as requested by agencies. 97 100 93 11 99 100 93 11 869 Program Summary STUDENT SERVICES Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster the academic, social, emotional, and physical growth of learners by creating an inclusive holistic learning environment that offers services and opportunities for students to maximize their learning experience and become well‐rounded productive citizens. Description: Student Services includes functions and other activities with the primary purpose of contributing to students’ emotional and physical well‐ being and intellectual, cultural and social development outside the context of the formal instruction program. These other activities include cultural events, student newspapers, intramural athletics, student organizations, nonacademic counseling and career guidance, student health services, and the administration at the senior vice presidential level. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,890.2 3,220.3 624.5 2,104.6 4,109.6 447.1 2,544.8 4,109.6 2,234.9 Total Funding 5,735.0 6,661.3 8,889.3 FTE Positions 43.9 41.4 45.4  Goal 1 To promote the emotional and physical well‐being of students by providing quality health care services. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving health care at the Student Health Center (provider/nurse visits) 2,005 2,165 2,249 2,429 2,623  Goal 2 To enhance the quality of students' educational experience by providing programs and services which promote involvement in university activities and enhance opportunities for future employment. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of students registered to receive services from Disability Resource Center Registered campus clubs and organizations Organizations physically recruiting on campus and virtually Students participating in career‐related programs 0 0 328 344 361 70 133 76 138 83 93 88 98 92 103 0 0 6,824 7,029 7,240  Goal 3 To provide services that enhance the likelihood of students' academic success by providing experiences that are designed to facilitate a smooth transition to the university. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students participating in student orientation experiences Students living in first‐year residential communities ASU - Polytechnic 452 475 498 515 530 400 425 425 440 450 Dollars are listed in thousands, as requested by agencies. 870 Program Summary INSTITUTIONAL SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide timely, efficient, and effective support for the university’s mission of instruction, research, and public service goals through executive management, administrative information and services, adequate and well maintained facilities, and strong partnerships with alumni, community leaders, and State decision makers. Description: Institutional Support includes central executive level activities concerned with management and long‐range planning for the entire university and the operation and maintenance of the physical plant. Administrative activities include planning and programming, legal services, fiscal operations, administrative data processing, space management, employee personnel and records, purchasing, stores, safety, security, printing, transportation services, community and alumni relations, and development and fundraising. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,433.6 10,960.8 41,438.6 6,368.0 12,434.8 39,340.0 6,368.0 12,434.8 39,340.0 Total Funding 58,833.0 58,142.8 58,142.8 FTE Positions 59.1 76.7 76.7  Goal 1 To provide comprehensive administrative and human resource services to the campus community. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Job applications processed Positions filled Percent of agency staff turnover (classified staff only) Administration as a percentage of total cost 1,715 57 15.8 1,700 51 15.5 1,099 81 3.2 1,154 85 3.0 1,211 89 2.8 0.88 1.13 1.99 1.86 1.76  Goal 2 To provide a safe and secure environment that responds to the needs of students, faculty, and staff as the campus grows. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Crime reports Calls for service ASU - Polytechnic 99 2,103 80 2,250 112 1,599 Dollars are listed in thousands, as requested by agencies. 121 1,726 130 1,864 871 Agency Summary ASU ‐ WEST Dr. Michael Crow, President Phone: (480) 965‐8972 A.R.S. § 15‐1601 Mission: To become a comprehensive campus that balances the traditions of liberal arts education with responsiveness to the dynamics of workforce requirements. The West campus colleges and schools are committed to teaching and research that are innovative, interdisciplinary, collaborative and problem‐based. Description: ASU at the West campus is located in Phoenix and serves over 19,800 residential and commuter students of diverse ages, ethnicity, and experience through baccalaureate programs, master’s programs, doctoral programs and certificate programs. The West campus focuses on developing a learning community that addresses the needs of a diverse metropolitan environment. It does this by offering learner‐ centered academic programs that enhance learning through teaching, service and enrichment opportunities; promoting discovery and innovation; pursuing new knowledge; introducing insights and creative ideas through instruction; encouraging direct involvement in new fields of inquiry; investigating important community‐based issues; and integrating with the community through service based on scholarship. Agency Summary: ($ Thousands) Program  INSTRUCTION  ORGANIZED RESEARCH  PUBLIC SERVICE  ACADEMIC SUPPORT  STUDENT SERVICES  INSTITUTIONAL SUPPORT Agency Total: Funding: FY 2016 Actual 58,604.3 3,952.2 FY 2017 Estimate 75,466.7 3,834.1 FY 2018 Estimate 78,403.8 3,834.1 3,819.1 3,756.6 3,756.6 29,102.9 9,653.1 39,164.2 9,768.8 39,985.7 10,319.1 68,019.8 78,897.8 78,897.8 173,151.4 210,888.2 215,197.1 FY 2017 Estimate FY 2018 Estimate FY 2016 Actual General Funds Other Appropriated Funds Other Non Appropriated Funds 28,945.0 43,131.7 101,074.7 29,413.5 45,790.5 135,684.2 32,541.1 45,790.5 136,865.5 Total Funding 173,151.4 210,888.2 215,197.1 FTE Positions 1,003.5 1,124.8 1,147.8 ASU - West Dollars are listed in thousands, as requested by agencies. 872 5 Year Plan Issue 1 Increase participation in postsecondary education and ultimately increase baccalaureate degree production Description To broaden access to a quality education for all segments of the population, ASU must be positioned to accommodate the expected growth in high school graduates, particularly minority populations and a growing pool of older students requiring new job skills. Never in the history of Arizona has a university education been more important. Our knowledge‐based economy and an ever‐increasing trend toward globalization are changing the skills needed for success in the labor force. Yet, rising costs, need for financial aid, and years of under funding of public investments in higher education place the idea of access at risk. Tuition rates approved by the Board of Regents in recent years and future changes consistent with Board policy will help to meet some of the increasing need for financial aid and improve affordability for a greater number of students. ASU is strongly committed to providing access to college for all qualified students. Furtherance of this goal requires bold and sustained planning to provide for the projected increases in enrollments, primarily of undergraduate students. Continued investment will be necessary to provide the infrastructure for the enrollment growth envisioned at each of the campuses. Solutions: Strategy 1: Increase efforts to enroll more Arizona high school graduates. Strategy 2: Increase the diversity of the student population. Strategy 3: Enhance partnerships with the community colleges to facilitate more effective transfer processes. Strategy 4: Increase ASU Online program offerings to increase access for students seeking ASU degrees. Strategy 5: Provide flexibility in course offerings and educational modalities. Strategy 6: Increase financial assistance available to needy students. Strategy 7: Establish Colleges@ASU sites that will provide an opportunity for students to complete baccalaureate degrees at lower costs ASU - West Dollars are listed in thousands, as requested by agencies. 873 Issue 2 Improve the quality of undergraduate and graduate education Description Undergraduate and graduate education are the cornerstones of the university enterprise. Students seek a high quality education that prepares them to be successful in their careers, to contribute to society, and to become lifelong learners. Today’s graduates must have strong communication, team building, and critical thinking skills as well as a global perspective to be successful. A continued emphasis on providing a quality educational experience requires examining and evolving how the university designs and delivers its instructional programs to maximize the impact of education. Improvements can be accomplished through new pedagogical techniques, such as adaptive learning, collaborative learning, service learning, and other learner‐centered approaches; through the appropriate use of technology to enhance the learning environment; through undergraduate education that focuses on the student as an individual; by providing seamless access to the services and resources required for learning and creative and intellectual inquiry; and by providing an environment that fosters student scholarship. ASU continues to conceptualize and create a wide range of new interdisciplinary schools, institutes, centers, and programs that will foster the development of new knowledge. In addition, ASU is enhancing learning environments that facilitate learner‐centered delivery with improved instructional technologies and flexible room design. Necessary public investments will provide the resources needed to improve the learning environments, to accommodate the increased student population, and to hire the faculty necessary to establish national standing for colleges and schools in every field. Solutions: Strategy 1: Increase the number of tenured and tenure‐track faculty. Strategy 2: Enhance the electronic systems that provide students with information to assist their academic planning and progress. Strategy 3: Emphasize learning experiences that are outcomes‐focused. Strategy 4: Expand the use of alternative instructional methodologies and delivery methods. Issue 3 Recruit and retain faculty and staff in highly competitive national and local markets during a period of limited resources Description Quality faculty members are fundamental to a quality university education. Without the best faculty members, providing Arizona citizens the superior quality higher education they deserve and the output of research innovations they expect is impossible, and Arizona will not be able to achieve the necessary cultural and economic vitality required for the state to thrive. At ASU, hiring and retaining outstanding faculty members continues to be a concern. Like the other Arizona universities, ASU struggles to consistently compete in the demanding marketplace of top institutions. With the public investment provided by the state for salaries between FY05 and FY08, ASU made some progress in improving faculty salaries, enabling the University to recruit and retain highly recognized and respected academics in a variety of fields. But the average salary for faculty members continues to fall below most of its peer institutions. Staff salaries also continue to fall further behind comparable jobs in the relevant markets. Turnover among staff continues to be a significant problem, in part due to salaries that are not competitive with the local market. Solutions: Strategy 1: Close the gap on salaries as defined in the ABOR Annual Personnel Report through an ongoing commitment of performance salary adjustments. Public investment in faculty salaries is critical at this time to retain key faculty members as well as enabling ASU to continue attracting and successfully competing for the highest qualified new faculty members. Strategy 2: Adopt and implement an ongoing commitment of salary improvement to address the significantly negative market position of staff (non‐academic) salaries by targeting budgetary funds at a level anticipating salary movement of 3 ‐ 4% per year, with allocations tied directly to outcome driven performance measures. Strategy 3: Develop and maintain the laboratory facilities and the network and computational resources required by the research community. Maintaining competitiveness in research, faculty and student recruitment and retention requires well‐equipped modern facilities as well as secure access to high capacity network connectivity; computational, data, and analytic resources required to support researchers; and the systems and application support staffing required by individual researchers, clusters, and research teams. Strategy 4: Maintain the program to improve salary and benefits for graduate research and teaching assistants. Other universities with whom ASU competes for top‐quality graduate students have better salary and benefits packages. Excellent graduate students are essential for improving the quality of both graduate programs and the broader research enterprise. ASU - West Dollars are listed in thousands, as requested by agencies. 874 Issue 4 Expand research capabilities Description ASU continues to vigorously pursue long‐term initiatives in such areas as health and biosciences, advanced materials, global security, renewable energy and sustainability, learning sciences, informatics and communications. Over the last decade, ASU is the fastest growing research enterprise among U.S. universities with research portfolios exceeding $100M in research expenditures [NSF Surveys]. ASU’s goal is to establish itself as a global center for interdisciplinary research, discovery and development by growing its research expenditures to more than $700M annually by 2020. To support our aspirations, ASU has defined seven strategies and four key focus areas that will allow us to continue our exceptional growth, serve the surrounding community and increase the impact of the research and scholarly work of our faculty. Solutions: Strategy 1: Differentiate ASU from the competition through the procurement of large projects (> $10 million) in several key target areas; health and biosciences, sustainability, flexible electronic systems, light‐inspired energy, personalized learning, global security, and complex adaptive systems. Strategy 2: Pursue a University Affiliated Research Center (UARC)‐like entity (a research laboratory) on the scale of $50‐$100 million per year, in energy, sustainability, advanced materials, national security, or biosciences. Strategy 3: Continue to promote and support ASU’s projects from across the university through the improvement of the Office for Research and Sponsored Project Administration infrastructure, reduction of faculty burden and providing assistance to the academic units for opportunity identification and development. Strategy 4: Continue to expand philanthropic funding for our research programs by working closely with the Foundation to support its activities. Strategy 5: Expand our collaborative research activities with industry to take advantage of their desire to shift basic and applied research requirements to university labs. Strategy 6: Continue to pursue angel and venture investment in emerging companies. Activities will include developing a best‐in‐ class intellectual property team and extension of Sky Song’s entrepreneurship agenda. Strategy 7: Develop and implement plans to provide the research facilities and infrastructure that are required to meet the research goals of the University. Key Focus Area #1: Incorporate new approaches, including continued focus on interdisciplinary research In keeping with the spirit of the New American University vision, we will continue to expand our research capabilities through an interdisciplinary approach. Interdisciplinary research involves not only drawing upon the expertise across the University but also includes partners such as industry, national laboratories, academia and clinical entities. We are focusing our efforts in bringing together researchers from disparate disciplines to tackle complex questions central to the areas of strategic interest. The Biodesign Institute and its research centers exemplify this approach. We are working on new industry‐university consortium models that bring together industry and University researchers working collaboratively to address national challenges and result in significant educational and economic impact. We are increasingly focusing our research on global problems with local relevancy. We are also creating the ecosystems for promotion of innovation and entrepreneurship activities. Key Focus Area #2: Increase participation in multi‐institutional grants and consortiums It is a strategic goal of ASU to be successful in securing several multi‐institution, multi‐disciplinary, multi‐year, multi‐million dollar(4M) research projects. A specific goal is to secure a national research laboratory or its equivalent by 2020. To achieve this objective, we will cultivate, identify, target and develop 4M research opportunities leveraging ASU strengths in strategic research areas. Competitive teams and consortia will be constructed by bringing in complementary strengths through partnerships with national laboratories, academia, industry and government partners to successfully secure these grants. Key Focus Area #3: Accelerate technology transfer initiatives As ASU's research enterprise has expanded over the past several years, AzTE has undertaken a variety of activities in furtherance of its mission to facilitate advancement of University technology into the marketplace. •Closely align AzTE func ons and support with established and new research ini a ves •Con nue focus and support of exis ng ini a ves and programs •Increase connec vity with investors and industry through conferences and other outreach ac vi es ASU - West Dollars are listed in thousands, as requested by agencies. 875 •Form a seed stage venture capital fund led by ASU to accelerate the number of faculty related spin‐outs •Increase technology exposure through cross marke ng ac vi es with other universi es •Increase faculty interac on and outreach, including the establishment of an AzTE office on campus to foster faculty rela onships and commercialization activities Key Focus Area #4: Improve infrastructure to support research Achieving our research expenditure goals will require additional research space. The University must develop plans to repurpose existing space and construct new facilities. To develop these plans the University has undertaken an effort to survey unused and underused space, determine return on investment of allocated space and consistently revisit space allocation to respond to the dynamic research needs. Results will be shared with all stakeholders and plans to refurbish and repurpose will be developed to meet current and future needs. Funds for construction of new buildings will involve State, Federal and Philanthropic entities. The University will work with the State to clearly define research priorities and communicate current and future space requirements. Federal and Philanthropic funding opportunities will also be explored where appropriate to address the current and future space requirements. The University’s information technology infrastructure is continuously challenged to keep pace with the rapid increase in externally funded research. To meet the demands of research growth and to plan for future growth, new tools must be designed and implemented across the Research Enterprise in a way that leverages existing IT infrastructure and increases functionality for the entire Research community. Implementation of an end‐to‐end research administration system will allow for immediate process improvements and continued research expenditure growth. The improvement of the information technology infrastructure will be executed concurrently with the reorganization of research administration personnel and business processes. Issue 5 Enhance and improve local impact and social embeddedness Description Development of ASU requires the university to be a fully engaged and integral part of the social, cultural, and economic fabric of the metropolitan area and the state of Arizona. ASU will demonstrate its social embeddedness to the extent that the faculty and staff are supporting and sustaining communities and solving problems through applied research, service, and partnerships in the P‐12 education system, business and industry, government, and the community. ASU must assist in building a socially diverse and economically viable community, in developing civic and community leadership, and in addressing challenges such as poverty, growth, economic development and diversification, social infrastructure, and quality of life. Achieving a higher degree of social embeddedness requires a change in the internal culture of the university as well as a change in the role of the university in the eyes of the community. The university must continue to expect employees to contribute to community life through their expertise, intellect, and engagement. And the community must come to see the university as the key resource and place to get advice about community issues and solutions to community problems. Solutions: Strategy 1: Address the interests and workforce needs of the metropolitan area and state in times of diminishing economic resources. Strategy 2: Enhance partnerships with the community and the state. Strategy 3: Increase the number of qualified teachers to meet the K‐12 educational demands of a growing population and provide opportunities for continuing development ASU - West Dollars are listed in thousands, as requested by agencies. 876 Maintain quality and breadth of baccalaureate degree programs in an environment of diminished and uncertain public investment and plans for cost constraints Description Beginning approximately a decade ago through FY 2012, Arizona State University (ASU) experienced a reduction in public investment of $196,305,700 while student FTE enrollment grew by over 12,000 (20 percent). In response, ASU committed to protecting to the greatest extent possible the educational mission of the university, including reducing administrative and to a lesser extent student services functions rather than academic activities. Colleges and departments were consolidated, eliminating duplicate administrative structures. While the decline in state investment was real, and while the majority of the resulting burden was ameliorated through efficiency measures, reductions in cost, and by federal stimulus funds, tuition increases were relied upon to fill a portion of the lost revenue. Issue 6 In response to the FY 2012 Higher Education Budget Reconciliation Bill, the Arizona Board of Regents (ABOR) convened a work group to extensively study and to develop a methodology to address the public investment per FTE student funding disparity that existed among the three Arizona Universities. As an outcome of the study, ASU requested and received a total of $45.5 million over the three fiscal year period of FY 2013 ‐ FY 2015. In addition to addressing the aforementioned funding disparity, ABOR endorsed the legislatively mandate to develop a funding model calling for performance funding based on metrics and goals set for each of the universities. Although ASU submitted performance funding requests for both FY 2015 and FY2016 it did not receive performance funding in either year. In fact, ASU’s FY 2016 base public investment was reduced by 15 percent ($53.3 million). To mitigate approximately one quarter of this dramatic loss of support ASU implemented a temporary tuition surcharge on resident students. The surcharge will end when public investment restores 50 percent of the $53.3 million reduction. In conjunction with the funding reduction, the Governor challenged ABOR to refashion its existing strategic plan into a sustainable, long‐term business plan that can count on the State of Arizona as one of many investors. The Board of Regents has endorsed a business plan‐based request for public investment which focuses on resident student support with a goal of achieving base funding for half of the Educational and General (E&G) expenses for such students derived from public investment. At present, the state’s public investment supports approximately 34% of the E&G cost for resident students across the university system. ASU’s FY 2018 operating budget request of $45.7 million is comprised of two components, progress toward the goal of the state’s commitment to fund 50 percent of the estimated cost of educating an Arizona resident student and resident student FTE growth funding to maintain annual progress toward the 50 percent funding goal. The $45.7 million is not incremental to ASU’s FY 2017 funding level, as the FY 2017 level included $7 million in one‐time funding that will be returned through the FY 2018 budget process. Finally, ASU is requesting a one‐time capital appropriation of $12.2 million to begin to address a deferred maintenance backlog that has reached the crisis stage. Solutions: Strategies: Strategy 1: Restructure current funding mechanisms to create a sustainable enterprise financial model that relies on the State as one of many investors. Strategy 2: Continue to introduce innovative curricula structures and student advising programs to improve outcomes within an efficient cost structure. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds ASU - West 23.0 3,127.6 2,209.5 3,816.6 821.1 23.0 3,127.6 2,320.0 3,931.1 870.4 Dollars are listed in thousands, as requested by agencies. 23.0 3,127.6 2,436.0 4,049.1 922.6 877 Program Summary INSTRUCTION Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To offer high quality academic degrees, general studies, and honors programs that prepare graduates for personal growth, fulfilling careers, and lifelong contributions to the quality of intellectual life in the community, state, region, and nation. Description: Instruction is comprised of activities carried out during the academic year, summer sessions, and other periods outside the regular term and associated with degree credit and non‐credit academic courses. This program also includes faculty departmental research and public service activities that are not separately budgeted and academic administration where instruction plays an important role, such as at the dean and department chair levels. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 11,972.7 17,840.6 28,791.0 12,638.8 19,675.9 43,152.0 14,394.6 19,675.9 44,333.3 Total Funding 58,604.3 75,466.7 78,403.8 FTE Positions 613.0 715.0 727.0  Goal 1 To improve undergraduate and graduate education. FY 2015 FY 2016 Performance Measures Actual Estimate Percentage of undergraduate degree recipients participating in research related or capstone (case study) experience Percent of graduating seniors who rate their overall university experience as good or excellent Percent of full‐time undergraduate students enrolled per semester in three or more primary courses with ranked faculty Fall semester enrollment (full‐time equivalent) Minority graduate students as a percentage of total enrollment FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 94 93 93 94 94 90 90 90 90 91 85 85 86 86 87 6,609 27.4 7,800 28.0 7,952 28.2 8,806 31.0 9,422 32.0  Goal 2 To provide support services and courses that assist students in achieving academic success. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of undergraduate students graduating with internships and field experiences Number of tutorials offered by Academic Success Programs ASU - West 33 33 26 29 32 14,121 14,474 14,544 14,980 15,429 Dollars are listed in thousands, as requested by agencies. 878  Goal 3 To retain students and help them graduate. FY 2015 Performance Measures Actual Percent of first‐time, full‐time freshman persisting after one year Percent of first‐time, full‐time, upper‐division, degree‐seeking undergraduate students graduating in four years Number of degrees granted Number of Bachelors degrees granted Number of Masters degrees granted FY 2016 Estimate FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 81.6 83.0 84.4 83.0 85.0 77 75 76 79 79 1,704 1,155 536 1,863 1,205 645 1,820 1,170 632 1,911 1,211 681 2,015 1,265 732 Program Summary ORGANIZED RESEARCH Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster pre‐eminent scholarship and creative activity that serves the citizens of Arizona through the development, application, and transfer of new knowledge especially beneficial to Arizona. Description: Organized Research includes research activities taking place within centers, divisions, bureaus, institutes and experiment stations formally approved by the Arizona Board of Regents. These activities are specifically created and organized to produce research, whether separately budgeted within the university or commissioned by an external agency, as with federal grants and contracts. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 3,952.2 0.0 0.0 3,834.1 0.0 0.0 3,834.1 Total Funding 3,952.2 3,834.1 3,834.1 FTE Positions 29.5 28.5 28.5  Goal 1 To provide a variety of research related opportunities for faculty so that they can improve their teaching and research activity skills. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Dollar value of proposals submitted (in millions) External dollars received for research and creative activity (in millions) Dollar value of total research expenditures (in millions) Dollar value of externally funded, non‐research expenditures (in millions) ASU - West 76.6 24.1 82.7 25.3 77.5 31.8 89.3 26.6 96.4 28.7 11.7 12.4 12.5 13.5 14.6 18.0 18.4 14.1 19.3 20.3 Dollars are listed in thousands, as requested by agencies. 879 Program Summary PUBLIC SERVICE Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To serve the public by offering a public telecommunications system, by providing the finest available artists and productions in music, theater and dance, by establishing partnerships with local industry and educational institutions to foster community engagement, and by serving as a resource and focal point in providing information about various university services to the business community and economic development professionals. Description: Public Service includes those activities established primarily to provide services beneficial to individuals and groups external to the university to enhance corporate and community engagement. Public Service includes conferences, general advisory services, reference bureaus, public radio and television, consulting, continuing education and professional development programs, and similar services to particular sectors of the community. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 3,819.1 0.0 0.0 3,756.6 0.0 0.0 3,756.6 Total Funding 3,819.1 3,756.6 3,756.6 FTE Positions 22.2 21.3 21.3  Goal 1 To serve local businesses and communities through various partnerships, events, and activities. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of community/business participatory events both on and off campus. ASU - West TBD TBD Dollars are listed in thousands, as requested by agencies. 97 120 130 880 Program Summary ACADEMIC SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide services and programs to faculty, staff and students in support of the instructional, research, and service mission of the university. Description: Academic Support services include retention, preservation, and display of educational materials through libraries, museums and galleries; audio visual and other activities that aid in the transmission of information; separately budgeted course and curriculum development; and academic computing support. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,781.4 10,105.0 12,216.5 6,846.2 10,658.0 21,660.0 7,667.7 10,658.0 21,660.0 Total Funding 29,102.9 39,164.2 39,985.7 FTE Positions 143.9 144.9 150.9  Goal 1 To develop a cohesive integrated tiered reference/research support service. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Library volumes 322,672 321,000 321,469 620,000 FY 2018 Estimate 619,700 Explanation: NOTE: Increase in FY17 due to move of documents from Tempe to West campus Items checked out including renewals Items borrowed from other ASU libraries Items borrowed from libraries outside ASU 11,611 1,690 1,136 12,000 1,700 1,150 11,502 1,559 1,205 12,000 1,600 1,250 14,000 1,700 1,400 To improve technology equipment access, training, and support for students. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate FY 2018 Estimate  Goal 2 Number of mediated classrooms Percentage of classrooms with mediation Number of common computing site seats Percentage of site equipment out dated (>4 years old) ASU - West 61 100 144 0 63 100 125 0 61 100 144 0 Dollars are listed in thousands, as requested by agencies. 63 100 144 7 65 100 144 7 881 Program Summary STUDENT SERVICES Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To foster the academic, social, emotional, and physical growth of learners by creating an inclusive holistic learning environment that offers services and opportunities for students to maximize their learning experience and become well‐rounded productive citizens. Description: Student Services includes functions and other activities with the primary purpose of contributing to students’ emotional and physical well‐ being and intellectual, cultural and social development outside the context of the formal instruction program. These other activities include cultural events, student newspapers, intramural athletics, student organizations, nonacademic counseling and career guidance, student health services, and the administration at the senior vice presidential level. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 3,605.8 5,373.2 674.1 3,568.2 5,555.0 645.6 4,118.5 5,555.0 645.6 Total Funding 9,653.1 9,768.8 10,319.1 FTE Positions 101.1 107.0 112.0  Goal 1 To promote the emotional and physical well‐being of students by providing quality health care services. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving health care on campus Disabled students served 1,734 146 1,803 173 1,504 295 1,564 310 1,627 326  Goal 2 To enhance the quality of students' educational experience by providing programs and services which promote involvement in university activities and enhance opportunities for future employment. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Registered campus clubs and organizations Student participation in advising services, workshops, career events, job fairs, on‐campus interviews, virtual professional development services, specials events offered by Career Services to assist students seeking employment, career guidance and professional development Organizations physically recruiting on campus ASU - West 55 8,151 60 8,395 62 7,591 65 7,819 68 8,054 141 146 146 150 155 Dollars are listed in thousands, as requested by agencies. 882 Program Summary INSTITUTIONAL SUPPORT Melinda Gebel, Director Phone: (480) 965‐2318 A.R.S. § 15‐1601 Mission: To provide timely, efficient, and effective support for the university’s mission of instruction, research, and public service goals through executive management, administrative information and services, adequate and well maintained facilities, and strong partnerships with alumni, community leaders, and State decision makers. Description: Institutional Support includes central executive level activities concerned with management and long‐range planning for the entire university and the operation and maintenance of the physical plant. Administrative activities include planning and programming, legal services, fiscal operations, administrative data processing, space management, employee personnel and records, purchasing, stores, safety, security, printing, transportation services, community and alumni relations, and development and fundraising. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,585.1 9,812.9 51,621.8 6,360.3 9,901.6 62,635.9 6,360.3 9,901.6 62,635.9 Total Funding 68,019.8 78,897.8 78,897.8 FTE Positions 93.8 108.1 108.1  Goal 1 To provide comprehensive administrative and human resource services to the campus community. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Job applications processed Positions filled Percent of agency staff turnover (classified staff only) Administration as a percent of total cost 3,788 97 12.8 4,900 126 12.6 3,046 141 5.0 3,198 148 4.8 3,358 155 4.5 1.60 1.75 1.99 1.86 1.76  Goal 2 To provide a safe and secure environment that responds to the needs of students, faculty, and staff. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Crime reports Calls for Service ASU - West 115 1,872 127 2,078 68 1,423 Dollars are listed in thousands, as requested by agencies. 73 1,536 78 1,658 883 Agency Summary NORTHERN ARIZONA UNIVERSITY Dr. Rita Cheng, President Phone: (928) 523‐3232 A.R.S. §§ 15‐1601 et seq. Mission: To develop solutions to challenges and drive innovation in a supportive, inclusive and diverse environment. Our academic programs, research, public service and creative endeavors enrich and create opportunities in Arizona and beyond. Description: Founded in 1899, Northern Arizona University is a vibrant community committed to teaching as learning, research as innovation, and service as shared leadership. Northern Arizona University is a part of the Arizona University System and embraces its newly developed vision statement: Rigorous programs and pioneering research with substantial community impact provide the foundation for transformational student opportunities that prepare graduates to excel in creating a sustainable future, nationally and globally. •NAU is dis nguished for its quality of teaching, focusing on student‐centered learning experiences in crea ve environments and for its dynamic research. We challenge students to adapt and respond to evolving social pressures and global issues. •NAU is celebrated for its personally transforma onal rela onships that enhance educa onal opportuni es. We empower students to succeed by ensuing accessibility and inclusiveness of diverse experiences and backgrounds. •NAU is renowned for its na onal and global leadership and service as our graduates guide the world toward a vibrant future, crea ng cultural vitality, superior education, improved public health and positive economic outcomes throughout our communities. With a growing enrollment in fall 2016 that includes 30,368 students from all states and 79 countries, Northern Arizona University reaches out to students regionally with community campuses and opportunities for distance learning. From its inception, NAU has implemented innovative and accountable teaching practices, including the effective use of technology. Accredited by the Higher Learning Commission/North Central Association of Colleges and Schools, the university embraces diversity and promotes inclusion across the university community as a means to prepare graduates to contribute to the social, economic, and environmental needs of a culturally rich society. It inspires students to become active citizens, leaders, visionaries, and problem solvers with an understanding of global issues. In addition to integrating sustainability themes across curriculum, Northern Arizona University’s beautiful 740 acre campus models sustainable operations through multi‐modal transportation, environmentally responsible waste disposal, energy‐efficient green construction, and sustainability in food procurement. In May 2014, the University was awarded a gold rating from the Sustainability, Tracking, Assessment and Rating System (STARS). Agency Summary: ($ Thousands) Program  INSTRUCTION  ORGANIZED RESEARCH  PUBLIC SERVICE  ACADEMIC SUPPORT  STUDENT SERVICES  INSTITUTIONAL SUPPORT  AUXILARY PROGRAM Agency Total: Northern Arizona University FY 2016 Actual 186,238.4 31,238.4 FY 2017 Estimate 184,837.5 31,187.4 FY 2018 Estimate 198,585.9 31,404.9 2,399.4 2,290.6 2,290.6 32,306.7 151,398.2 33,232.7 168,562.8 39,096.4 170,576.9 86,306.6 74,582.1 105,137.3 76,806.3 108,067.3 79,425.0 564,469.8 602,054.6 629,447.0 Dollars are listed in thousands, as requested by agencies. 884 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 100,106.2 145,286.6 319,077.0 104,109.9 147,283.3 350,661.4 125,738.5 147,283.3 356,425.2 Total Funding 564,469.8 602,054.6 629,447.0 FTE Positions 3,342.2 3,652.0 3,861.2 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 885 5 Year Plan Issue 1 Education Excellence Description The core of the university mission is to provide outstanding education through high‐engagement, high‐impact instruction that provides the foundation for transformational student opportunities. Northern Arizona University serves a wide range of students reflecting the population of Arizona. With a high research activity residential campus, community campuses and online programs, NAU offers a variety of delivery models and tuition levels to meet student needs. Solutions: ‐Improve retention and student success through impactful practices and data driven analysis ‐Invest in distinctive, high demand programs in healthcare fields and STEM ‐Leverage technology to pursue degree quality and cost containment ‐Serve an increasing number of Arizona students Access Issue 2 Description Students with compe ng priori es, or who are me‐or‐place‐bound, find access to high quality degrees through NAU’s partnerships with community colleges, including NAU Yuma and NAU Yavapai, as well as online programs. Solutions: ‐Expand transfer student pipeline through renewed relationships with community colleges and streamlined university processes ‐Build out Personalized Learning with additional degree programs ‐Maintain lower cost options for baccalaureate degrees ‐Leverage and optimize merit and need based financial aid Issue 3 Research Capabilities Description The university’s research, funded mostly through federal and state grants and contracts, is nationally recognized in selective areas of excellence. Both research and public service activities have deep regional roots and global impact ranging in areas from astronomy and health sciences to land management and environmental sciences. The university will build on these areas while developing additional strategic strengths in emerging technologies and big data, bioengineering, informatics and cybersystems. Solutions: ‐Increase number of research‐active faculty and post‐doctoral scholars ‐Incentivize participation in technology transfer and increase technology marketing efforts ‐Foster biomedical research partnerships ‐Support research centers and institutes focusing on regionally‐relevant public service ‐Provide sufficient research infrastructure ‐Improve salary and benefits for research and teaching assistants Issue 4 Financial Stability Description With a relatively young Foundation and lower overall endowment levels, the university is primarily dependent on tuition revenue and state funding to serve Arizona’s higher education and workforce needs. With increasing enrollments and lower state funding to support each student, the university must carefully manage its resources to support the pursuit of the 2025 Enterprise metric targets. Solutions: ‐Promote a stable state investment funding model that is base on the state funding 50% of resident student education costs ‐Maintain high productivity of degrees awarded ‐Develop and maintain an agile organizational structure ‐Balance tuition rates, financial aid and enrollment strategies in conjunction with the state investment model ‐Prioritize investments in facility maintenance and new infrastructure while leveraging 3rd party partnerships ‐Optimize revenue streams through grants and contracts, philanthropy and auxiliary services Northern Arizona University Dollars are listed in thousands, as requested by agencies. 886 Resource Assumptions Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds FY2019 Estimate FY2020 Estimate FY2021 Estimate 110.0 115.0 120.0 8,000.0 8,200.0 8,400.0 7,000.0 7,500.0 8,000.0 2,000.0 2,500.0 3,000.0 3,000.0 3,500.0 4,000.0 Program Summary INSTRUCTION Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To increase the educational attainment of Arizona citizens by producing enough high‐quality university degrees for the state to be nationally competitive by the year 2025. Description: Northern Arizona University, a public, high‐research activity university, serving 21,820 (fall 2016) students at its main campus in Flagstaff and at more than 24 sites across the state. With its solid reputation as a university with all the features of a large institution, but with a personal touch, NAU carefully balances teaching, scholarship and service with a faculty and staff dedicated to each student's success. The emphasis is on undergraduate education, but a wide range of graduate programs and research opportunities are offered that extend to such national concerns as forest health and bioterrorism. NAU has carefully integrated on‐campus education with educational opportunities online and at campuses and sites throughout Arizona, forming seamless avenues for students to earn degrees. This Program Contains the following Subprograms:  Flagstaff and Statewide Instruction  Yuma Instruction Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,947.4 118,286.6 61,004.4 8,117.8 122,283.3 54,436.4 20,850.0 122,283.3 55,452.6 Total Funding 186,238.4 184,837.5 198,585.9 FTE Positions 1,424.0 1,559.3 1,694.3 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 887 Subprogram Summary FLAGSTAFF AND STATEWIDE INSTRUCTION Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To increase the educational attainment of Arizona citizens by producing enough high‐quality university degrees for the state to be nationally competitive by the year 2025. Description: Improving student learning environment and college experience, focusing on student success, involving students in research opportunities, and promoting interdisciplinary pedagogy are key initiatives supporting the university’s strategic goal of being a learning‐centered university. Additionally, enhancing technology‐enabled learning environment, accelerating graduation time, and providing new access initiatives are important toward achieving student access, learning, persistence, and affordability. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 4,601.7 118,286.6 60,742.5 5,643.3 122,283.3 54,304.7 18,375.5 122,283.3 55,310.6 Total Funding 183,630.8 182,231.3 195,969.4 FTE Positions 1,400.2 1,530.9 1,662.6 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 888  Goal 1 To provide access to educational opportunities for undergraduate and graduate students. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of students enrolling in study abroad programs. Increase the number of historically underrepresented ethnic students. Increase the number of International students. Increase the number of Native American students. Bachelor degrees granted to statewide students, (includes community campuses and online only). 2 3 2 3 3 9,410 9,425 10,824 10,950 10,960 1,426 1,702 1,430 1,710 1,435 1,770 1,450 1,780 1,460 1,800 1,542 1,550 1,581 1,590 1,600 Explanation: Bachelor degrees granted to statewide students, (includes community campuses and online only), as of 9/28/2016 Total degrees and certificates granted (includes all campuses). 7,204 7,235 7,293 7,310 7,350 Explanation: Total degrees and certificates granted (includes all campuses). Per IPEDS Completions, Preliminary Counts, as of 9/28/2016. Percentage of full‐time, undergraduate students enrolled per semester in three or more primary courses with ranked faculty Number of Bachelor degrees granted 80 80 81 82 82 5,104 5,120 5,117 5,125 5,150 Explanation: Does not include Yuma campus. Per IPEDS Completions Report, as of 9/28/2016. Percent of graduating seniors who rate their overall university experience as good or excellent 93 93 92 93 93 4.48 4.5 4.42 4.4 4.4 1,180 1,190 1,288 1,295 1,300 56 58 60 77 80 85 842 850 860 Explanation: Graduating/Senior 2016 Survey Average number of years taken to graduate for students who began as first‐time, full‐time freshmen. Explanation: First‐time, full‐time freshmen. Graduate degrees awarded at the master's level Explanation: All campuses. Per IPEDS Completions, Preliminary Counts, as of 9/28/2016. Graduate degrees awarded at the doctoral level 59 60 Explanation: Graduate degrees awarded at the doctoral level, as of 9/28/2016. Doctorate degrees awarded in the DPT category. 68 70 Explanation: Doctorate degrees awarded in the DPT category, as of 9/28/2016. Graduate degrees granted (Statewide and Online only) 739 745 Explanation: Graduate degrees granted (Statewide and Online only, includes masters and doctorates,) as of 9/28/2016. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 889 Subprogram Summary YUMA INSTRUCTION Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To serve the higher educational learning needs of Yuma and the lower Colorado River Region. Description: NAU‐Yuma offers a variety of degrees and program. Areas of study include biology, business, criminal justice, education, environmental science, nursing, psychology, sociology, social work and Spanish. In partnership with our Flagstaff campus we offer additional course options online. Designated as a federally, recognized Hispanic Serving Institution (HSI) branch campus, NAU‐Yuma provides NAU faculty in Flagstaff and across the state with applied research opportunities in areas that facilitate trans‐border studies, economic development, public safety and health, multicultural education, and environmental sustainability. With a Hispanic population of 31% in Arizona, this ties to our effort to meet the goal of increasing the number of Arizona residents with a bachelor degree. Co‐located on the beautiful campus with Arizona Western College, NAU‐Yuma is a student‐oriented educational community, offering schedules designed for working students, smaller classes and individualized academic advising. NAU‐Yuma now has a free Writing Center available to students, services include: consultation on writing issues, classroom visits, writing workshops, writing materials, and online resources. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,345.7 0.0 261.9 2,474.5 0.0 131.7 2,474.5 0.0 142.0 Total Funding 2,607.6 2,606.2 2,616.5 FTE Positions 23.8 28.4 31.7 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 890  Goal 1 To provide access to higher education learning experiences for Yuma Arizona students. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Arizona residents enrolled in undergraduate programs. Bachelor degrees/certificates granted to Yuma students. FY 2018 Estimate 496 500 524 530 535 143 145 141 145 145 Explanation: Per IPEDS Completions, Preliminary Counts, as of 9/28/2016. Undergraduate degree programs offered, per ABOR Academic Program Inventory. 16 16 15 16 16 8 8 9 9 9 50 55 50 52 55 81 82 54 75 80 68 70 65 67 68 Explanation: per ABOR Academic Program Inventory Graduate degree programs offered. per ABOR Academic Program Inventory. Explanation: per ABOR Academic Program Inventory Percent of students graduating (6‐year for first time, freshmen.) Percent of students graduating (5 year rate for lower‐division, full‐time transfer students.) Percent of students graduating (4 year rate for upper division, full‐time transfer students.)  Goal 2 To provide a rich learning environment with exposure to diverse populations and cultures for all Yuma students. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent Hispanic graduate students enrolled at the Yuma campus. Hispanic student degrees/certificates awarded at YUMA. 54 56 47 50 53 121 125 117 120 120 73 74 75 Explanation: Per IPEDS Completions, Preliminary Counts, as of 9/28/2016 Percent of Hispanic undergraduate students at the Yuma campus. 71 71 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 891 Program Summary ORGANIZED RESEARCH Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To foster opportunities for research, scholarship, and creative activity, and increase the prominence of the system’s research enterprise so that it can contribute to the knowledge economy and improve the quality of life in Arizona. Description: Faculty, students, and staff at Northern Arizona University are actively engaged in their disciplines and in scholarly work, and NAU is known and recognized as the major research university producing basic and applied knowledge addressing the challenges of the interior western US. NAU graduates understand the nature of research, investigation, and original work, and are prepared to contribute such work to their communities and employers. NAU is nationally known as a center for first‐rate undergraduate research and creative work. This Program Contains the following Subprograms:  Flagstaff and Statewide Organized Research  Yuma Organized Research Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,675.1 0.0 24,563.3 5,248.2 0.0 25,939.2 5,248.2 0.0 26,156.7 Total Funding 31,238.4 31,187.4 31,404.9 FTE Positions 233.2 261.8 265.5 Subprogram Summary FLAGSTAFF AND STATEWIDE ORGANIZED RESEARCH Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To advance knowledge and economic development through integrated, intentional research and scholarship on the Flagstaff campus and other Arizona communities. Description: Northern Arizona University’s research and creative activities result in new knowledge and innovation that: ‐strengthens the outstanding education provided by the university; ‐fosters the continued learning of faculty, staff and students; ‐and benefits the environmental, economic, and cultural vitality of our region and society. The Flagstaff campus is where you will find linked graduate education and scholarship – strong master’s degree programming with a clear professional and applied focus, select doctoral programs and primarily applied research. NAU will undertake initiatives in areas and platforms of recognized and developing excellence such as bioscience, sustainability systems, and Native American programs. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 892 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 6,675.1 0.0 24,563.3 5,248.2 0.0 25,939.2 5,248.2 0.0 26,156.7 Total Funding 31,238.4 31,187.4 31,404.9 FTE Positions 233.2 261.8 265.5  Goal 1 To offer graduate programs contributing to research and innovation in Arizona FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Graduate students enrolled in Flagstaff's Master's level programs. Graduate students enrolled in Flagstaff's Doctoral level programs. Graduate degrees granted to Flagstaff students, (masters and doctorates). FY 2018 Estimate 1,343 1,350 1,356 1,360 1,370 369 370 366 370 380 568 575 620 625 625 36 Million 37 Million 38 Million Explanation: Per IPEDS Completions, Preliminary Counts, as of 9/28/2016. Value of total Research Expenditures (in millions) 0 0 Explanation: New Measure  Goal 2 To offer graduate programs which meet needs for graduate level instruction, such as teacher education or advanced professional training. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Graduate students enrolled in statewide Master's level programs. Graduate students enrolled in statewide Doctoral level programs. 2,721 2,750 2,595 2,600 2,625 259 260 338 360 390 Subprogram Summary YUMA ORGANIZED RESEARCH Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To advance knowledge through integrated, intentional research and scholarship at NAU‐Yuma. Description: NAU‐Yuma, a branch campus, is committed to developing resources related to its mission to provide baccalaureate and graduate programming for Yuma students, and growing knowledge that contributes to the growth and development of Yuma students and the southwestern Arizona economy and quality of life. NAU‐YUMA recently received a National Science Foundation award in the amount of $613,347 to be used for 30 undergraduate students majoring in Biology or Environmental Science. This award will help to promote the number and diversity of the Science, Technology Engineering and Math (STEM) students in the program. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 893  Goal 1 To offer graduate programs which meet needs for graduate level instruction, and expand integrated, intentional research and scholarship. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Yuma Graduate students enrolled in Master's level programs. 137 138 95 100 105 Program Summary PUBLIC SERVICE Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To elevate the environmental, economic, social, and cultural vitality of our communities through collaborative stewardship of place. Description: Northern Arizona University engages in a significant level of applied research and public service focused on the peoples and areas served. Examples of public service programs include the Arizona K‐12 Center, KNAU‐FM radio, the Institute for Human Development, the Civic Service Institute, the Institute for Tribal Environmental Professionals, the Art Museum and other programs benefiting Arizona. This Program Contains the following Subprograms:  Flagstaff and Statewide Public Service  Yuma Public Service Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,399.4 0.0 0.0 2,290.6 0.0 0.0 2,290.6 0.0 0.0 Total Funding 2,399.4 2,290.6 2,290.6 FTE Positions 7.3 7.5 7.5 Subprogram Summary FLAGSTAFF AND STATEWIDE PUBLIC SERVICE Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To support innovation, volunteerism, and engagement in our communities and to use the university’s abundant artistic and civic service resources to enhance our engagement with the community and the world. Description: Northern Arizona University promotes scholarship that increases engagement with local communities and addresses key global challenges and partners with individuals, institutions, and communities to advance renewable resources and sustainable practices. Northern Arizona University also serves as the cultural center for northern Arizona through its 100,000‐watt public radio station, including 13 transmitters and by providing public access to theatrical, musical, and artistic events. The Civic Service Institute (CSI) enhances the quality of life in Arizona and the Southwest Region by engaging volunteers, who contribute by serving others with needs and helping non‐profit organizations meet critical community needs. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 894 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,941.6 0.0 25,295.7 2,207.1 0.0 24,177.5 2,207.1 0.0 24,392.8 Total Funding 27,237.3 26,384.6 26,599.9 FTE Positions 146.5 149.1 150.8  Goal 1 To be a partner in the cultural climate of Arizona and the Southwest region. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Theater, Art Shows and various season performances. https://events.nau.edu/ Music concerts and film series scheduled. https://events.nau.edu/ FY 2018 Estimate 35 36 36 36 38 60 60 55 60 60 FY 2017 Estimate FY 2018 Estimate  Goal 2 To enhance the quality of life in Arizona and the Southwest region. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Total Civic Service Institute Volunteer Hours. To mobilize generations to give service assisting community agencies to meet critical community need. Large increase due to resurgence of AmeriCorps Program. Collaborating Agencies under the Civic Service Institute. To strengthen public and private community agencies throughout Arizona by increasing volunteer capacity in the following focus areas: disaster services, economic opportunity, education, environmental stewardship, healthy futures, and veterans and military families. Number of participating volunteers. To mobilize generations, including youth, young adults, students, and older adults to give meaningful service in communities throughout Arizona and make a difference in the lives of others. Number of individuals benefited by CSI services. To make a difference in the lives of others by mobilizing volunteers to assist individuals via community agencies throughout Arizona. 202,538 175,000 304,929 310,000 320,000 276 300 250 275 300 2,81 2,500 1,904 2,500 2,750 51,2530 50,000 317,993 320,000 325,000 Large increase due to serving families in Northern Arizona through the local food banks. This data had not been recorded before. Explanation: Change in Measure Northern Arizona University Dollars are listed in thousands, as requested by agencies. 895 Subprogram Summary YUMA PUBLIC SERVICE Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To develop structures and practices that promote ties between NAU‐Yuma and local business, industry, and cultural connections. Description: NAU‐Yuma is highly engaged in the community. They are continually developing undergraduate research projects that address issues relative to the region, as well as internships and service learning opportunities with local companies and agencies. NAU‐Yuma works in collaboration with other institutions of higher education and the community to ensure that workforce and civic educational needs of the community are met. A community effort that began in November 2006 called “One Book Yuma" chose "Falling from Horses," written by Molly Gloss for 2015‐ 16. The author hosted 3 book signing events for the community at large. This joint literacy effort encourages people to read and contemplate the same book, and come together to discuss it in a variety of settings. http://yumalibrary.org/one‐book‐yuma‐2016/ Sponsors include: NAU, AWC, Yuma County Library District, Yuma Reading Council, The Yuma Arizona Sun and Yuma Friends of Yuma County Libraries.  Goal 1 To increase the workforce development with local business and NAU‐YUMA. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Arizona Town Hall Meetings held in Yuma. http://www.aztownhall.org/Community_Town_ Halls Number of Arizona Western College transfer students who attend NAU. Projects sponsored by the NAU YUMA Social Work Student Association throughout the Yuma community. http://nau.edu/Yuma‐Sites/Arts‐ Sciences/Degrees/Social‐Work/Social‐Work‐ Student‐Association/ FY 2018 Estimate 2 2 20 2 2 232 240 223 230 230 0 0 4 4 5 Explanation: New Measure Northern Arizona University Dollars are listed in thousands, as requested by agencies. 896 Program Summary ACADEMIC SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To support quality student learning and to foster excellence in educational practices. Description: The primary goals of academic support services are to ensure a commitment to student success and high expectations for student learning by all faculty, staff, and students. Academic support services support instruction through functions such as: (1) effective instructional design and pedagogy; (2) coordinating, assessing, and supporting academic programs to ensure close articulation of the offerings from various colleges and departments to ensure students fulfill general education and program learning expectations; (3) providing access to scholarly materials and other learning tools developed by the library; (4) providing for technology enhanced learning, and (5) internationalizing the campus. During 2015, NAU was awarded the Integrated Planning and Advising Services (iPASS) grant which is funded by Educause/Gates Foundation. NAU is in the process of transforming student advising and mentoring via unification of our student information streams into a single system that will inform and coordinate faculty and staff interactions with students. Historically, NAU has had several independent student information systems including academic advising notes, student affairs records, faculty alerts, a curriculum planner and student risk scores. We are implementing Salesforce, a customer relations management software, to host all of this information in a single system. The transformational aims of this project will be reinforced by project leadership, modeling a team approach to student support. This Program Contains the following Subprograms:  Flagstaff and Statewide Academic Support  Yuma Academic Support Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,744.5 27,000.0 2,562.2 5,059.7 25,000.0 3,173.0 10,957.3 25,000.0 3,139.1 Total Funding 32,306.7 33,232.7 39,096.4 FTE Positions 386.5 406.6 457.2 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 897 Subprogram Summary FLAGSTAFF AND STATEWIDE ACADEMIC SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To offer exemplary academic support services to the Flagstaff campus and statewide communities. Description: In order to respond effectively to the expected growth in the number of both traditional and nontraditional prospective Arizona students, Northern Arizona University is committed to providing support for Flagstaff students and students throughout the state. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,310.1 27,000.0 2,542.3 4,639.9 25,000.0 3,163.9 10,537.5 25,000.0 3,135.1 Total Funding 31,852.4 32,803.8 38,672.6 FTE Positions 381.5 402.6 453.2  Goal 1 To provide a physical and online environment that supports student and faculty learning, teaching and research. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of users in the library Number of electronic journal titles available Number of items provided for NAU students, faculty and staff via Document Delivery Services Number of research consultations completed by library staff Numbers are lower than estimated due to a shortage in staffing throughout the year. Number of laptop check outs by students Fiscal year 2016 numbers were over estimated, projections for the next 2 year fiscal years are conservative. Number of digital items available to end users in the Colorado Plateau Archives Questions answered by Cline Library staff A change in counting method resulted in a lower actual amount. Electronic books supplied by Cline Library Study room and studio uses Cline Library hours open per week Northern Arizona University 506,151 81,140 25,536 525,000 83,000 28,000 524,540 88,412 29,540 543,425 90,000 30,000 550,000 93,000 30,500 713 725 454 475 500 31,178 34,000 31,155 31,200 32,135 107,292 111,000 111,750 114,240 116,525 5,761 10,000 4,929 5,000 5,105 192,956 21,385 108.5 195,000 21,500 108.5 232,571 26,831 116.5 250,000 28,175 116.5 275,000 29,020 117 Dollars are listed in thousands, as requested by agencies. 898 Subprogram Summary YUMA ACADEMIC SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To provide leadership in the development, use, and assessment of technologies in administrative systems and educational programs. Description: NAU – Yuma, a branch campus of North‐Yuma’s partnerships with Arizona Western College (Yuma and La Paz Counties) and Imperial Valley College (Imperial County) provides students an innovative, direct path to complete four‐year programs. [NAU also shares an academic partnership with Imperial Valley College (IVC) in California. Under the Arizona Board of Regents' IVC students are able to take and transfer 6 credit hours at NAU‐Yuma without having to pay out‐of‐state tuition fees.] Recently, the Accreditation Council for Business Schools and Programs Baccalaureate/Graduate Degree board of commissioners awarded the Yuma Branch Campus of Northern Arizona accreditation of its Bachelor of Business Administration (BBA) program. The accreditation certifies that the teaching and learning processes within the business program meet the rigorous educational standards established by the council. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 434.4 0.0 19.9 419.8 0.0 9.1 419.8 0.0 4.0 Total Funding 454.3 428.9 423.8 FTE Positions 5.0 4.0 4.0 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 899  Goal 1 To improve statewide access to network services, general computing resources, and instructional technology for NAU YUMA faculty and students. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Academic Complex Computer Lab Workstations 125 130 130 130 135 2 2 2 2 2 21,493 21,500 17,121 18,000 18,000 The Academic Complex Computer Lab, is the central, open‐access computer lab on the Arizona Western College and NAU‐Yuma Branch Campus. It is located in the NAU‐Yuma Academic Complex building. There are 125+ computer workstations, the majority of which run Microsoft Windows. Macintosh computers are also available. The computer lab is available to all NAU and AWC students and is open more than 80 hours a week during the Fall and Spring semesters. http://yuma.nau.edu/StudentResources.aspx NAU‐YUMA and AWC academic libraries. As an NAU‐Yuma student, you have access to two libraries for research resources and services. The AWC/NAU‐Yuma Academic Library, located in the LR building (map), offers numerous class resources, as well as personal assistance from the NAU‐Yuma Librarian. For library assistance, contact the library reference desk as 928‐344‐7777 or contact the NAU‐ Yuma Librarian directly at 928‐317‐6435. The NAU Cline Library also provides NAU‐Yuma students with tens of thousands electronic research resources. Cline librarians are ready to assist you via phone, email, chat, or text. Amount raised from the Yuma Chapter of the NAU Alumni Association for Scholarships. Explanation: NAU Foundation Office Northern Arizona University Dollars are listed in thousands, as requested by agencies. 900 Program Summary STUDENT SERVICES Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To create a culture of inclusion that contributes to a rich learning experience and helps prepare students for a engaged social responsiveness in a global environment. Description: A variety of innovative programs have been designed to attract students and help them persist at NAU. Student services are primarily provided by the division of Enrollment Management and Student Affairs (EMSA) which includes the following campus service programs and activities: Housing/Parking/Shuttle Services, Campus Health Services, EMSA Communications, EMSA Analytics and Assessment, Undergraduate Admissions and Orientation, Financial Aid and Scholarships, Campus Services and Activities and Student Affairs. The following student service programs are aimed at improving student success: Academic Peer Coaches, First Scholars, Honors Program, Peer Jacks Mentoring, and Student Success Coaching amongst others. This Program Contains the following Subprograms:  Flagstaff and Statewide Student Services  Yuma Student Services Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 25,728.3 0.0 125,669.9 24,271.9 0.0 144,290.9 24,271.9 0.0 146,305.0 Total Funding 151,398.2 168,562.8 170,576.9 FTE Positions 419.5 484.2 489.9 Subprogram Summary FLAGSTAFF AND STATEWIDE STUDENT SERVICES Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To recruit and retain students and provide services leading to student success. Description: A variety of innovative programs have been designed to attract students and help them persist at NAU‐Flagstaff. Residence Life and Dining Services collaborated to streamline business processes by combining housing and dining contracts. Enrollment Management Services provided 13 orientation sessions, in addition to 198 High School Visitations, College Fairs and Open Houses throughout the year. Union and Student Activities strive to offer the finest services, conveniences, and amenities for the students of NAU while providing cultural, social, leisure and recreational opportunities as part of a well‐considered plan for the campus community. In addition the unit provides valuable experiential learning opportunities and leadership development. Students studying in statewide programs also have access to a broad array of student services. Many services are delivered on line, such as reviewing the university catalogs, buying books, planning a career, viewing degree progress, or improving study skills through tutoring and tips. Statewide sites also offer in‐person service, and local NAU campus staff are trained to help students get the support and access needed. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 901 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 25,584.0 0.0 125,669.9 24,098.9 0.0 144,290.9 24,098.9 0.0 146,305.0 Total Funding 151,253.9 168,389.8 170,403.9 FTE Positions 416.5 482.2 487.9  Goal 1 To assist Flagstaff students in cultural, physical, and social development/wellness by providing services, activities, and events. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students use/participation: Counseling Services visits. 7,148 8,944 7,735 8,500 9,000 1,578 2,000 2,175 2,200 2,250 28,886 25,000 35,641 36,000 37,000 338 350 365 380 395 Explanation: Per CHS Inclusion and Multicultural Services (IMS) and Native American Student Services (NASS) participants. Change in Measure. Explanation: Per EMSA Total use of computer lab in Inclusion and Multicultural Services (IMS) and Native American Student Services (NASS) programs. Change in Measure. Explanation: Per EMSA Number of Student Life registered organizations. http://nau.edu/Student‐Life/Student‐ Organizations/ Northern Arizona University Dollars are listed in thousands, as requested by agencies. 902  Goal 2 To support Flagstaff student learning by providing financial support services to qualified students within the specific limitations of the financial aid system. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving financial aid by categories: Scholarships. 8,260 9,086 9,543 10,497 11,547 916 1,008 762 838 922 7,758 8,534 8,060 8,866 9,753 4,157 4,573 4,246 4,671 5,138 10,111 11,122 10,161 11,177 12,295 Explanation: Per EMSA Students receiving financial aid by categories: Waivers Explanation: Per EMSA Students receiving financial aid by categories: Grants Explanation: Per EMSA Students receiving financial aid by categories: Employment Explanation: Per EMSA Students receiving financial aid by categories: Loans Explanation: Per EMSA  Goal 3 To support Statewide student learning by providing financial support services to qualified students within the specific limitations of the financial aid system. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving financial aid by categories: Scholarships 688 757 619 681 749 158 174 149 164 180 3,015 3,318 3,262 3,588 3,947 52 52 55 61 67 3,331 3,664 3,534 3,887 4,276 Explanation: Per EMSA Students receiving financial aid by categories: Waivers Explanation: Per EMSA Students receiving financial aid by categories: Grants Explanation: Per EMSA Students receiving financial aid by categories: Employment Explanation: Per EMSA Students receiving financial aid by categories: Loans Explanation: Per EMSA Northern Arizona University Dollars are listed in thousands, as requested by agencies. 903 Subprogram Summary YUMA STUDENT SERVICES Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To recruit and retain students and provide services leading to student success. Description: NAU‐Yuma is highly student centered and works with students to help them achieve educational and career goals. Student services staff are committed to making the learning experience easy to access and successful. Recently, NAU‐Yuma has approved five student clubs/organizations: Bien Hecho, Justice Studies Club, NAU Yuma Branch Science Club, Social Work Student Association and the Student Nurses’ Association of NAU. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 144.3 0.0 0.0 173.0 0.0 0.0 173.0 0.0 0.0 Total Funding 144.3 173.0 173.0 FTE Positions 3.0 2.0 2.0  Goal 1 To support NAU‐Yuma student learning by providing financial support services to qualified students. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students receiving financial aid by categories: Scholarships 135 149 148 163 179 10 11 6 7 7 359 395 386 425 467 23 25 23 25 28 255 281 247 272 299 Explanation: Per EMSA Students receiving financial aid by categories: Waivers Explanation: Per EMSA Students receiving financial aid by categories: Grants Explanation: Per EMSA Students receiving financial aid by categories: Employment Explanation: Per EMSA Students receiving financial aid by categories: Loans Explanation: Per EMSA Northern Arizona University Dollars are listed in thousands, as requested by agencies. 904 Program Summary INSTITUTIONAL SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To continuously improve institutional effectiveness and organizational performance in support of the universities mission and strategic goals. Description: NAU‐Yuma is in the early stages of development as a branch campus of Northern Arizona University. In the past, institutional support functions for NAU‐Yuma were handled by the central Northern Arizona University offices. Designated as a federally, recognized Hispanic Serving Institution (HSI) branch campus, NAU‐Yuma provides NAU faculty in Flagstaff and across the state with applied research opportunities in areas that facilitate trans‐border studies, economic development, public safety and health, multicultural education, and environmental sustainability. With a Hispanic population of 31% in Arizona, this ties to our effort to meet the goal of increasing the number of Arizona residents with a bachelor degree. This Program Contains the following Subprograms:  Flagstaff and Statewide Institutional Support  Yuma Institutional Support Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 55,611.5 0.0 30,695.1 59,121.7 0.0 46,015.6 62,120.5 0.0 45,946.8 Total Funding 86,306.6 105,137.3 108,067.3 FTE Positions 570.4 612.0 616.8 Subprogram Summary FLAGSTAFF AND STATEWIDE INSTITUTIONAL SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To maximize faculty and staff commitment through workforce practices and services that contribute to the long‐term viability of the university and to advance NAU's mission by anticipating and providing exceptional services to the Flagstaff campus and statewide communities. Description: Institutional Support services include the Equity and Access Office (formerly Affirmative Action Office, which will include Disability Resources as of FY17), Facility Services, the Comptroller’s Office, Human Resources, the Budget Office and many other offices committed to ensuring the university functions effectively and efficiently. Northern Arizona University Dollars are listed in thousands, as requested by agencies. 905 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 55,611.5 0.0 30,695.1 59,121.7 0.0 46,015.6 62,120.5 0.0 45,946.8 Total Funding 86,306.6 105,137.3 108,067.3 FTE Positions 570.4 612.0 616.8  Goal 1 To enhance the safety and the learning/working environment. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual NAU numbers of: Equity and Access formal and informal complaints, consultations and ADA issue contacts. Updates now include data on Disability Resources. People trained proactively by the Office of Equity and Access, on‐line and in person. Note: The projected increase in training sessions for FY 2017 are due to Title IX/HIPAA compliance standards; and starting in FY 2018 there will be an annual mandatory refresher training course required for all employees. People served by the Office of Employee Assistance and Wellness. Large increase due to Healthy U and Yoga programs. FY 2017 Estimate FY 2018 Estimate 389 425 386 1,400 1,400 4808 5,000 5,327 7,000 7,250 6,418 6,400 7,518 7,775 7,900 137 135 188 180 180 11 14 12 12 12 12 11 15 12 10 FY 2017 Estimate FY 2018 Estimate Explanation: NAU EAW Programs offered by the Office of Employee Assistance and Wellness Explanation: NAU EAW Internal audits conducted. Explanation: Per Internal Audit Office Percent of agency staff turnover  Goal 2 To improve the physical living, working, and learning environment. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual State appropriations for building renewal (in millions.). Operation and maintenance of plant, (in millions.) Northern Arizona University 0.34 13.2 0 15.1 17.3 25.6 25.6 29.6 28.0 28.0 Dollars are listed in thousands, as requested by agencies. 906 Subprogram Summary YUMA INSTITUTIONAL SUPPORT Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. § 15‐1601 Mission: To extend the reach of Northern Arizona University by providing educational programs, developing student services, and fostering intellectual, cultural, and scholarly activity in a collaborative manner that meets the unique needs of the diverse and growing communities of the lower Colorado River region. Description: NAU‐Yuma is in the early stages of development as a branch campus of Northern Arizona University. In the past, institutional support functions for NAU‐Yuma were handled by the central Northern Arizona University offices. These functions may evolve at NAU‐Yuma during the next few years.  Goal 1 To improve the physical living, working, and learning environment. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Calculated building renewal need. The Yuma FY 2016 and FY 2017 estimates are incorporated in 6.1, Goal 2, Measure 1. Northern Arizona University 0 128,000 Dollars are listed in thousands, as requested by agencies. 0 FY 2017 Estimate FY 2018 Estimate 151,000 176,600 907 Program Summary AUXILARY PROGRAM Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. §§ 15‐1601 et seq. Mission: To promote operations of substantially self‐supporting activities such as student housing, student unions, and intercollegiate athletics. Description: Between the two Student Learning Centers‐north and south, the SLC supplies various forms of tutoring: One on One, Drop‐In tutoring and Subject‐Based tutoring in numerous academic areas. The SLC also offers Supplemental Instruction in various areas and Academic Success Workshops covering 9 topics. In addition, the SLC also offers Peer Jacks Mentoring, test taking strategies and several Podcasts. http://nau.edu/SSI/Student‐Learning‐Centers/ In August 2011, the 272,000 square foot Health and Learning Center (HLC) opened its doors to engage students in holistic learning by integrating recreation, health services, athletics, and academics into one central location. NAU, a member of the Big Sky Conference, sponsors 15 NCAA Division I level athletic programs. The Northern Arizona University athletics department recorded a cumulative grade point average of 3.15 among its more than 300 student‐athletes during the 2015‐2016 academic year. In addition, 33 student athletes earned Big Sky All‐American honors achieving a 3.20 cumulative grade point average. http://news.nau.edu/student‐athletes‐earn‐big‐sky‐academic‐honors/#.V5FPDXr1GW4 This Program Contains the following Subprograms:  Flagstaff and Statewide Auxiliary Program  Yuma Auxiliary Program Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 74,582.1 0.0 0.0 76,806.3 0.0 0.0 79,425.0 Total Funding 74,582.1 76,806.3 79,425.0 FTE Positions 301.3 320.6 330.0 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 908 Subprogram Summary FLAGSTAFF AND STATEWIDE AUXILIARY PROGRAM Bjorn Flugstad, Vice President Phone: (928) 523‐4240 A.R.S. §§ 15‐1601 et seq. Mission: To promote operations of substantially self‐supporting activities such as student housing, student unions, and intercollegiate athletics. Description: Auxiliary Programs includes expenses of organizational units that furnish services to students, faculty and staff, and the general public for a fee directly related to the cost of the service and are managed as essentially self‐supporting activities. Unions and Student Activities renovated space within the University Union to add a game room featuring billiards, video games and satellite television. Campus Recreation Services strengthened partnerships with academic departments to add new programs, enhance existing programs, and increase opportunities for student participation. In addition, NAU now has a total of 27 restaurants throughout campus from all‐you‐can‐eat establishments to fine dining. In addition, NAU hosts several options for housing facilities including Freshman Connections Halls (12), Upper Division Suites (2), Upper Division Apartments (8), Family Housing (1), partner housing by American Campus Communities (2) and one new housing residence in‐ progress that is in partnership with American Campus Communities due to open Fall 2017. Http://nau.edu/Residence‐Life/Housing‐Options/Residence‐Halls/ Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 74,582.1 0.0 0.0 76,806.3 0.0 0.0 79,425.0 Total Funding 74,582.1 76,806.3 79,425.0 FTE Positions 301.3 320.6 330.0 Northern Arizona University Dollars are listed in thousands, as requested by agencies. 909  Goal 1 To provide an excellent residential living experience for students choosing to live on the Flagstaff Mountain Campus. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of new, first time, full‐time students living in residence halls. 91 85 89 85 85 61 50 58 55 55 8,965 8,900 9,291 9,300 9,700 8,687 8,700 8,432 8,500 8,700 89 85 88 85 85 Explanation: Per EMSA Percent of new first time, full time, freshmen utilizing one of the Student Learning Centers (tutoring) one or more times. Explanation: Per EMSA Total number of students who were housed on campus. Estimates include new Sky View dorm which is under construction. Explanation: Per EMSA Total number of students utilizing the Student Learning Centers (tutoring). Explanation: Per EMSA Percent of new first‐time, full‐time students who live in Freshmen Connections housing. Explanation: Per EMSA Northern Arizona University Dollars are listed in thousands, as requested by agencies. 910  Goal 2 To assist Flagstaff students in cultural, physical and social development/wellness by providing services, activities and events. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Total use/participation: Recreation Center visits Decrease in Recreation Center counts may be due to changes in staffing as well as malfunctioning of turnstile mechanism which counts participation. 627,695 634,000 586,553 610,000 625,000 16,519 17,300 13,784 14,000 14,000 97,223 102,100 113,608 114,000 115,00 7,603 8,000 8,015 8,100 8,300 71,106 88,882 66,766 68,254 70,302 Explanation: Source: Campus Recreation Services Students use/participation: Outdoor Recreation Decrease in Outdoor Recreation counts may be due to changes in staffing which have impacted consistency and data collection methods. Explanation: Source: Campus Recreation Services Students use/participation: Wall Aquatic Center and Tennis Center Explanation: Source: Campus Recreation Services Students use/participation: Intramural participants Explanation: Source: Campus Recreation Services Students use/participation: Campus Health Services/Medical Services visits. Explanation: Per CHS Subprogram Summary YUMA AUXILIARY PROGRAM Bjorn Flugstad, Planning & Institutional Research Phone: (928) 523‐4240 A.R.S. §§ 15‐1601 et seq. Mission: To strategically partner with Arizona Western College to offer students dining, health care and other typical auxiliary services. Description: NAU‐YUMA offers students auxiliary services such as dining, health care and child care through its partner Arizona Western College. Some auxiliary services are offered through the NAU Flagstaff campus.  Goal 1 To provide a support system for students at the Yuma Campus. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Auxiliary operations provided by Arizona Western College (AWC) includes: bookstore, dining services, childcare and transportation. Yes Yes Northern Arizona University Dollars are listed in thousands, as requested by agencies. Yes FY 2017 Estimate FY 2018 Estimate Yes Yes 911 Agency Summary UNIVERSITY OF ARIZONA ‐ MAIN CAMPUS Ann Weaver Hart, President Phone: (520) 621‐5511 A.R.S. § 15‐1601 Mission: To improve the prospects and enrich the lives of the people of Arizona and the world through education, research, creative expression, and community and business partnerships. Description: The University of Arizona in Tucson, including branch campuses in Sierra Vista and downtown Phoenix, is a land‐grant, doctoral research university. Its research and development expenditures place it among the nation’s top public universities and it is a member of the Association of American Universities. It offers a broad array of programs leading to degrees from baccalaureate through the doctorate. It has a total student body enrollment of over 42,000 full‐time and part‐time students. As a land‐grant university, it maintains programs in production agriculture, mining, and engineering and serves the State through its cooperative extension services, technology transfer, economic development assistance, distributed education, and cultural programming. The University provides distinguished undergraduate, graduate, and professional education; excels in basic and applied research and creative achievement; and promotes the integration of these activities and outcomes into advancement of Arizona's economy. Agency Summary: ($ Thousands) Program  INSTRUCTION  ORGANIZED RESEARCH  PUBLIC SERVICE  ACADEMIC SUPPORT  STUDENT SERVICES  INSTITUTIONAL SUPPORT  AUXILIARY PROGRAM  COLLEGE OF AGRICULTURE AND LIFE SCIENCES  UNIVERSITY OF ARIZONA SOUTH Agency Total: Funding: FY 2016 Actual 399,347.5 184,605.8 FY 2017 Estimate 479,272.7 229,391.7 FY 2018 Estimate 498,717.7 236,053.8 16,340.7 21,164.6 21,634.0 99,538.2 121,287.9 109,865.7 115,382.8 114,177.7 120,573.6 512,551.3 537,000.1 565,736.9 253,465.7 114,549.5 252,423.9 128,032.0 261,258.9 122,282.2 7,243.5 1,708,930.1 8,359.8 1,880,893.3 8,375.5 1,948,810.3 FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 180,704.4 336,900.4 1,191,325.3 198,493.2 405,141.1 1,277,259.0 221,815.9 405,141.1 1,321,853.3 Total Funding 1,708,930.1 1,880,893.3 1,948,810.3 FTE Positions 11,612.5 12,029.9 12,292.0 University of Arizona - Main Campus Dollars are listed in thousands, as requested by agencies. 912 5 Year Plan Issue 1 Engaging Description Design the Arizona experience so that 100 percent of our students have the opportunity to engage in integrating and applying their knowledge through real‐world experiential learning. Goal: Through a learning experience tailored to individual students’ needs, the UA will graduate future leaders who have the skills to apply their knowledge and solve the world’s grand challenges. Solutions: Strategies, Actions, and Initiatives: E1. Recruit and retain a diverse student body of undergraduate, transfer, and graduate degree‐seeking students who represent the state, national and global demographic landscape. E1.1 Leverage merit‐ and need‐based aid. E2. Optimize student access and success. E2.1 Enhance partnerships with high schools and community colleges nationally and internationally. E2.2 Identify students early in their careers who can benefit from programmatic intervention and increase opportunities for academic recovery. E2.3 Improve retention with greater support in advising, learning specialists, coordination, hardware, and software. E2.4 Decrease graduate‐level time to degree. E3. Provide students with a dynamic educational experience. E3.1 Promote actions that help us ensure 100 percent student engagement, including the addition of targeted program coordinators, evaluations, and operational support. E3.2 Expand study‐abroad options to contribute to the 100 percent student engagement goal. E3.3 Support online course and program development. E4. Graduate individuals who will be sought out by the best employers and postgraduate programs. E4.1 Redesign courses incorporating workshops, new uses of information technology, specialized equipment, and facilities. E4.2 Update classroom facilities to better support an active learning environment. E4.3 Emphasize graduate workforce development in selected master’s programs. E5. Graduate individuals ready to engage in productive lives and personally satisfying work. E5.1 Establish engagement credits in the areas of global, civic, and research ac vi es. University of Arizona - Main Campus Dollars are listed in thousands, as requested by agencies. 913 Issue 2 Innovating Description Expand our research and creative inquire to not only discover new knowledge and create new ideas, but also to innovate new ways of knowing and seeing that will ensure our continued leadership in interdisciplinary scholarship. Goal: While supporting our values, invite new resources into the University in support of innovative scholarship and research. Prioritize our scholarly and research activities to reflect both the grand challenges we face, and the expectations of our partners for integration and application. Solutions: Strategies, Actions, and Initiatives I1. Promote core strengths to address grand challenges. I1.1 Capitalize on existing and growing research and clinical strengths in the UA’s health sciences colleges in Tucson and Phoenix, other clinical entities across the state, and relevant UA colleges. I2. Expand opportunities for interdisciplinary collaboration. I2.1 Increase institutional capacity for interdisciplinary and interprofessional community‐engaged scholarship addressing the most urgent needs of Arizona’s diverse citizenry and generating solutions for the public good with global applications. I2.2 Increase large multi‐investigator, multi‐site proposal submissions and awards. I3. Hire, nurture, and retain a diverse, outstanding faculty. I3.1 Create diverse new faculty candidate pools that approximate the national availability of talent. I3.2 Improve faculty retention rates, with a particular emphasis on reducing retention disparities among assistant professors from underrepresented groups. I4. Attract, educate, and engage first‐rate doctoral students. I5. Diversity external sources of research support. I5.1 Develop industry exper se to expand public‐private partnerships. I5.2 Increase research expenditures. I6. Improve support for the development of major proposals and new initiatives. I6.1 Provide optimum shared research instrumentation infrastructure to advance our capabilities and competitiveness for external research support. I6.2 Create a world‐class informatics infrastructure and research program that will revolutionize the capability to extract useful information from massively large sets of data. I6.3 Stabilize and increase the number of research‐active faculty in key focus areas. I6.4 Ensure that the capacity of central and college‐based research support functions keeps pace with the growing volume and complexity of research, thereby ensuring high‐quality grants support as well as critically important compliance with federal and other regulations. I7. Expand strategic external partnerships. I7.1 Attract funding for and investment in start‐up companies in Arizona, including University start‐ups. I8. Decrease pre‐award preparation time and speed post‐award access to funds. I9. Improve recognition for interdisciplinary research in promotion and tenure process. I9.1 Enhance our ins tu onal infrastructure base to support research advancement. University of Arizona - Main Campus Dollars are listed in thousands, as requested by agencies. 914 Issue 3 Partnering Description Create novel, substantive, and entrepreneurial partnerships with businesses, community groups, and governments to support and enhance our impact on the local and global community. Goal: The University will share our knowledge, research, and creativity and become a more active partner in creative enterprises and innovation to enhance the quality of life for the people of Arizona and the world. Solutions: Strategies, Actions, and Initiatives: P1. Better adapt our land‐grant mission for the 21st century, including a global strategy. P1.1 Modify promotion and tenure guidelines and criteria to recognize engagement and community‐based research and knowledge application to align University, College and Departmental critieria. P1.2 Develop more and better service‐learning and applied‐research opportunities for students in Arizona and abroad. P1.3 Position the UA to serve as a preferred consultant in innovating, developing, executing, and assessing critical knowledge‐based and capacity development projects worldwide. P2. Expand, develop, and sustain community and industry partnerships, locally and globally, via innovative programs. P2.1 Improve internal business processes to facilitate and leverage community and industry relationships with the University. P2.2 Expand the roles of community and business partners in Academic Program Reviews. P2.3 Provide more opportunities for employers, educators, and families to become more deeply engaged with the University through events, roundtables, and boards. P2.4 Encourage and support more partnerships among internal academic programs and with key external partners. P3. Increase capacity in critical and emerging fields such as education, health sciences, STEM, and cultural competence. P3.1 Be er engage business and community partners to expand internship opportuni es. P3.2 Define and develop appropriate pathways for competency‐based evalua on and credit. P3.3 Determine the best use of technology and other modes of delivering educational and informational content to best engage with learners and communities locally and abroad. P3.4 Significantly grow our educational offerings face‐to‐face, online, and hybrid, to better address growing needs in crucial and emerging fields and to better define the UA’s role in connecting learners to knowledge and to each other. P4. Align output with workforce and knowledge needs, in our region and around the world. P4.1 Expand opportunities to collaborate with schools, agencies, and industry on professional development and certificate programs statewide, nationally, and abroad. P4.2 Coordinate with K‐12 school districts to ensure that a curriculum adequately prepares students for postsecondary work and that students have clear and preferred pathways to the UA. P4.3 Work with business and community leaders to develop integrated workforce and economic development plans. University of Arizona - Main Campus Dollars are listed in thousands, as requested by agencies. 915 Issue 4 Synergy Description Build an infrastructure for change that cuts across all elements of our mission and all aspects of our plan, advancing our distinctiveness in interdisciplinarity, diversity, and sense of place while implementing business practices that are effective, efficient, and entrepreneurial. Goal: Embedded in the University’s fundamental commitment to knowledge, culture, art, and diverse disciplinary work, we will: ‐ Redesign the University to avoid isolation and specialization in ever‐narrowing disciplines. ‐ Optimize our campus resources and virtual reach to engage students more fully. ‐ Create engaged University citizens who can apply our resources in pursuit of collective goals. ‐ Emphasize diversity as part of our institutional culture, at all levels. ‐ Adopt transparent practices that reward productivity, effectiveness, and entrepreneurship. Solutions: Strategies, Actions, and Initiatives: S1. Elevate interdisciplinary collaborations. S1.1 Develop promotion and tenure guidelines that ensure that collaborative efforts are identified and valued. S2. Build on and strengthen the diversity of our community. S2.1 Improve campus infrastructure for diversity at all levels, focusing on accountability. S3. Expand global connections and deepen regional roots. S3.1 Invest in interdisciplinary centers that address local issues with global applica ons. S4. Optimize our physical resources and virtual reach. S4.1 Expand and align IT capacity to meet instructional, research, outreach, and administrative requirements. S4.2 Enhance the UA’s reach through improved and cohesive branding and marketing. S4.3 Develop programs for improving online teaching and course‐building skills. S5. Implement a business model that rewards productivity, effectiveness, and entrepreneurship. S5.1 Align priori es with opportuni es. S5.2 Integrate RCM into the university’s budgeting model to enhance research and instructional performance. S5.3 Align the administrative structure to better support undergraduate and master’s level programs. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds University of Arizona - Main Campus 363.5 10,049.1 28,359.9 27,151.5 5,508.7 374.4 10,422.8 26,010.1 27,966.1 5,618.8 Dollars are listed in thousands, as requested by agencies. 385.6 10,811.1 27,570.7 28,805.1 5,731.2 916 Program Summary INSTRUCTION Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To maximize the delivery of academically sound instruction in a coordinated manner with the University’s academic colleges, schools, departments, and centers. Description: This program coordinates the delivery of instruction throughout the University. Its other responsibilities include oversight of: academic support programs; transfer articulation; advising; major‐exploration programs for undecided and transitional students; and the University’s interdisciplinary degree programs. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 500.2 216,943.6 181,903.7 2,500.0 259,946.9 216,825.8 14,356.1 259,946.9 224,414.7 Total Funding 399,347.5 479,272.7 498,717.7 FTE Positions 3,460.2 3,695.0 3,802.5  Goal 1 To increase productivity, efficiency, and effectiveness FY 2015 FY 2016 Performance Measures Actual Estimate Graduating seniors who rate their overall experience as good or excellent (percent) Full‐time undergraduate students enrolled per semester in three or more primary courses with ranked faculty (percentage) Total number of degrees granted Bachelors degrees granted Masters degrees granted First Professional degrees granted FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 94.7 94 93 94 94 86 86 88 90 90 8,205 6,168 1,442 169 8,298 6,310 1,349 188 8,563 6,320 1,515 158 8,760 6,455 1,560 163 8,962 6,592 1,606 167 Explanation: This measure reflects the ABOR Enterprise Metrics Non‐PhD Other Doctoral Degrees Doctorate degrees granted 426 451 396 400 404 Explanation: This measure reflects the ABOR Enterprise Metrics PhD Doctoral degrees. Average number of years taken to graduate for students who began as freshmen Administration as a percent of total cost Agency staff turnover (percent) Gifts, grants, and contracts (millions) Grants and contracts expenditures (millions) University of Arizona - Main Campus 4.4 4.3 4.4 4.4 4.4 2.6 12.2 327,038 277,194 2.5 13.5 338,000 280,000 2.3 13 317,668 260,355 2.4 13.7 320,844 262,959 2.4 14.4 324,053 265,588 Dollars are listed in thousands, as requested by agencies. 917  Goal 2 To improve student persistence and graduation rates over time FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Freshmen returning for the second year (percent) Four year graduation rate of Arizona community college transfers (percent) Six‐Year graduation rate (percent) FY 2017 Estimate FY 2018 Estimate 81.9 83.7 80.4 80.5 80.6 68.7 67.7 66.8 67.0 67.2 60.3 61.6 60.9 61.1 61.3 Program Summary ORGANIZED RESEARCH Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide effective and transparent promotion and support for the research and graduate‐education efforts of University of Arizona faculty and staff and to encourage practices that minimize risks to our investigator‐scholars, to human and animal research subjects, and to the University. Description: The University of Arizona through its organized research unit provides critical world‐class research and discovery, intensive and relevant graduate education, and connects its activities with the community’s needs especially as we aspire to become one of the ten best public research universities. The University’s organized research unit also fosters technology transfer and connection to the business community, with a particular emphasis on promoting a thriving economy and high quality of life for Arizona. The organized research unit also serves as the administrative home for most of the University’s public museums. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 28,925.5 155,680.3 2,220.3 36,821.4 190,350.0 2,220.3 36,821.4 197,012.1 Total Funding 184,605.8 229,391.7 236,053.8 FTE Positions 2,117.3 2,223.9 2,249.8  Goal 1 To increase external funding for organized research programs relative to peer institutions. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Total Research & Development Expenditures in thousands National Science Foundation Research ranking (publics) 434,449 653,010 396,358 416,756 424,198 N/A 19 N/A 19 19  Goal 2 To form a bridge connecting the University with the private sector and expand its engagement with regional, national, and international business communities, and build philanthropic support for the University and its partners. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate New Companies Started 12 10 University of Arizona - Main Campus Dollars are listed in thousands, as requested by agencies. 14 15 15 918 Program Summary PUBLIC SERVICE Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To make knowledge generated at the University of Arizona more accessible and more relevant to Arizona’s citizens, to the nation at large and to the global community, and to inspire in each of these connections the parallel desires to learn and to create beneficial change, both in partnership with the University of Arizona. Description: Global Initiatives and the College of Agriculture and Life Sciences through their extensive Cooperative Extension programs and Experiment Stations facilitate the efforts of University of Arizona faculty in integrating their teaching, research, and service missions, and in translating and advancing those efforts to broader audiences. Our outreach efforts facilitate programs and services that meet the academic access, economic, and regional development needs for communities throughtout Arizona‐a major tenet of the land grant mission. In addition to offering youth and senior programs, incubating programs and facilitating UA credit courses and continuing education, outreach collaborates with academic initiatives and student success and academic departments to aid and promote collaborations with partners around the world. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,107.9 1,213.1 13,019.7 4,630.2 0.0 16,534.4 4,630.2 0.0 17,003.8 Total Funding 16,340.7 21,164.6 21,634.0 FTE Positions 221.1 228.8 231.4  Goal 1 To leverage the strengths of international affairs programs and the efforts of our faculty by strategically enhancing efforts abroad in target geographies most relevant to the University. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of students in Study Abroad and Exchange programs Number of undergraduate international students Number of graduate international students 1,207 1,243 1,163 1,197 1,232 2,062 2,083 2,234 2,200 2,200 1,558 1,605 1,611 1,650 1,650  Goal 2 To facilitate and assure the University’s mandate of service, partnership, and the sharing of knowledge which most clearly expresses the distinguishing nature of land grant universities. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of people served by Cooperative Extension (in thousands) Number of volunteer hours generated in Agriculture University of Arizona - Main Campus 622,723 653,000 653,000 685,000 717,000 143,346 150,000 150,000 157,000 164,334 Dollars are listed in thousands, as requested by agencies. 919 Program Summary ACADEMIC SUPPORT Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To support and enhance a contemporary learning environment with tools that permit innovation in all learning spaces and assist students in bridging the relationship between research and teaching. Description: The units that comprise Academic Support represent all of the ways the University supports its academic mission. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 64,791.5 34,746.7 0.0 74,076.5 35,789.2 3,059.6 74,076.5 37,041.6 Total Funding 99,538.2 109,865.7 114,177.7 FTE Positions 937.0 958.7 996.8  Goal 1 To enhance the academic quality and effectiveness of the institution through planning and budgeting, program review, personnel review, and data collection and analysis. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Academic programs reviewed for quality and effectiveness Dollars internally reallocated to priority academic units (in thousands of dollars) 16 15 15 12 15 16,073 8,590 9,049 16,864 9,858  Goal 2 To acquire and/or provide access to information resources and services appropriate to research university users via the most cost‐effective means. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Resources (print and non‐print) circulated from 197,692 193,738 the collection Resources (print and non‐print) used in the 41,715 39,629 library Electronic Resources used on‐site and remotely 12,182,875 12,304,704 (in millions) 284,428 189,863 278,740 43,166 37,648 41,008 12,344,956 12,427,751 12,468,405 FY 2017 Estimate FY 2018 Estimate 500 221 24 600 227 25  Goal 3 To support alternative delivery modes of education for Arizona. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Number of Online Undergraduate Degrees Number of Online Graduate Degrees Number of Online Graduate Certificates University of Arizona - Main Campus 62 174 44 80 308 116 413 215 23 Dollars are listed in thousands, as requested by agencies. 920 Program Summary STUDENT SERVICES Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To recruit and retain a diverse and talented student body; to assist students in their efforts to achieve access, academic success, and efficient degree completion in conformance with prevailing regulation; to promote student development in a safe environment in which diversity is valued and embedded in daily operations; and to provide opportunities for personal and educational enrichment through the development of student, faculty, staff, and community partnerships. Description: This program includes enrollment services and other student related programs and services designed to promote student success, by supporting students’ personal, intellectual, cultural, and social development outside the context of the formal instructional program. Programming extends to the entire campus community to meet disability needs and to promote a healthy, diverse, engaged, and civil community. The activities include: early outreach, admissions, orientation, financial aid, registration, campus recreation, and health services, cultural events, student programs/organizations, bookstore, newspaper, housing and food service, academic support, career services, programs designed to promote faculty/student interaction outside the classroom, and programs dedicated to special needs, such as disability related services and the cultural resource centers. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 11,689.2 109,598.7 0.0 16,245.8 99,137.0 1,721.0 16,245.8 102,606.8 Total Funding 121,287.9 115,382.8 120,573.6 FTE Positions 511.6 550.0 574.4  Goal 1 To admit a freshman class well‐prepared for University work. FY 2015 FY 2016 Performance Measures Actual Estimate Quality of freshman class based on: High school grade point average Quality of freshman class based on: SAT scores FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 3.4 3.4 3.5 3.5 3.5 1113 1114 1120 1120 1120  Goal 2 To decrease, through education, media campaigns, and other programs, the use of alcohol and other drugs that put students at risk of accidents, violence, injuries, and unsafe sexual practices. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Students reporting binge drinking in last year (survey done biannually) (percent) Students reporting tobacco use in the last 30 days (percent) University of Arizona - Main Campus 36 36 36 36 35 19 19 17 17 17 Dollars are listed in thousands, as requested by agencies. 921 Program Summary INSTITUTIONAL SUPPORT Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide the University of Arizona with the support services necessary to enable it to effectively pursue the institutional mission of teaching, research, and outreach. Description: Institutional support includes central executive‐level activities concerned with management and long‐range planning for the entire University, and the operation and maintenance of the physical plant. Administrative activities include planning and programming, legal services, fiscal operations, administrative data processing, telecommunications, space management, human resources including employee personnel and records, purchasing, stores, safety, security, printing, transportation services, community and alumni relations, and development and fund‐raising. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 132,496.9 0.0 380,054.4 135,543.3 0.0 401,456.8 150,229.3 0.0 415,507.6 Total Funding 512,551.3 537,000.1 565,736.9 FTE Positions 1,522.3 1,523.4 1,560.7  Goal 1 To enhance community support for the work of the University in the larger community. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Endowment Assets (in thousands) Annual Giving (in thousands) 477,359 143,580 492,396 147,887 469,894 150,169 FY 2018 Estimate 479,997 154,674 490,317 159,314 FY 2017 Estimate FY 2018 Estimate  Goal 2 To attract and engage a diverse and high quality workforce FY 2015 FY 2016 Performance Measures Actual Estimate Minority employees in administrative, faculty, professional and classified positions (percent) UA Life & Work Connections contacts per year University of Arizona - Main Campus FY 2016 Actual 29 29 30 31 31 21,386 23,000 27,109 28,500 30,000 Dollars are listed in thousands, as requested by agencies. 922 Program Summary AUXILIARY PROGRAM Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide quality goods and services at the least possible cost to faculty, staff, students and University departments. Description: Auxiliary units are most closely related to "real world" businesses in that they are expected to be self‐supporting and charge fees that are related to the costs of providing goods or services. Major retail and service activities include the U of A Bookstore, Student Union food services, Residence Life student dormitories and family housing, Parking and Transportation parking permits and Sun Tran passes, UA Presents performances, U of A Press publications, and Intercollegiate Athletics events. Internal service departments that provide wholesale services to other departments on campus include Facilities Management's repair, maintenance, and custodial services; Printing and Publishing Support Services; Telecommunication's telephone services; and the University Research and Instrumentation Center's design and fabrication service. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 253,465.7 0.0 0.0 252,423.9 0.0 0.0 261,258.9 Total Funding 253,465.7 252,423.9 261,258.9 FTE Positions 1,332.9 1,304.1 1,322.8  Goal 1 To provide affordable housing and a residential living experience conducive to academic success and social well‐being. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of new freshmen living in residence halls Total number of students living in residence halls 71 73 72 72 72 4,913 4,800 4,940 4,900 4,900  Goal 2 To promote health, wellness and safety by providing quality medical, mental health care, and health education to the student community. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of visits to Campus Health's Main and McKale clinics (medical and counseling and psychological services) Percent who indicate they would refer a friend to Campus Health Overall rating of Campus Health (0‐10, with 10 high) 77,482 75,000 77,082 75,000 75,000 99.5 99.0 99 99 99 8.9 8.9 9.0 8.9 8.9 FY 2017 Estimate FY 2018 Estimate 630 630  Goal 3 To serve students with learning disabilities. FY 2015 Performance Measures Actual Number of students served by the Strategic Alternative Learning Techniques (SALT) Center University of Arizona - Main Campus 637 FY 2016 Estimate 610 FY 2016 Actual 678 Dollars are listed in thousands, as requested by agencies. 923 Program Summary COLLEGE OF AGRICULTURE AND LIFE SCIENCES Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To educate students and communities in ways that enable their future success in the regional and global economies and to develop new knowledge and new technologies to benefit society Description: The College of Agriculture and Life Sciences coordinates undergraduate and professional education for a wide range of career opportunities within six general subject areas: animal systems; environment and natural resources; family, youth, and community; human nutrition; food safety and health; marketing, trade, and economics; and plant systems. Education in the professional knowledge area is combined with foundation courses in the natural and social sciences, communications, and the humanities to develop a well‐rounded academic experience offering majors leading to careers associated with the college subject areas. Programs include on‐campus instruction and distance education in cooperation with other institutions. The college awards B.S., M.S., and Ph.D. degrees. Though separate entities by Federal statute, the Arizona Cooperative Extension System and the Arizona Experiment Station are affiliated with and share senior administration with the college. Funding: FY 2017 Estimate FY 2018 Estimate 42,855.6 9,273.2 62,420.7 50,855.6 12,883.1 64,293.3 42,855.6 12,883.1 66,543.5 Total Funding 114,549.5 128,032.0 122,282.2 FTE Positions 1,425.6 1,457.8 1,465.4 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To attain a level of tenure/tenure eligible faculty that is effective in providing students with the high quality faculty they deserve and the college with the research productivity essential to premier research university. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Degrees/FTE faculty (T/TE) External funding obtained/FTE Faculty (T/TE) SCH/Faculty FTE (T/TE) 7.0 353,041 555 7.2 356,633 577 7.1 347,495 611 7.2 350,970 635 7.3 354,480 660 FY 2017 Estimate FY 2018 Estimate  Goal 2 To graduate as many well qualified students as possible. FY 2015 FY 2016 Performance Measures Actual Estimate Number of Undergraduate Degrees granted (Bachelors) Number of Graduate degrees granted (Masters, Specialist, Ph.D) FY 2016 Actual 742 764 731 753 776 93 95 73 74 76 FY 2017 Estimate FY 2018 Estimate  Goal 3 To partner with and serve the people of Arizona. FY 2015 FY 2016 Performance Measures Actual Estimate Number of volunteer hours generated in Agriculture Number of people served by Cooperative Extension University of Arizona - Main Campus FY 2016 Actual 143,346 150,000 150,000 157,000 164,334 622,723 653,000 653,000 685,000 717,000 Dollars are listed in thousands, as requested by agencies. 924 Program Summary UNIVERSITY OF ARIZONA SOUTH Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide high quality, accessible educational opportunities to communities throughout Southern Arizona. Description: UA South addresses the needs of individual who are place bound or who desire to fulfill their higher education goals in an atmosphere different than the Main Campus. UA South provides quality upper‐division and graduate programs designed to fulfill the educational and career goals of its students. UA South offers undergraduate degree programs through “2 + 2” partnerships with Arizona community colleges, primarily Cochise College and Pima Community College. Two Masters Degree programs are available. Programs are offered at several locations in southeast Arizona. Specific community‐based classes may be offered at other locations throughout southeastern Arizona. The Faculty at UA South has incorporated distance learning into the curriculum, offering courses via interactive television and through the Internet. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,743.8 4,064.3 435.4 2,743.8 5,167.4 448.6 2,743.8 5,167.4 464.3 Total Funding 7,243.5 8,359.8 8,375.5 FTE Positions 84.5 88.2 88.2  Goal 1 To increase student FTE and retention. FY 2015 Performance Measures Actual Student FTE 586.4 FY 2016 Estimate 615.7 FY 2016 Actual 537 FY 2017 Estimate FY 2018 Estimate 542 547  Goal 2 To attain a level of tenure/tenure eligible faculty that is effective in providing students with the high quality facutly they deserve and the college with the research productivity essential to premier research university. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Degrees/FTE faculty (T/TE) SCH/Faculty FTE (T/TE) 17.9 1,449 18.2 1,472 16.1 1,449 16.4 1,472 16.4 1,496 FY 2017 Estimate FY 2018 Estimate  Goal 3 To graduate as many well‐qualified students as possible. FY 2015 FY 2016 Performance Measures Actual Estimate Number of Undergraduate Degrees granted (Bachelors) Number of Graduate degrees granted (Masters, Specialist, Ph.D) University of Arizona - Main Campus FY 2016 Actual 144 148 124 128 132 35 36 37 38 39 Dollars are listed in thousands, as requested by agencies. 925 Agency Summary UNIVERSITY OF ARIZONA ‐ HEALTH SCIENCES CENTER Ann Weaver Hart, President Phone: (520) 621‐5511 A.R.S. § 15‐601 Mission: To improve the prospects and enrich the lives of the people of Arizona and the world through education, research, creative expression, and community and business partnerships. Description: The Arizona Health Sciences Center (AHSC) in Tucson is the State’s only academic health sciences center. It provides the State and its people education, research, patient care, and services through its Colleges of Medicine, Nursing, Pharmacy, Public Health, Phoenix Bio‐ Medical Campus, University Medical Center, and university physicians. AHSC serves as the core of a broad network of State‐wide health services, health education, health restoration, health promotion, and illness prevention. Agency Summary: ($ Thousands) Program  INSTRUCTION  ORGANIZED RESEARCH  PUBLIC SERVICE  ACADEMIC SUPPORT  STUDENT SERVICES  INSTITUTIONAL SUPPORT  AUXILIARY PROGRAM  COLLEGE OF MEDICINE, PHOENIX CAMPUS Agency Total: Funding: FY 2016 Actual 110,967.9 107,941.3 FY 2017 Estimate 113,807.6 111,031.1 FY 2018 Estimate 117,256.9 114,754.8 25,265.7 25,856.0 26,671.1 219,812.2 3,491.2 224,467.8 3,485.0 231,786.1 3,773.1 75,518.6 104,398.0 107,858.9 9,459.5 50,340.9 13,047.4 52,481.8 13,504.2 53,162.7 602,797.3 648,574.7 668,767.8 FY 2017 Estimate FY 2018 Estimate FY 2016 Actual General Funds Other Appropriated Funds Other Non Appropriated Funds 68,393.5 46,882.0 487,521.8 68,631.2 47,491.4 532,452.1 70,188.4 47,491.4 551,088.0 Total Funding 602,797.3 648,574.7 668,767.8 FTE Positions 5,457.4 5,580.3 5,671.6 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 926 5 Year Plan Issue 1 Engaging Description Design the Arizona experience so that 100 percent of our students have the opportunity to engage in integrating and applying their knowledge through real‐world experiential learning. Goal: Through a learning experience tailored to individual students’ needs, the UA will graduate future leaders who have the skills to apply their knowledge and solve the world’s grand challenges. Solutions: Strategies, Actions, and Initiatives: E1. Recruit and retain a diverse student body of undergraduate, transfer, and graduate degree‐seeking students who represent the state, national and global demographic landscape. E1.1 Leverage merit‐ and need‐based aid. E2. Optimize student access and success. E2.1 Enhance partnerships with high schools and community colleges nationally and internationally. E2.2 Identify students early in their careers who can benefit from programmatic intervention and increase opportunities for academic recovery. E2.3 Improve retention with greater support in advising, learning specialists, coordination, hardware, and software. E2.4 Decrease graduate‐level time to degree. E3. Provide students with a dynamic educational experience. E3.1 Promote actions that help us ensure 100 percent student engagement, including the addition of targeted program coordinators, evaluations, and operational support. E3.2 Expand study‐abroad options to contribute to the 100 percent student engagement goal. E3.3 Support online course and program development. E4. Graduate individuals who will be sought out by the best employers and postgraduate programs. E4.1 Redesign courses incorporating workshops, new uses of information technology, specialized equipment, and facilities. E4.2 Update classroom facilities to better support an active learning environment. E4.3 Emphasize graduate workforce development in selected master’s programs. E5. Graduate individuals ready to engage in productive lives and personally satisfying work. E5.1 Establish engagement credits in the areas of global, civic, and research ac vi es. University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 927 Issue 2 Innovating Description Expand our research and creative inquire to not only discover new knowledge and create new ideas, but also to innovate new ways of knowing and seeing that will ensure our continued leadership in interdisciplinary scholarship. Goal: While supporting our values, invite new resources into the University in support of innovative scholarship and research. Prioritize our scholarly and research activities to reflect both the grand challenges we face, and the expectations of our partners for integration and application. Solutions: Strategies, Actions, and Initiatives I1. Promote core strengths to address grand challenges. I1.1 Capitalize on existing and growing research and clinical strengths in the UA’s health sciences colleges in Tucson and Phoenix, other clinical entities across the state, and relevant UA colleges. I2. Expand opportunities for interdisciplinary collaboration. I2.1 Increase institutional capacity for interdisciplinary and interprofessional community‐engaged scholarship addressing the most urgent needs of Arizona’s diverse citizenry and generating solutions for the public good with global applications. I2.2 Increase large multi‐investigator, multi‐site proposal submissions and awards. I3. Hire, nurture, and retain a diverse, outstanding faculty. I3.1 Create diverse new faculty candidate pools that approximate the national availability of talent. I3.2 Improve faculty retention rates, with a particular emphasis on reducing retention disparities among assistant professors from underrepresented groups. I4. Attract, educate, and engage first‐rate doctoral students. I5. Diversity external sources of research support. I5.1 Develop industry exper se to expand public‐private partnerships. I5.2 Increase research expenditures. I6. Improve support for the development of major proposals and new initiatives. I6.1 Provide optimum shared research instrumentation infrastructure to advance our capabilities and competitiveness for external research support. I6.2 Create a world‐class informatics infrastructure and research program that will revolutionize the capability to extract useful information from massively large sets of data. I6.3 Stabilize and increase the number of research‐active faculty in key focus areas. I6.4 Ensure that the capacity of central and college‐based research support functions keeps pace with the growing volume and complexity of research, thereby ensuring high‐quality grants support as well as critically important compliance with federal and other regulations. I7. Expand strategic external partnerships. I7.1 Attract funding for and investment in start‐up companies in Arizona, including University start‐ups. I8. Decrease pre‐award preparation time and speed post‐award access to funds. I9. Improve recognition for interdisciplinary research in promotion and tenure process. I9.1 Enhance our ins tu onal infrastructure base to support research advancement. University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 928 Issue 3 Partnering Description Create novel, substantive, and entrepreneurial partnerships with businesses, community groups, and governments to support and enhance our impact on the local and global community. Goal: The University will share our knowledge, research, and creativity and become a more active partner in creative enterprises and innovation to enhance the quality of life for the people of Arizona and the world. Solutions: Strategies, Actions, and Initiatives: P1. Better adapt our land‐grant mission for the 21st century, including a global strategy. P1.1 Modify promotion and tenure guidelines and criteria to recognize engagement and community‐based research and knowledge application to align University, College and Departmental critieria. P1.2 Develop more and better service‐learning and applied‐research opportunities for students in Arizona and abroad. P1.3 Position the UA to serve as a preferred consultant in innovating, developing, executing, and assessing critical knowledge‐based and capacity development projects worldwide. P2. Expand, develop, and sustain community and industry partnerships, locally and globally, via innovative programs. P2.1 Improve internal business processes to facilitate and leverage community and industry relationships with the University. P2.2 Expand the roles of community and business partners in Academic Program Reviews. P2.3 Provide more opportunities for employers, educators, and families to become more deeply engaged with the University through events, roundtables, and boards. P2.4 Encourage and support more partnerships among internal academic programs and with key external partners. P3. Increase capacity in critical and emerging fields such as education, health sciences, STEM, and cultural competence. P3.1 Be er engage business and community partners to expand internship opportuni es. P3.2 Define and develop appropriate pathways for competency‐based evalua on and credit. P3.3 Determine the best use of technology and other modes of delivering educational and informational content to best engage with learners and communities locally and abroad. P3.4 Significantly grow our educational offerings face‐to‐face, online, and hybrid, to better address growing needs in crucial and emerging fields and to better define the UA’s role in connecting learners to knowledge and to each other. P4. Align output with workforce and knowledge needs, in our region and around the world. P4.1 Expand opportunities to collaborate with schools, agencies, and industry on professional development and certificate programs statewide, nationally, and abroad. P4.2 Coordinate with K‐12 school districts to ensure that a curriculum adequately prepares students for postsecondary work and that students have clear and preferred pathways to the UA. P4.3 Work with business and community leaders to develop integrated workforce and economic development plans. University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 929 Issue 4 Synergy Description Build an infrastructure for change that cuts across all elements of our mission and all aspects of our plan, advancing our distinctiveness in interdisciplinarity, diversity, and sense of place while implementing business practices that are effective, efficient, and entrepreneurial. Goal: Embedded in the University’s fundamental commitment to knowledge, culture, art, and diverse disciplinary work, we will: ‐ Redesign the University to avoid isolation and specialization in ever‐narrowing disciplines. ‐ Optimize our campus resources and virtual reach to engage students more fully. ‐ Create engaged University citizens who can apply our resources in pursuit of collective goals. ‐ Emphasize diversity as part of our institutional culture, at all levels. ‐ Adopt transparent practices that reward productivity, effectiveness, and entrepreneurship. Solutions: Strategies, Actions, and Initiatives: S1. Elevate interdisciplinary collaborations. S1.1 Develop promotion and tenure guidelines that ensure that collaborative efforts are identified and valued. S2. Build on and strengthen the diversity of our community. S2.1 Improve campus infrastructure for diversity at all levels, focusing on accountability. S3. Expand global connections and deepen regional roots. S3.1 Invest in interdisciplinary centers that address local issues with global applica ons. S4. Optimize our physical resources and virtual reach. S4.1 Expand and align IT capacity to meet instructional, research, outreach, and administrative requirements. S4.2 Enhance the UA’s reach through improved and cohesive branding and marketing. S4.3 Develop programs for improving online teaching and course‐building skills. S5. Implement a business model that rewards productivity, effectiveness, and entrepreneurship. S5.1 Align priori es with opportuni es. S5.2 Integrate RCM into the university’s budgeting model to enhance research and instructional performance. S5.3 Align the administrative structure to better support undergraduate and master’s level programs. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds University of Arizona - Health Sciences Center 177.4 3,250.9 3,324.4 12,445.2 2,028.5 182.7 3,577.2 3,048.9 12,818.6 2,069.0 Dollars are listed in thousands, as requested by agencies. 188.2 3,888.9 3,231.9 13,203.2 2,110.4 930 Program Summary INSTRUCTION Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide top‐quality health sciences educational programs at the undergraduate, graduate, and professional levels that will attract and graduate an excellent and diverse student body. Description: The Arizona Health Sciences Center (AHSC) offers professional programs leading to the M.D., graduate degrees in many of the medical sciences, B.S.N., M.S., Ph.D., ADN‐MS, Pharm.D., Masters in Public Health (MPH), DrPH, and B.S. with a major in health education. The AHSC provides students with the knowledge, skills, and attitudes basic to the provision of health services. It also provides education and training programs for undergraduate students, graduate students, residents, fellows, and other health professionals. Funding: FY 2017 Estimate FY 2018 Estimate 5,110.4 38,678.0 67,179.5 6,899.8 37,712.8 69,195.0 7,927.6 37,712.8 71,616.5 Total Funding 110,967.9 113,807.6 117,256.9 FTE Positions 1,343.6 1,370.0 1,389.5 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To attain a level of tenured/tenure eligible faculty that is effective in providing students with the high quality of instruction they deserve. (We're unable to delete measures 1 & 2. They are duplicates of Goal 2 measures 1,5,6) FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of Degrees Granted BA/BS and MA/MS Number of degrees granted‐PhD 877 43 871 46 1,005 45 1,035 46 1,066 48 385 555,412 4.6 400 560,966 4.8 Explanation: This measure reflects the ABOR Enterprise Metrics PhD Doctoral degrees. SCH/Faculty FTE (T/TE) External funding obtained/FTE Faculty (T/TE) Degrees/FTE faculty (T/TE) University of Arizona - Health Sciences Center 353 525,034 3.9 367 530,342 4.0 370 549,913 4.4 Dollars are listed in thousands, as requested by agencies. 931  Goal 2 To increase productivity, efficiency, and effectiveness. FY 2015 FY 2016 Performance Measures Actual Estimate Number of degrees granted MA/MS Full‐time undergraduate students enrolled per semester in three or more primary courses with ranked faculty (percentage) Total number of degrees granted Bachelor degrees granted First Professional Degrees granted (Non‐PhD Other Doctoral Degrees) FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 300 80 281 80 410 82 491 83 587 84 1,221 577 301 1,251 590 334 1,358 595 308 1,372 604 313 1,385 613 317 45 49 54 Explanation: The measure reflects ABOR Enterprise Metrics Non‐PhD Doctoral degrees Doctoral Degrees granted (PhD Doctoral) 43 46 Explanation: This measure reflects ABOR Enterprise Metrics PhD Doctoral degrees Average number of years taken to graduate for students who began as freshman Administration as a percent of total cost Agency staff turnover Gifts, grants, and contracts (millions) Grants and contracts expenditures (millions) University of Arizona - Health Sciences Center 4.2 4.1 4.4 4.2 4.2 2.6 15.5 250,741 163,348 2.5 16.2 225,000 165,000 2.3 19 192,326 169,461 2.4 16.5 194,249 171,156 2.4 17.5 196,192 172,867 Dollars are listed in thousands, as requested by agencies. 932 Program Summary ORGANIZED RESEARCH Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide high quality multidisciplinary biomedical research in areas important to the health care community and public; to promote the application of economics and socio‐behavioral sciences to pharmaceutical research, education and service; to make available to trainees leading edge knowledge and the most modern technology; to promote healthier lifestyles through education of the public; and to provide service to state and federal agencies and the private sector. Description: The organized research centers are specifically organized to produce interdisciplinary clinical and basic biomedical research and to provide support for the undergraduate, graduate, and outreach educational programs. They are supported almost entirely by external federal and private sector funding. Their major areas of emphasis include: interdisciplinary research; education of the public, training of health professionals and scientists; patient services; provision of regional resources for research, disease diagnosis, patient care, education, and disease prevention and control; and technology development. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 4,646.0 0.0 103,295.3 4,636.6 0.0 106,394.5 4,636.6 0.0 110,118.2 Total Funding 107,941.3 111,031.1 114,754.8 FTE Positions 1,134.6 1,145.0 1,160.7  Goal 1 To promote excellence in basic and clinical research, patient care, education, and training. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Regional, national, and international awards, honors, and prizes received by students, alumni, faculty, and staff Patients rating physician skill as excellent in satisfaction survey (percent) 953 917 825 873 888 75 80 75 76 77 To establish a stable funding base to support research, education, and service activities FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate FY 2018 Estimate  Goal 2 Total Research & Development Expenditures in thousands 166,319 249,990 185,231 194,764 198,242  Goal 3 To provide education and training programs for regional, national, and international health care professionals, health care industry personnel, and the public. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Training programs/ workshops/lectures University of Arizona - Health Sciences Center 1,775 1,986 2,383 Dollars are listed in thousands, as requested by agencies. 2,418 2,573 933 Program Summary PUBLIC SERVICE Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide the citizens of the State of Arizona access to poison and medication‐related emergency treatment assistance and to develop a rural telemedicine network that can improve rural health care. Description: The Arizona Poison and Drug Information Center serves as a repository of comprehensive information, knowledge and expertise regarding poisons and toxic exposures. A high priority is to provide access for rural and medically underserved Arizona residents and health care professionals who are without ready access to medical facilities. Telemedicine is the use of computers, video imaging, and telecommunications for diagnosis and treatment of persons in rural, geographically isolated communities and State institutions. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,656.5 0.0 22,609.2 2,568.2 0.0 23,287.8 2,568.2 0.0 24,102.9 Total Funding 25,265.7 25,856.0 26,671.1 FTE Positions 207.4 210.3 212.9  Goal 1 To provide quality, accessible poison and medication‐related emergency treatment assistance 24 hours a day. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Poison Control call volume per year (in thousands) Accredited by the American Association for Poison Control Center Certification as a Regional Poison Control Center. 40 40 34 35 35 Yes Yes Yes Yes Yes To provide specialty patient care in rural communities and secure State institutions. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate FY 2018 Estimate  Goal 2 Number served through Telemedicine (clinical consultations) University of Arizona - Health Sciences Center 25,000 35,000 20,000 Dollars are listed in thousands, as requested by agencies. 25,000 25,000 934 Program Summary ACADEMIC SUPPORT Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To support and enhance a contemporary learning environment with tools that permit innovation in all learning spaces and assist students in bridging the relationship between research and teaching. Description: The units that comprise Academic Support represent all of the ways the University of Arizona Health Sciences Center supports its academic mission. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 25,446.7 0.0 194,365.5 24,271.4 0.0 200,196.4 24,582.8 0.0 207,203.3 Total Funding 219,812.2 224,467.8 231,786.1 FTE Positions 1,888.9 1,918.7 1,960.0  Goal 1 To offer education programs that meet standards of excellence FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Percent of students passing Step I of the US Medical Licensing Exam on the first try Percent of Students passing Step II of the US Medical Licensing Exam on the first try. FY 2017 Estimate FY 2018 Estimate 191 189 92 94 95 186 189 98 98 98 To assure access to information resources in the health sciences on‐site and off‐site. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate FY 2018 Estimate  Goal 2 Resources (print and non‐print) circulated from the collection. Resources (print and non‐print) used in the library (in thousands) 4,194 4,068 4,137 3,945 4,013 2.4 2.3 1.9 2.2 1.8  Goal 3 To teach students and faculty the most effective methods of accessing and managing health sciences information FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of Classes/workshops taught Number of participants classes/workshops 302 4,288 317 4,388 53 4,633 60 4,488 68 4,788 FY 2017 Estimate FY 2018 Estimate 234 19 387 22  Goal 4 To support alternative delivery modes of education for Arizona. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Number of Online Graduate Degrees Number of Online Graduate Certificates 46 28 82 74 141 16 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 935 Program Summary STUDENT SERVICES Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐601 Mission: To recruit and retain a diverse and talented student body; to assist students in their efforts to achieve access, academic success, and efficient degree completion in conformance with prevailing regulation; to promote student development in a safe environment in which diversity is valued and embedded in daily operations; and to provide opportunities for personal and educational enrichment through the development of student, faculty, staff, and community partnerships. Description: This program includes enrollment services and other student related programs and services designed to promote student success, by supporting students’ personal, intellectual, cultural, and social development outside the context of the formal instructional program. Programming extends to the entire campus community to meet disability needs and to promote a healthy, diverse, engaged, and civil community. The activities include: early outreach, admissions, orientation, financial aid, registration, campus recreation, and health services, cultural events, student programs/organizations, bookstore, newspaper, housing and food service, academic support, career services, programs designed to promote faculty/student interaction outside the classroom, and programs dedicated to special needs, such as disability related services and the cultural resource centers. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,550.4 0.0 1,940.8 1,486.1 0.0 1,998.9 1,704.1 0.0 2,069.0 Total Funding 3,491.2 3,485.0 3,773.1 FTE Positions 14.4 14.5 17.0  Goal 1 To enroll students well prepared for UAHS work. FY 2015 FY 2016 Performance Measures Actual Estimate Number of students enrolled in pre‐pharmacy Number of students enrolled in pre‐nursing 426 405 443 425 FY 2016 Actual 35 430 FY 2017 Estimate FY 2018 Estimate 35 498 34 578 FY 2017 Estimate FY 2018 Estimate 50 48 51 49  Goal 2 To enroll diverse students using the diverse in its broadest meaning. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual % Undergraduate Minority Students % Graduate & First Professional Minority Students 51 39 52 43 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 49 47 936 Program Summary INSTITUTIONAL SUPPORT Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐601 Mission: To provide the University of Arizona with the support services necessary to enable it to effectively pursue the institutional mission of teaching, research, and outreach. Description: Institutional support includes central executive‐level activities concerned with management and long‐range planning for the entire University, and the operation and maintenance of the physical plant. Administrative activities include planning and programming, legal services, fiscal operations, administrative data processing, telecommunications, space management, human resources including employee personnel and records, purchasing, stores, safety, security, printing, transportation services, community and alumni relations, and development and fund‐raising. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 5,727.3 0.0 69,791.3 5,512.9 0.0 98,885.1 5,512.9 0.0 102,346.0 Total Funding 75,518.6 104,398.0 107,858.9 FTE Positions 166.5 168.5 170.1  Goal 1 To enhance community support for the work of the University in the larger community. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Endowment Assets (in thousands) Annual Giving (in thousands) 195,564 38,044 201,724 39,185 190,753 35,806 FY 2018 Estimate 194,854 36,8800 199,044 37,987 FY 2017 Estimate FY 2018 Estimate 32 33  Goal 2 To attract and engage a diverse and high quality workforce FY 2015 FY 2016 Performance Measures Actual Estimate FY 2016 Actual Minority employees in administrative, faculty, professional and classified positions (percent) 28 28 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 30 937 Program Summary AUXILIARY PROGRAM Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide quality goods and services at the least possible cost to faculty, staff, students and University departments. Description: Auxiliary units are most closely related to "real world" businesses in that they are expected to be self‐supporting and charge fees that are related to the costs of providing goods or services. Major retail and service activities include the U of A Bookstore, Student Union food services, Residence Life student dormitories and family housing, Parking and Transportation parking permits and Sun Tran passes, UA Presents performances, U of A Press publications, and Intercollegiate Athletics events. Internal service departments that provide wholesale services to other departments on campus include Facilities Management's repair, maintenance, and custodial services; Printing and Publishing Support Services; Telecommunication's telephone services; and the University Research and Instrumentation Center's design and fabrication service. While many of the retail and service activity centers are located on Main Campus, they service AHSC as well. The College of Medicine has auxiliary units including Arizona Telemedicine and Biomedical Communications as well. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 9,459.5 0.0 0.0 13,047.4 0.0 0.0 13,504.2 Total Funding 9,459.5 13,047.4 13,504.2 FTE Positions 152.0 198.0 200.9  Goal 1 To provide affordable housing and a residential living experience conducive to academic success and social well‐being. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of new freshmen living in residence halls Total number of students living in residence halls 70 70 75 75 75 650 600 786 750 750  Goal 2 To promote health, wellness and safety by providing quality medical care to rural Arizona. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number served through Telemedicine (clinical & educational consultations) 35,000 40,000 30,000 30,000 30,000 FY 2017 Estimate FY 2018 Estimate 20 20  Goal 3 To serve students with learning disabilities. FY 2015 Performance Measures Actual FY 2016 Estimate FY 2016 Actual Number of students served by the Strategic Alternative Learning Techniques (SALT) Center 19 50 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 18 938 Program Summary COLLEGE OF MEDICINE, PHOENIX CAMPUS Angela Baldasare, Assistant Provost Phone: (520) 626‐2885 A.R.S. § 15‐1601 Mission: To provide medical students with the knowledge, skills, and attitudes basic to the practices of medicine; to provide education and training programs for residents, graduate students, fellows, and other health professionals and practicing physicians; to work with clinical affiliates to teach and model interprofessional health care delivery; to make contributions to biomedical research; to model and promote innovations in patient care and disease prevention and cure, including utilization of the multidiscipline health care team approach; and to use biomedical informatics and work with industry to address quality and cost of health care. Description: The College of Medicine‐Phoenix offers a professional program leading to the M.D. degree and graduate degree programs. The COM‐PHX also supports the education of other health professionals and the public. The educational program leading to the M.D. degree is conducted at the Phoenix Biomedical Campus and at clinical sites located in Phoenix, Tucson, and throughout the State. The faculty members conduct research programs in molecular biology, clinical translational science, medical education, therapeutics, prevention, and clinical outcomes. It is a rapidly evolving leader in biomedical informatics and health care education and this will translate into a high quality education program regarding health care issues for all in the State and critically enhancing and improving on delivery of care to our citizens. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 23,256.2 8,204.0 18,880.7 23,256.2 9,778.6 19,447.0 23,256.2 9,778.6 20,127.9 Total Funding 50,340.9 52,481.8 53,162.7 FTE Positions 550.0 555.3 560.5  Goal 1 To develop, maintain, and continuously evaluate the educational program leading to the M.D. degree. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of students passing Step I of the United States Medical Licensing Exam on the first try Percent of students passing Step II of the United States Medical Licensing Exam on the first try 96 97 96 97 97 92 96 92 96 96  Goal 2 To provide educational experiences that promote lifelong learning, critical thinking skills, and career decisions for the breadth of disciplines needed throughout our State, emphasizing cultural competency and diversity. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Regional, national, and international awards, honors, and prizes received by students, alumni, faculty, and staff 167 175 167 175 175  Goal 3 To attract and maintain a diverse, highly qualified faculty that understands and delivers the complex training necessary for our next generation of physicians in addition to functioning as excellent leaders and collaborators with the diverse and excellent infrastructure of investigative research presently ongoing within the State and region. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Minority employees in administrative, faculty, professional and classified positions (percent) 24 25 University of Arizona - Health Sciences Center Dollars are listed in thousands, as requested by agencies. 26 27 27 939  Goal 4 To be the leader for the State’s citizens in designing, mentoring, and monitoring all facets of health care delivery in society and to offer an education milieu to share this information with the populace FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Training programs/ workshops/lectures University of Arizona - Health Sciences Center 416 452 416 Dollars are listed in thousands, as requested by agencies. 452 452 940 Agency Summary ARIZONA DEPARTMENT OF VETERANS' SERVICES Wanda Wright, Director Phone: (602) 255‐3373 A.R.S. §§ 41‐601 et seq. Mission: To be a catalyst in response to the evolving needs of Arizona's veterans and their families. Description: The Department of Veterans' Services assists veterans and their dependents obtain federal entitlements, such as claims for disability, pension, and insurance. All other agency services are derived from this central premise. The Department operates the State Veteran Homes, with homes operating in Phoenix and Tucson. Both homes are self‐funded, skilled‐ nursing facilities that provide long‐term care services to veterans and their spouses. The Department operates three state veteran cemeteries in Sierra Vista, Marana, and Camp Navajo near Flagstaff. The agency is designated as the State Approving Agency, working with institutions that provide education and training to veterans with educational benefits. It administers the Military Family Relief Fund to support Arizona veterans and their families with financial hardships due to their deployments to combat zones. A dedicated coordinator also monitors statewide services to eliminate homelessness amongst Arizona veterans and increase employment opportunities for Arizona veterans. Agency Summary: ($ Thousands) Program  ADMINISTRATION  VETERANS' CONSERVATORSHIP / GUARDIANSHIP VETERANS' SERVICES   STATE VETERANS' HOMES  STATE VETERANS' CEMETERIES Agency Total: Funding: FY 2016 Actual 4,361.8 FY 2017 Estimate 3,758.8 FY 2018 Estimate 3,884.2 752.7 943.5 44.3 3,922.0 5,692.2 5,957.7 30,302.0 5,201.8 31,147.6 1,969.6 41,160.5 2,101.4 44,540.3 43,511.7 53,148.1 FY 2017 Estimate FY 2018 Estimate FY 2016 Actual General Funds Other Appropriated Funds Other Non Appropriated Funds 5,958.7 30,613.6 7,968.0 6,054.1 32,046.8 5,410.8 16,895.8 31,194.1 5,058.2 Total Funding 44,540.3 43,511.7 53,148.1 FTE Positions 512.3 512.3 498.3 Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 941 5 Year Plan Issue 1 State Homes for Veterans must be able to maximize their capacity to provide long term care to as many eligible veterans as possible. Description The Arizona Department of Veterans' Services (ADVS) operates two State Homes for Veterans; a 200‐bed facility in Phoenix that began operations in 1995 and a 120‐bed facility in Tucson that began operations in 2012. ADVS is not able to maximize its revenue potential due to the limitations imposed by an appropriation that limits its ability to accept additional residents in both facilities. These facilities offer a 320‐bed capacity; however, ADVS must maintain an average vacancy rate as high as 20% in order to pay for resident care based on the limitations imposed by the appropriation. The State and the Federal VA have invested large sums to build and develop these facilities in order to satisfy the needs of 320 residents; however, due to the limitations imposed by the appropriation, the Department is not able to fill all beds available, wasting space that could be serving more residents and could be generating additional revenues. In addition to the vacancy rate imposed by the appropriation, ADVS must have enough flexibility to absorb additional costs related to private entities contracted to support these facilities. The healthcare industry is continuously changing; regulatory demands, residents needs or expectations, and staffing needs evolve, requiring flexibility from the Department. That flexibility is critical to continue to provide quality services to all residents. The Phoenix facility is 20 years old and requires multiple emergency repairs and costly maintenance in order to continue to meet those demands. Furthermore, note that every dollar spent on repairs and maintenance is a dollar unavailable for resident care. The Department expects most of the private contracted services costs to increase because most of them have not increased in five years; therefore, additional flexibility in the budget would allow the Department to meet those needs as it serves more residents and generates additional revenues. The State has appropriated $19.2 Million for its 35% share of the cost to build and develop two additional 60‐bed facilities; one in Yuma ($9.2 Million) and another in Flagstaff ($10 Million). If the Department continues to be limited in its ability to maximize occupancy and revenues, it will never be able to fill all beds, creating additional wasted space that could, otherwise, generate revenues and serve more residents. The Trust Fund held a balance of over $8.5 Million at the end of FY16, but the Trust Fund could gain additional revenues if the homes revenue potential is maximized. Changing the Trust Fund into a continuously‐appropriated fund will not diminish the State's oversight of the Trust Fund, it will simply provide the Department flexibility it desperately needs to run a more efficient operation and maximize revenues. Solutions: Goal: Increase the number of beds filled in each State Home for Veterans. Strategies: The Department proposes changing the State Home for Veterans Trust Fund (2355) into a continuously‐appropriated fund. This change will provide ADVS with flexibility to maximize its operating and revenue potential for these facilities and the facilities that will be developed in the near future. Performance Measures: Success of the strategy will be evidenced by the successful implementation of the Department's proposal to change the Trust Fund into a continuously‐appropriated fund, by the increase in the percentage of beds filled, and the increase in revenues generated by the facilities. Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 942 Issue 2 Provide quality, critical information, counsel, and assistance to Arizona veterans, their dependents, and survivors. Description Veterans' Benefits Counselors (VBCs) are essential positions to carry out the Arizona Department of Veterans' Services (ADVS) mission by providing critical information, counsel, and assistance to Arizona veterans, their dependents, and survivors. VBCs develop and file veterans' claims for benefits in the areas of disability, pension, insurance, education, home loans, social security, burial, and other social services. VBCs, in fulfilling their responsibilities successfully, are able to generate Federal VA payments into the Arizona economy that may not be claimed otherwise. It is in the best interest of ADVS, the State, and Arizona veterans served by ADVS to retain qualified VBCs. It takes approximately two years working with ADVS for a VBC to become fully trained, accredited, and fully productive. Newly hired VBCs must complete 40.0 hours of training, six months of on‐the‐job training (430 hours each), and 32 hours of continuing education each year with direct supervisor involvement in order to obtain and maintain their federal (VA) accreditation. Since the turnover rate for VBCs is currently 36%, ADVS spends about $364,992 yearly in training VBCs attempting to ensure that newly hired VBCs get accredited. Currently, ADVS has 12 positions (28%) vacant and another 12 positions (28%) were filled in the last year; that is 56% of all VBC positions. The Department will eventually be able to reduce its training expenses if we are able to retain fully productive VBCs. Additionally, ADVS will be able to increase services to a higher number of veterans and their families to increase the amount of Federal VA dollars spent in Arizona. More veterans and families receiving their fair share of Federal benefits translate into less State expenditures in supporting those veterans and families as well as additional funds (Federal funds) entering Arizona's economy. VBCs directly and indirectly bring over $3 Billion dollars in Federal VA funds to Arizona. Arizona has over 600,000 veterans, which means that Arizona will be spending about $5.16 per year on each veteran to receive over $5,000 back in benefits per veteran, per year. This is a significant return on investment that should not be ignored. Solutions: Goal: Provide more quality services to Arizona veterans and their families by training more qualified Veteran's Benefits Counselors and retaining them. Strategies: ADVS proposes an appropriation sufficient to adjust entry‐level hiring rates to $36,200 per year and adjust experienced, fully productive VBCs to $41,630 per year beginning on July 1, 2017. This proposal will fund vacant and newly hired VBCs at $36,200 per year and will fund $41,630 per year for all those positions once they meet the criteria for fully productive VBCs. If the requested market adjustment is not funded, ADVS will not be able to attract and retain employees in VBC positions. The Arizona Department of Administration, Human Resources Division (ADOA‐HR) conducted a nationwide survey in FY13 to benchmark social service eligibility interviewer salaries (whose duties most resemble those performed by VBCs). According to the survey, the market rate for that job category was $36,200 per year. ADOA‐HR approved a partial adjustment for ADVS's VBC positions during FY14; a 7% adjustment was approved for fully productive VBCs and 5% for all others. Additionally, a market adjustment to the approved salary rate was authorized for FY16, if funding was available. Since funding has not been available, ADVS has not been able to adjust their pay. Performance Measures: Success of the above mentioned strategy will be evidenced by the successful appropriation of additional funds for salary increases, as requested, and a reduction in the turnover rate for VBCs. Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 943 Issue 3 Cemeteries operating costs must be paid by the State. Description Although the Federal Government pays for all costs associated with state veteran cemetery development and construction, cemetery operating costs are the State's responsibility. The Department dedicated the Camp Navajo cemetery near Flagstaff and the Marana cemetery during the later part of FY16. In order to fully fund operations in FY18 and the future, the Department must request an increase to its appropriation to annualize projected costs. Additionally, the Department should be able to fully fund the operation of the Sierra Vista Cemetery, which commenced operation in 2002, but has been only partially funded by the State. If the Department does not receive the General Fund monies requested, the Department will not be able to fund their operation and may be required, under the terms of the construction grant, to return all construction funding provided by the Federal Government. Solutions: Goal: Operate cemeteries as required and, in that manner, increase the number of no‐cost interment spaces available to veterans and their families. Strategy: Emphasize the need for and seek State funding to operate all State Veterans cemeteries; fully fund Sierra Vista Cemetery and fund operating costs of the new cemeteries in Flagstaff and Marana (opened during the later part of FY16). Performance Measures: Success of the strategy will be evidenced by the State appropriation of General Fund monies to operate all State veterans cemeteries: firstly the two new cemeteries in Flagstaff and Marana and fully fund the Sierra Vista Cemetery. Issue 4 Veteran population estimates indicate that over 48% of all veterans living in Arizona in the year 2020 will be older than 65. Description Based on a formula developed by the United States Department of Veterans Affairs (VA), Arizona needs 1,520 long‐ term care beds in order to adequately serve its veteran population in the year 2020. Solutions: Currently, the Arizona Department of Veterans' Services (ADVS) has 320 long‐term care beds. ADVS opened a 200‐bed skilled nursing care facility in Phoenix in 1995. A second 120‐bed facility in Tucson opened on Veterans' Day 2011 and received its final approval to become fully operational in 2012. The VA has acknowledged Arizona's need for additional nursing home beds based on the number of veterans living in the state (currently estimated at over 600,000 veterans). The VA provides grants to states to fund 65% of the cost to build and renovate state‐operated veteran homes. Once operational, the VA also pays a per diem for veterans who are residents of the facility. Based on the number of resident veterans and currently available services, ADVS has identified three geographical regions in Arizona with significant populations of underserved veterans: Southwest (Yuma), Northern (Flagstaff) and Northwestern (tri‐city area of Bullhead City, Kingman, and Lake Havasu). The State has appropriated $9.2 million for the State's 35% share of the construction costs of a facility in Yuma and $10 million for the State's 35% share of the construction costs of a facility in Flagstaff; however, the VA will not notify the State if it plans to fund those facilities in the upcoming Federal fiscal year until October 2016. Additionally, since the Phoenix Home is over 20 years old and is requiring continued and expensive repairs and maintenance, the Department is proposing a renovation project that will ensure continued safe and secure services to its residents, their visitors and Department employees. The Department will complete a feasibility study in FY17 to determine how best to modernize the facility, renew its buliding systems and ensure continued operations during the renovation project. Goal: Increase the number of state veteran home beds available to eligible veterans and their spouses. Strategies: Prioritize efforts based on geographical location of underserved veterans in Arizona. Coordinate with high veteran population communities willing to donate land to ADVS for the purpose of building a state veteran home. Upon acquisition of the land, apply for 65 percent funding from the VA State Veteran Home Grant Program and coordinate state resources to fund the 35 percent state share. Performance Measures: Success of the above mentioned strategy will be evidenced by the transfer of land to ADVS by at least one high veteran population community for the purpose of constructing a state veteran home, the submission of a VA State Veteran Home Grant application, and subsequent award of the grant. Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 944 Issue 5 Burial benefits are available to veterans, but there are only five Arizona locations where veterans may be interred at no cost. Description In‐ground burials and columbaria niches (for cremated remains) are available at the National Cemetery in north Phoenix and at the State cemeteries in Sierra Vista, Marana and Camp Navajo near Flagstaff. Additionally, only columbaria niches are available at the National Cemetery in Prescott. Veterans’ families who aren’t able to travel to one of those locations must purchase cemetery plots or columbaria niches from local cemeteries, which is an avoidable cost to the family. Development and construction of state veteran cemeteries is fully funded by the U.S. Department of Veterans Affairs (VA) National Cemetery Administration Grant Program. However, under this grant program, operating costs must be paid by the State. Based on the number of resident veterans and currently available services, the Arizona Department of Veterans' Services (ADVS) has identified two additional geographical regions in Arizona with significant populations of underserved veterans: Northwest (tri‐city area of Bullhead City, Kingman, and Lake Havasu) and Southwest (Yuma). Solutions: Goal: Increase the number of no‐cost interment spaces available to veterans and their families. Strategies: Prioritize efforts based on geographical location of underserved veterans in Arizona. Coordinate with high veteran population communities willing to donate land to ADVS for the purpose of building a state veteran cemetery. Upon acquisition of the land, apply for funding from the VA State Veteran Cemetery Grant Program to construct additional cemeteries.. Performance Measures: Success of the strategy will be evidenced by the transfer of land to ADVS by at least one high veteran population community for the purpose of constructing a state veteran cemetery, the submission of a VA State Veteran Cemetery Grant application, and subsequent award of the grant. Resource Assumptions Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds Department of Veterans' Services FY2019 Estimate FY2020 Estimate FY2021 Estimate 512.3 512.3 512.3 6,054.1 6,054.1 6,054.1 32,046.8 32,046.8 32,046.8 3,043.7 3,043.7 3,043.7 2,358.8 2,358.8 2,358.8 Dollars are listed in thousands, as requested by agencies. 945 Program Summary ADMINISTRATION Robert Barnes, Deputy Director Phone: (602) 234‐8417 A.R.S. §§ 41‐601 et. seq. Mission: To provide internal agency‐wide support by managing financial, human and information technology resources. In addition to internal services, there is one unit that provides services outside the agency: the State Approving Agency's mission is to support veterans reaching their educational goals by using their Montgomery G.I. Bill benefits. Description: Administration includes the Director's office, Financial Services, Information Technology, Human Resources, Purchasing, and the State Approving Agency (SAA). Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,949.8 0.0 2,412.0 2,264.5 0.0 1,494.3 2,356.3 33.6 1,494.3 Total Funding 4,361.8 3,758.8 3,884.2 FTE Positions 36.3 36.3 38.3  Goal 1 To assist, supervise, and monitor all Arizona educational institutions by providing quality and timely program approvals and technical assistance so that veterans can obtain their educational goals utilizing their Montgomery G.I. Bill benefits. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent approval rate of Benefit Claims submitted to Federal VA. 95 100 100 n/a n/a Satis. n/a n/a Explanation: Metrics are from the last complete federal FY (Oct 1 ‐ Sept. 30) The rating achieved on the State Approving Agency self‐evaluation and from the Joint Peer Review Group. ("Satisfactory" is the highest possible rating the state can achieve.) Satis. Satis. Explanation: Metrics are from the last complete federal FY (Oct 1 ‐ Sept. 30) Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 946  Goal 2 To ensure the availability of appropriated funds to benefit veterans. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Expenditures of federal dollars in Arizona by the U.S. Department of Veterans Affairs (in millions of dollars) 3,607.0 3,823.42 3,076.80 FY 2017 Estimate FY 2018 Estimate 3,261.4 0 Explanation: VA expenditures are reported as of 9/30 of the previous year (federal fiscal year end). The number of federal dollars per veteran entering the Arizona economy (expressed as dollars per Veteran per year) 8,981 9,000 9,013 9,045 0 Explanation: Expressed in terms of actual dollars; no "multiplier effect" has been included in the reported figure. Number of Administrative Rules Improved 0 0 0 n/a 0 Explanation: Statewide Measure ‐ The Department has one Administrative Rule Percent of Services Online 0 0 0 n/a 0 0 0 0 50 0 0 0 2 0 Explanation: Statewide Measure Percent of Arizona Management System Adoption Explanation: Statewide Measure ‐ Begun Adoption in FY17 Number of Breakthroughs Achieved 0 Explanation: Statewide Measure  Goal 3 To recruit, develop, and retain a capable and responsible staff dedicated to excellent customer service. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of Agency Full‐Time‐Equivalent (FTE) Positions Count 0 0 376 358 0 0 0 0 n/a 0 Explanation: Statewide Measure Number of Regrettable Attrition Explanation: Statewide Measure Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 947 Program Summary VETERANS' CONSERVATORSHIP / GUARDIANSHIP Lori Braddock, Fiduciary Division Manager, Principal Fiduciary Phone: (602) 234‐8425 A.R.S. §§ 14‐3601, 14‐5311, 14‐5410, 14‐5651, and 41‐601 et. seq. Mission: To protect incapacitated veterans from exploitation and improve their quality of life. Description: The Fiduciary Division serves as court‐appointed guardian or conservator for incapacitated veterans, surviving spouses, and their dependent children and as personal representative for the estates of deceased veterans. The program is funded by a combination of General Fund appropriations and fees charged to clients for serving as their guardian, conservator, or personal representative. Monthly revenues are deposited with the State Treasurer into a conservator fund, which is returned annually to the Department through the budget appropriation process. The Department has decided to stop accepting new cases and transfer all cases to non‐State entities. This program will be eliminated and dismantled by the end of FY17. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 330.5 422.2 0.0 44.3 899.2 0.0 44.3 0.0 0.0 Total Funding 752.7 943.5 44.3 FTE Positions 20.0 20.0 4.0  Goal 1 To maximize our clients’ quality of life through the delivery of fiduciary services to our clients. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of annual reports of guardian submitted by the due dates Number of client visits and contacts 100 100 98 n/a n/a 2862 3672 3,426 n/a n/a FY 2017 Estimate FY 2018 Estimate 1:40 n/a n/a 1:57 n/a n/a Explanation: Each client must have a visit at least quarterly and additional visits as needed.  Goal 2 To maintain fiduciary licensure from the Arizona Supreme Court. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Licensed fiduciary to client ratio. 1:25 1:28 Explanation: The division had 6 licensed fiduciaries at fiscal year end. . Human service specialist to client ratio 1:68 1:52 Explanation: The caseload for social workers in the division. Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 948  Goal 3 To acquire and control client assets, invest and expend client funds prudently, and to accurately and timely report client financial transactions to the courts. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of annual accountings submitted by the due dates Percent of annual accountings approved on first submission  Goal 4 100 100 100 n/a n/a 100 100 100 n/a n/a FY 2017 Estimate FY 2018 Estimate n/a n/a n/a n/a FY 2017 Estimate FY 2018 Estimate n/a n/a To meet clients' needs. Performance Measures Active caseload at end of fiscal year Decedent caseload at end of fiscal year FY 2015 Actual 198 44 FY 2016 Estimate 275 27 FY 2016 Actual 186 47  Goal 5 To manage and protect clients' assets held by ADVS. FY 2015 FY 2016 Performance Measures Actual Estimate Aggregate amount of protected clients' assets at end of fiscal year (in millions). 23.2 25.0 FY 2016 Actual 24.3 Explanation: Assuming $85,000 per client. Department of Veterans' Services Dollars are listed in thousands, as requested by agencies. 949 Program Summary VETERANS' SERVICES John Scott, Asst. Deputy Director Phone: (602) 234‐8416 A.R.S. §§ 41‐603 et. seq. Mission: To serve Arizona veterans and their families with information and assistance in securing their rightful benefits provided by state and federal law. Description: The Veterans' Services Division provides a network of Veterans Benefits Counselors (VBCs) who give information, counsel, and assistance to veterans, their dependents, and survivors. There are 16 offices in Arizona providing information on federal and state benefits, which have been earned by honorable service in the armed forces of the United States. VBCs develop and file claims for federal and state benefits in areas of disability, pension, insurance, burial, education, home loan, social security, and other social services. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 2,775.2 0.0 1,146.8 2,821.1 0.0 2,871.1 3,086.6 0.0 2,871.1 Total Funding 3,922.0 5,692.2 5,957.7 FTE Positions 57.0 57.0 57.0  Goal 1 To increase the VA monetary awards generated by claims and appeals filed by Veterans Benefits Counselors. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent Approval Rate of Benefits Claims Submitted to Federal VA. Federal VA Compensation & Pension Benefits Paid Monthly in Millions of Dollars to Veterans and Families Utilizing ADVS 0 0 74 78 0 0 0 29.5 30.0 0  Goal 2 To achieve the highest level of customer satisfaction in regards to services being offered and how those services are delivered. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Veterans Services Program Customer Service Delivery Satisfaction Rating 90 90 98.8 98 0 Explanation: Overall customer satisfaction measured by contracted customer surveys at all VBC offices Citizen Engagement; Number of Outreach, Stakeholder & Community Engaged Number of Veterans and Families Provided Direct Service from ADVS Department of Veterans' Services 0 0 20,000 22,000 0 0 0 3,100 3,100 0 Dollars are listed in thousands, as requested by agencies. 950 Program Summary STATE VETERANS' HOMES Robert Barnes, Deputy Director Phone: (602) 234‐8417 A.R.S. § 41‐608.01 Mission: To serve America's heroes by providing compassionate, professional care in a comfortable home‐like environment. Description: The first Arizona State Veteran Home (ASVH) was opened in 1995 in Phoenix. The mission is to provide integrated health services that maximize the quality of life for each resident and allow residents to function at their highest level. That facility has designated 150 beds as skilled nursing care and 50 beds for a specialized wandering/dementia unit. The Tucson Home was opened in 2012 and provides 120 additional skilled nursing care beds to veterans in southern Arizona. The final critically needed approval by the U.S. Department of Veterans Affairs (VA) for the Tucson Home was received June 12, 2012. The State has appropriated its share of the cost (35%) for construction and development of two additional State Homes for Veterans in Yuma and Flagstaff. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 30,191.4 110.6 0.0 31,147.6 0.0 10,000.0 31,160.5 0.0 Total Funding 30,302.0 31,147.6 41,160.5 FTE Positions 380.0 380.0 380.0  Goal 1 To achieve recognition for excellence in long term care. FY 2015 FY 2016 Performance Measures Actual Estimate State Veteran Home(s) Quality Care 0 FY 2016 Actual 0 10 FY 2017 Estimate FY 2018 Estimate 6 0  Goal 2 To maintain financial self‐sufficiency, operating the facility without the use of Arizona taxpayer funds. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent Combined Occupancy Rate at State Veteran Homes 0 0 80 85 0 FY 2017 Estimate FY 2018 Estimate 80 0  Goal 3 To achieve recognition for excellence in customer satisfaction. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual State Veteran Home(s) Customer Service Quality Department of Veterans' Services 0 0 Dollars are listed in thousands, as requested by agencies. 60 951 Program Summary STATE VETERANS' CEMETERIES John Scott, Asst. Deputy Director Phone: (602) 234‐8416 A.R.S. § 41‐601.D Mission: To provide a final resting place that honors the memory of Arizona veterans and their dependents. Description: The Southern Arizona Veterans Memorial Cemetery (SAVMC) in Sierra Vista opened in December 2002 and was designed to meet the needs of southern Arizona veterans for the next 40 years. The Arizona Department of Veterans' Services (ADVS) received approval and completed cosntruction of two additional cemeteries; one in Camp Navajo near Flagstaff and one in Marana. Both cemeteries were completed and began operations in the later part of FY16. ADVS continues to actively work with the U.S. Department of Veterans Affairs (VA) to determine the most beneficial placements of future state veterans cemeteries. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 903.2 0.0 4,298.6 924.2 0.0 1,045.4 1,408.6 0.0 692.8 Total Funding 5,201.8 1,969.6 2,101.4 FTE Positions 19.0 19.0 19.0  Goal 1 To plan for cemetery construction required to meet the needs of Arizona veterans and their eligible dependents. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of casketed burials for both veterans and dependents (expressed as vets/dependents) Number of columbarium inurnments (expressed as veterans/dependents) Department of Veterans' Services 109/54 62/25 100/51 n/a n/a 233/75 112/35 388/83 n/a n/a Dollars are listed in thousands, as requested by agencies. 952 Agency Summary VETERINARY MEDICAL EXAMINING BOARD Victoria Whitmore, Executive Director Phone: (602) 542‐8150 A.R.S. § 32‐2201 Mission: To protect the health, safety, and welfare of Arizona citizens as well as the welfare of animals by the regulation of veterinarians, veterinary technicians, veterinary premises, and animal crematories. Description: The Board is responsible for licensing veterinarians, certifying veterinary technicians, licensing veterinary medical premises, and licensing animal crematories. The Board administers examinations for veterinarians and veterinary technicians, inspects all fixed locations for veterinary medical premises and animal crematories, investigates complaints and violations, and takes appropriate regulatory disciplinary action to ensure the public's protection. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 464.9 0.0 0.0 651.9 0.0 0.0 651.9 0.0 Total Funding 464.9 651.9 651.9 FTE Positions 5.0 6.0 6.0 Veterinary Medical Examining Board Dollars are listed in thousands, as requested by agencies. 953 5 Year Plan Issue 1 Current license/certificate renewal process is completed via paper, which is a very labor and time intensive process. Licensees prefer easier, quicker method to renew and the agency would benefit by lessening staff time/operational costs. Description Per statute, all licenses/certificates expire on Dec. 31st of every even year. Currently, this involves printing/mailing renewal applications, then processing the checks, continuing education documents, and applications all within an approximate 3‐4 month period. Each person's continuing education documents must be verified, payment processed, and all information, including making address/employment/email changes and inputting the date of payment and renewal and printing the renewal license to mail is all completed via our database system by staff. This paper‐heavy process overwhelms agency resources and includes costs for hiring temporary staff or paying overtime as well as high postage costs to mail the renewal documents. An online, credit‐card based system would signficantly improve the current process and system, including significantly lowering costs and response time to the licensees. Solutions: The agency is currently developing an online license renewal system with FY17 appropriation. System is expected to be available in late Fall 2016 in time for the upcoming renewal cycle. The new system will allow licensees to renew online, which will include processing their credit card payments, automatically updating the Board database with address/email/employment changes, and electronically recording licensee continuing education documentation. Licensees will also be able to print their own renewal license instead of the agency printing/mailing it to them. Staff will no longer need to input all that data by hand into the database. The online renewal process is expected to be just the first step in providing electronic services to the agency's customers. Licensees will later be able to change their addresses and employment information as those changes occur by logging into their own account information. The online renewal system is providing the base system to allow such steps. Issue 2 Current database which links with website for public information reporting capabilities, lacks some features to effectively record and report some critical data items. Description Our current database does not capture all the fields/data that we need to best analyze and report all information. These changes can only be made by an IT professional and that project is underway with FY17 appropriation funding. Solutions: A short‐term IT project can be initiated and completed within approximately 3 months to correct some functions and enhance our database system functionalities. Some issues were added and modified during FY16 and will be completed in FY17 once the online license renewal system is completed and shown to operate as expected. Issue 3 License applications are submitted via paper form. Staff must organize documents as they come in to the office and manually input applicant information into database. Description The agency continually strives to increase efficiency, cost‐effectiveness, and customer satisfaction. By providing an online solution for license applications, all these are expected to be enhanced. Solutions: Research on e‐licensing systems began in FY16. There are various possibilities open to the agency, including partnering with the American Association of Veterinary State Boards, expanding on the online license renewal system currently under development, and/or procuring e‐licensing software. The agency is awaiting the awarding of a State contract for this type of system to consider more in depth. Depending on progress of other IT solution projects, the online application process may begin in FY18‐19. Veterinary Medical Examining Board Dollars are listed in thousands, as requested by agencies. 954 Issue 4 Licensees need more online tools and information to manage their license requirements and be provided with pertinent news. Description One of the agency's goals is to increase communication frequency and methods to support our mission by providing pertinent news and information as needed to our licensees. Adding web‐based capabilities for licensees to track their continuing education credits, notify the Board of address and employment changes, request license verifications, etc. would significantly improve customer satisfaction and save funds and staff resources. As more of our licensees embrace online activities, the Board wants to be able to address their needs with the most time‐efficient and cost effective methods available. Licensees are required to submit written address/employment changes within 20 days of the change. Staff receives those changes and must manually input the information into our database. Enhancements to our website/database would allow licensees to create an account online and make those changes themselves, thus ensuring that it is done in the required timeframe and saving staff resouces to complete the task. The agency does not have the capability to send mass emails. If this capability existed, news could be disseminated as needed and could include electronic newsletters and license renewal notices. Simply having the ability to mass email newsletters and renewal notices would translate into significant postage costs and staff preparation times. Solutions: Research will be conducted in FY17‐18 to determine the most cost‐effective and streamlined approach to providing news and information to our licencees via email, website and/or social media. This will likely involve IT solutions/modifications to our website and database as well as procuring and maintaining an email‐blast type system. Implementation is expected in FY18‐FY19, depending on available staffing and funding. Issue 5 The agency has very limited office space for storing paper documents that must be kept for long timeframes. Keeping those documents safe from fire, flood, etc. is also a concern. The public and licensees increasingly expect instant access to public records via the website and other methods. Electronic management and easy retrieval of documents by staff will increase productivity, allowing more time for direct program‐related activities. Description As the agency continues to embrace advanced technologies in order to operate more efficiently and cost‐effectively, while improving customer service, a project to procure and implement a document imaging/storage system is proposed. Current files and public documents are stored primarily in the agency's office space, which has very limited storage space and is vulnerable to fire, water damage, etc. Record retention management could be automated by use of an electronic system with storage/destruction capabilties. Retrieving and organizing records would be simplified, creating more efficient internal operations as well as enhanced customer satisfaction, as it is expected that more public records could be provided electronically or posted on the agency's website. Currently, most public records requests involve staff manually pulling a record file, photocopying needed pages, then mailing to the requestor. Solutions: Procuring and implementing a document imaging/management system or a system is that is part of an e‐licensing solution is planned to solve the issues noted and enhance the agency's capability to more quickly respond to public record and Board requests. As most organizations move to electronic documents as the norm, we expect that additional uses would follow in the next few years as well. As technology continues to improve and changes are expected to the agency's database by late FY17, this document imaging/management system project is expected to be developed in FY18‐19. Part of the research prior to procuring a vendor involves study of state laws and best practices pertaining to digital records. Veterinary Medical Examining Board Dollars are listed in thousands, as requested by agencies. 955 Resource Assumptions Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds FY2019 Estimate FY2020 Estimate FY2021 Estimate 6.0 6.0 6.0 0.0 0.0 0.0 595,000.0 595,000.0 598,000.0 0.0 0.0 0.0 0.0 0.0 0.0  Goal 1 To license veterinarians, veterinary technicians, and premises in accordance with mandated timeframes. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Premises licensed Veterinary applications processed Veterinary technicians certified Administration as a % of total cost Total number of premise renewals Total number of veterinarians licensed annually, including renewals 262 170 72 8.9 801 2,192 185 185 65 9 0 2,350 140 195 79 9 0 2,385 150 185 70 9 850 2,200 150 185 70 9 0 2,350 2094 0 9 2,200 10 925 0 13 900 10 947 1020 1,053 950 1,000 Explanation: number of licensed veterinarians at end of FY Total number of veterinary renewals in biennial renewal process. Reinstatements included. Total number of technician renewals in biennial process. Reinstatements included. Total certified technicians  Goal 2 To rapidly investigate complaints and provide enforcement to protect the public from incompetent service and unprofessional and unethical conduct. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of complaints docketed Number of complaints resolved Disciplinary actions Average number of calendar days from receipt of complaint to resolution Number of annual investigations conducted Number of investigations resulting in enforcement action 107 109 36 92 110 100 20 115 96 97 27 154 100 100 20 160 100 100 20 160 109 42 110 20 116 27 110 25 110 25  Goal 3 To ensure that licenses are granted to competent professionals with high standards of professional and ethical conduct. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of disciplinary actions to number of licensed veterinarians Percent of customers responding excellent or good on customer satisfaction survey 1.4 1 1.1 1 1 98 98 99 98 98  Goal 4 To ensure that the rules developed to license pet crematory facilities are met when licensing and thereafter. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of licenses issued for pet crematory facilities Veterinary Medical Examining Board 3 0 Dollars are listed in thousands, as requested by agencies. 0 1 1 956 Agency Summary WATER INFRASTRUCTURE FINANCE AUTHORITY Particia Incognito, Director Phone: (602) 364‐1310 A.R.S. §§ 49‐1201 to 49‐1269 Mission: To maintain and improve water quality in Arizona by providing financial and technical assistance for basic water infrastructure as well as to provide technical assistance and low‐cost financing solutions to Arizona communities and tribal governments. Description: The Arizona Water Infrastructure Finance Authority (WIFA), in accordance with Laws 2016, Chapter 372, is an independent entity of the Arizona Finance Authority that is authorized to finance the construction, rehabilitation and/or improvement of drinking water, waste water, waste water reclamation, and other water quality facilities/projects. As a “Bond Bank”, WIFA issues bonds and receives federal grants to offer project financing at below market interest rates. Additionally WIFA is responsible for The Greater Arizona Development Authority (GADA), a state level financing authority that assists local and tribal governments in developing and financing public infrastructure projects. Agency Summary: ($ Thousands) Program  WATER INFRASTRUCTURE FINANCE AUTHORITY  GREATER ARIZONA DEVELOPMENT AUTHORITY Agency Total: Funding: FY 2016 Actual 221,397.4 FY 2017 Estimate 0.0 FY 2018 Estimate 0.0 48.2 0.0 0.0 221,445.5 0.0 0.0 FY 2017 Estimate FY 2018 Estimate FY 2016 Actual General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 221,445.5 0.0 0.0 0.0 0.0 0.0 0.0 Total Funding 221,445.5 0.0 0.0 FTE Positions 19.0 0.0 0.0 Water Infrastructure Finance Authority Dollars are listed in thousands, as requested by agencies. 957 5 Year Plan Issue 1 Managing Priorities Through Changing Interest Rates Description Because WIFA operates like a bond bank, low interest rates affect WIFA in two ways. Low interest rates result in low investment returns and reduced loan interest income, decreasing the income to Arizona’s state revolving fund. WIFA sets new loan interest rates for borrowers based on current interest rates. However, WIFA’s bond debt is tied to fixed interest rates based on the date of the bond sale. Historically the bond debt rates are higher than the current low interest rates. Solutions: WIFA is continuing to consult with a Financial Advisor in an effort to determine when additional bonding would be beneficial. The discussion will consist of when we should seek new bond funding, what refunding opportunities we may have and the net effect on the WIFA program. Issue 2 Clean Water Alllocation Description The Clean Water fund is capitalized by annual federal contributions. The present allocation is based on a 1977 formula that does not consider Arizona’s population growth since that date. Solutions: In May 2014 Congress amended Section 601(A) of the Federal Water Pollution Control Act (Title V Water Infrastructure Financing, Subtitle A State Water Pollution Control Revolving Funds). Section 5008, Report on the Allotment of Funds Reads, in part, “The Administrator of the Environmental Protection Agency shall conduct a review of the allotment formula in effect on the date of enactment of this Act for allocation of funds authorized under title VI of the Federal Water Pollution Control Act to determine whether that formula adequately addresses the water quality needs of eligible State, territories and Indian Tribes…” EPA has conducted their study and presented their findings to Congress. However Congress has not acted on the initiative. The allocation received for FY 17 remains the same. Water Infrastructure Finance Authority Dollars are listed in thousands, as requested by agencies. 958 Issue 3 Market agency programs and advocate the importance of safe, reliable water through presentations, networking and outreach Description Arizona’s economy is affecting WIFA in that fewer organizations are pursuing loans. Solutions: ‐Conferences & Outreach Events WIFA presented at numerous conferences and outreach events throughout the year. Some highlights, new conferences or opportunities outside of WIFA’s typical presence, include: •Arizona Public Works Associa on luncheon •American Concrete Pressure Pipe Associa on Annual Mee ng •American Society of Civil Engineers and American Council of Engineering Consultants •American Public Works Associa on Na onal Conference ‐ An Insider’s Look at Arizona's Water Infrastructure and WIFA‐Funded Projects •Healthy Forests, Vibrant Economy Conference ‐ Capitalizing on the Water Infrastructure Finance Authority •Arizona Hydrologic Society Dinner presenta on •Arizona Water Associa on ‐ Innova ve Financing For Your Not‐So‐Tradi onal Infrastructure Projects •ASU Sustainable Ci es Network Green Infrastructure Workgroup Mee ng •Conserva on InfoShare Statewide Mee ng ‐ Reduce, Reuse, Recycle: Smart Investments with WIFA ‐Value of Water Week In support of the Value of Water Coalition's Imagine A Day Without Water campaign, WIFA partnered with the Arizona Department of Water Resources, Arizona Department of Environmental Quality, Arizona Commerce Authority, University of Arizona Water Resources Research Center and Arizona Municipal Water Users Association to develop a proclamation. Several Arizona Corporation Commissioners provided their support as well. Governor Ducey proclaimed the week of October 5‐9 as the Value of Water Week and invited utilities, schools, local governments, and businesses to communicate the importance of water and investments in infrastructure. The proclamation was presented at the Healthy Forests, Vibrant Economy Conference, hosted by SRP, on October 7, 2015. WIFA also put together a press release and sent out an e‐mail to customers and partners, encouraging them to participate in the campaign. ‐Newsletters & Publications WIFA was featured in many press releases, newsletters and publications throughout the year. Some highlights, new publications or opportunities outside of WIFA’s typical outreach, include: •Arizona Commerce Authority Newsle er ‐ WIFA Awarded $25 Million •Arizona Municipal water Users Associa on Blog ‐ WIFA: Li le Agency Of Big Government Protects Arizona’s Water •ADWR Communica on/Newsle er ‐ An Arizona Agency Takes on the Challenge of Upgrading Drinking‐Water Systems Around the State •Arizona Forward – New Member Spotlight ‐Social Media & E‐mails •New Twi er Account ‐ interested individuals and en es can now follow WIFA on Twi er @WIFAfunding. •WIFA is ac ve on Facebook and uses it to communicate important events or happenings and share relevant water infrastructure articles. •Earth Day Ar cle ‐ WIFA Cares About the Earth & Arizona’s Communi es: Protec ng the Earth and Water WIFA used Earth Day as an opportunity to pay tribute to the good work happening Arizona’s communities to protect the environment and public health. Communities are investing in infrastructure to improve water quality and WIFA is able to help keep costs affordable. •WIFA sent out numerous e‐mails throughout the year to WIFA’s distribu on list, containing informa on about upcoming events, trainings, resources and funding opportunities. Water Infrastructure Finance Authority Dollars are listed in thousands, as requested by agencies. 959 Issue 4 Increase development of public infrastructure projects Description Budgetary sweeps from FY2008 to FY2010 have substantially impeded GADA from carrying out its statutory mandate to support economic development in small, rural and tribal communities. The State has not reinvested in GADA since that time. Solutions: No new initiatives are planned for GADA Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Program Summary WATER INFRASTRUCTURE FINANCE AUTHORITY Vacant, Director Phone: (602) 364‐1310 A.R.S. §§ 49‐1201 to 49‐1269 Mission: To maintain and protect water quality and to ensure the affordability of basic community infrastructure. Description: The Water Infrastructure Finance Authority of Arizona (WIFA) is an independent entity authorized to finance the construction, rehabilitation and/or improvement of drinking water, waste water, waste water reclamation, and other water quality facilities/projects. As a "Bond Bank", WIFA is authorized to issue water quality bonds on behalf of communities for basic water infrastructure. Generally, WIFA offers borrowers below market interest on loans for 100% of eligible project costs. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 221,397.4 0.0 0.0 0.0 0.0 0.0 0.0 Total Funding 221,397.4 0.0 0.0 FTE Positions 17.6 0.0 0.0  Goal 1 To award WIFA's resources in accordance with the needs of Arizona's Citizens. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Number of projects that have corrected or prevented public health or environmental problems (including projects which address non‐compliance and maintainance of compliance). 9 4 2 2 FY 2018 Estimate 2  Goal 2 To maintain the fiscal integrity of the Funds administered by WIFA and ensure continuous enhancement for future generations. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of total available funds invested. Water Infrastructure Finance Authority 96.6 95.0 99.92 Dollars are listed in thousands, as requested by agencies. 0 0 960  Goal 3 To effectively and efficiently deliver financial and technical assistance. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Number of weeks from Board ac on to circulate draft loan documents. Average number of days for WIFA to process a disbursement request. FY 2017 Estimate FY 2018 Estimate .68 1.5 .77 1.5 1.5 6.85 14 5.13 14 14  Goal 4 To market agency programs and advocate the importance of safe, reliable water through presentations, networking and outreach. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of conferences/outreach events attended/presented at per year. Number of RWIC mee ngs a ended or coordinated per year. 5.0 4.0 12 4 4 3 2 2 2 2 Water Infrastructure Finance Authority Dollars are listed in thousands, as requested by agencies. 961 Program Summary GREATER ARIZONA DEVELOPMENT AUTHORITY Michael Clark, Controller Phone: (602) 364‐1324 A.R.S. § 41‐1554 Mission: To provide technical assistance and low‐cost financing solutions to assist Arizona communities and tribal governments with development of public infrastructure projects that enhance communities and economic development. Description: The Greater Arizona Development Authority assists local communities and tribal governments in developing and financing public infrastructure projects. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 0.0 0.0 48.2 0.0 0.0 0.0 0.0 0.0 0.0 Total Funding 48.2 0.0 0.0 FTE Positions 1.4 0.0 0.0  Goal 1 To increase development of public infrastructure projects. FY 2015 FY 2016 Performance Measures Actual Estimate Amount of financial assistance (in millions) loaned to cities, towns, counties, and special districts. GADA Fund has experienced budget sweeps and is close to an inability to pursue bonding. Amount of savings (in millions) for cities, towns, counties, tribes, and special districts from participation in the GADA program over private financing. FY 2016 Actual FY 2017 Estimate FY 2018 Estimate 0 0 0 0 0 0 0 0 0 0 GADA Fund has experienced budget sweeps and is close to an inability to pursue bonding. The savings in FY 14 was from a refunding action by the Cities of Coolidge, Guadalupe, Queen Creek, & Williams. Water Infrastructure Finance Authority Dollars are listed in thousands, as requested by agencies. 962 Agency Summary DEPARTMENT OF WATER RESOURCES Thomas Buschatzke, Director Phone: (602) 771‐8500 A.R.S. §§ 45‐101 et seq. Mission: To be the steward of Arizona’s water future and ensure long‐term, reliable water supplies to support the continued economic prosperity of the State, protecting Arizona’s Water Supplies for its Next Century. Description: The Department of Water Resources administers State water laws (except those related to water quality), explores methods of augmenting water supplies to meet future demands, promotes the management of floodplains and dams to reduce loss of life and damage to property, and works to develop public policies that promote conservation and equitable distribution of water. The Department oversees the use of surface and groundwater resources under state jurisdiction and negotiates with external political entities to protect and augment Arizona's water supply. The Department represents the State on issues related to the Colorado River. Agency Summary: ($ Thousands) Program  AGENCY SUPPORT  WATER RESOURCES AND STATEWIDE PLANNING  DAM SAFETY AND FLOOD WARNING Agency Total: Funding: FY 2016 Actual 4,794.8 16,859.4 FY 2017 Estimate 5,242.7 17,761.2 FY 2018 Estimate 5,512.0 19,293.2 1,017.8 22,672.0 1,078.3 24,082.2 1,078.3 25,883.5 FY 2017 Estimate FY 2018 Estimate FY 2016 Actual General Funds Other Appropriated Funds Other Non Appropriated Funds 11,810.1 571.3 10,290.5 13,012.6 2,119.1 8,950.5 14,813.9 2,119.1 8,950.5 Total Funding 22,672.0 24,082.2 25,883.5 FTE Positions 137.2 137.2 157.2 Department of Water Resources Dollars are listed in thousands, as requested by agencies. 963 5 Year Plan Issue 1 Data Integrity Description Water is a vital factor in the health and strength of Arizona’s economy. In October 2015, Governor Ducey announced the Arizona Water Initiative to help ensure the certainty and vitality of Arizona’s water supply long into the future. The Governor's Water Initiative involves two tracks. The first is to examine water supply and demand imbalances in the 22 planning areas identified in the 2014 Strategic Vision for Water Supply Sustainability Report. Beginning with rural areas, the Governor's Water Initiative will seek to create and implement solutions to meet future water demands. The second track requires an appointed team to examine augmentation strategies and explore conservation opportunities and infrastructure capability. Data is fundamental to the analysis required to understand the water conditions in the State. Both tracks of the Governor's Water Initiatives require good data. At current, the Department of Water Resources is facing challenges with data integrity. The Department operates 5 separate databases, all of which contain some data that could be useful to the public and also to achieve the goals of the Governor’s Water Initiative. The data in these databases, while valuable, is not complete and could be improved. The Department uses data to support regulatory and permitting decisions. Accurate data is essential to making sound water management decisions which are key to ensuring secure and resilient water supplies for Arizona’s future. Solutions: The Department is dedicating available resources to data clean up. The Department is requesting additional personnel in its FY 2018 Budget Request to further address these data integrity issues. The Department is requesting three Hydrologist positions and two GIS‐related positions, both of which will provide the expertise and staff time to gather necessary data and update databases to ensure data provided both to the public and to interested parties is reliable and accurate. Issue 2 Fairness and Equity in Water Regulations Description With the reduction of ADWR staff over the past decade, investigations of Active Management Areas compliance/noncompliance are often only initiated in the event of a direct complaint made or in the event of the observation of a fairly egregious violation. Solutions: The Department will continue to dedicate available resources to investigate compliance with AMA regulations. Additionally, ADWR is requesting three Water Resource Specialist II positions to provide additional staff resources to the AMA program. Issue 3 Insufficient Adjudications Personnel Description The Department provides technical assistance for the general stream adjudications process to the Arizona Superior Court. Currently, there are two ongoing general stream adjudications in Arizona: the Gila River System and the Little Colorado River System. The Court has expressed a desire to increase the pace of the adjudications process. The purpose of these adjudications is to determine the priority and extent of water rights. This is important because until water rights are determined, the Department cannot accurately determine water availability. This uncertainty impacts statewide water planning as well as personal and business decisions regarding the availability of future water resources. Solutions: To date, the Department has met Court orders and requests in a timely fashion. The Department is requesting four Water Resource Specialist II positions and two Water Resource Specialist III positions to dedicate to fulfilling existing and future court orders as the pace of the process increases. Resource Assumptions FY2019 Estimate FY2020 Estimate FY2021 Estimate Full‐Time Equivalent Positions General Fund Other Appropriated Funds Non‐Appropriated Funds Federal Funds Department of Water Resources 149.0 14,723,100.0 2,119,100.0 7,320,500.0 340,000.0 149.0 14,723,100.0 2,119,100.0 7,320,500.0 340,000.0 Dollars are listed in thousands, as requested by agencies. 149.0 14,723,100.0 2,119,100.0 7,320,500.0 340,000.0 964 Program Summary AGENCY SUPPORT Lynne Smith, Deputy Director Phone: (602) 771‐8500 A.R.S. §§ 45‐103, 45‐105 Mission: To provide the Department with efficient and cost effective centralized services to assist the Department in meeting its goals. Description: Agency Support provides the management support necessary to manage the Department efficiently. This program includes the following functional areas: budget, personnel, fiscal services, payroll, purchasing, mail delivery, copying, facilities, motor pool and management information services. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 4,263.5 530.7 0.6 4,792.7 0.0 450.0 5,062.0 0.0 450.0 Total Funding 4,794.8 5,242.7 5,512.0 FTE Positions 30.0 30.0 33.0  Goal 1 To develop business database systems and applications capable of collecting, organizing, maintaining and displaying the data required to meet the needs of the Department and its constituents. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of business hours to resolve reported bugs or problems 24 8 0 0 0  Goal 2 To provide a stable and secure network and desktop computing environment, reliable telecommunication services and technical support on all Agency hardware and software used by our customers. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of time servers are available. 99 99.9 0 99.95 0 FY 2017 Estimate FY 2018 Estimate  Goal 3 To promote the Department's missions and initiatives. FY 2015 FY 2016 Performance Measures Actual Estimate Number of hits to ADWR's webpages on the Governor's Water Initiative Number of positive media hits about Arizona water sustainability Percentage of transactions completed online Department of Water Resources FY 2016 Actual 0 0 0 26,100 0 0 0 4 16 0 0 0 17 24 0 Dollars are listed in thousands, as requested by agencies. 965 Program Summary WATER RESOURCES AND STATEWIDE PLANNING Lynne Smith, Deputy Director Phone: (602) 771‐8500 A.R.S. Title 45 Mission: To ensure a long‐term, safe, sufficient and secure water supply for the State; to develop public policies which promote the efficient use and equitable distribution of water in an environmentally and economically sound manner. Description: This program is responsible for managing all surface water rights and groundwater rights. This program develops and implements water management plans, regulates water use, collects data necessary to assess water supplies, and provides technical and administrative support to the Arizona courts presiding over the general stream adjudication in Arizona. The program represents the State on Colorado River and interstate water issues and provides technical assistance to water users. This Program Contains the following Subprograms:  Groundwater Management  Surface Water Administration and Adjudication  Colorado River Management  Statewide Planning  Hydrology Funding: FY 2017 Estimate FY 2018 Estimate 6,978.1 40.6 9,840.7 7,657.4 2,119.1 7,984.7 9,189.4 2,119.1 7,984.7 Total Funding 16,859.4 17,761.2 19,293.2 FTE Positions 97.5 97.5 114.5 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual Subprogram Summary GROUNDWATER MANAGEMENT Lynne Smith, Deputy Director Phone: (602) 771‐8500 A.R.S. §§ 45‐104, 45‐401 et. seq. Mission: To achieve a long‐term balance of water supply and demand on behalf of the citizens of Arizona by comprehensively managing, preserving and enhancing the groundwater supplies of the State. Description: This subprogram is responsible for developing and implementing groundwater management plans, regulations and grant programs which are designed to reduce groundwater use to meet the goals of the Active Management Areas. This subprogram includes groundwater rights management, well driller licensing and permitting, well construction and registries, and the measurement and monitoring of groundwater use and supplies throughout the State. Department of Water Resources Dollars are listed in thousands, as requested by agencies. 966 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,287.9 13.9 1,181.8 1,571.4 1,664.2 963.0 1,820.8 1,664.2 963.0 Total Funding 2,483.6 4,198.6 4,448.0 FTE Positions 20.0 20.0 23.0  Goal 1 To conduct special investigations of critical groundwater areas to ensure that management decisions have a sound technical justification. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of applications reviewed and permits issued for assured and adequate water supply within statutory deadlines. 100 100 100 0 0  Goal 2 To make progress toward the goals of the Active Management Areas by promoting water conservation, groundwater recharge and the use of renewable resources in a fair and equitable manner, and by developing groundwater rules and management plans in conjunction with stakeholders. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of annual storage reports and long‐ term storage accounts available online to the public. Number of stakeholder advisory groups provided technical assistance. 100 100 100 0 0 33 35 26 0 0  Goal 3 To maintain a statewide registry of wells and an accurate record of groundwater rights and uses in Active Management Areas and Irrigation Non‐Expansion Areas. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of annual withdrawal and use reports available for online filing. Percent of notice of intent to drill or modify well applications reviewed and processed within statutory deadlines. 69 87 69 0 0 100 100 100 0 0 Subprogram Summary SURFACE WATER ADMINISTRATION AND ADJUDICATION Lynne Smith, Deputy Director Phone: (602) 771‐8500 A.R.S. §§ 45‐104, 45‐151 et. seq. Mission: To ensure a long‐term, sufficient and secure water supply for the State by promoting, allocating and comprehensively managing the rights and interests of the State's surface water resources for the citizens of Arizona. Description: This subprogram is responsible for issuing permits for the right to use surface water (excluding the Colorado River). This subprogram also maintains accurate water rights registries and records of hydrologic conditions to aid in effective management and planning of surface water supplies. This subprogram provides technical and administrative support to the Arizona courts presiding over the general stream adjudication in Arizona. Department of Water Resources Dollars are listed in thousands, as requested by agencies. 967 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 1,081.6 0.0 38.9 2,414.3 0.0 35.0 3,012.6 0.0 35.0 Total Funding 1,120.5 2,449.3 3,047.6 FTE Positions 25.0 25.0 32.0  Goal 1 To maintain a complete and accurate registry of surface water claims and rights and to process new applications to appropriate surface water. To support Agency priorities by providing timely responses to public and intra‐agency requests for information regarding surface water rights. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of applications processed to appropriate surface water within the licensing timeframe. Percentage of public and intra‐agency information requests met within agency time frames. 85 90 100 0 0 85 90 100 0 0  Goal 2 To provide accurate and timely analyses of water rights claims and high quality statewide water resource data, and to provide technical support, reports, and assessments as required by Adjudication Court directives. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of adjudication court assigned reports completed by established deadlines. Percentage of applications, amendments and assignments processed within Agency time frames. Percent of public and intra‐agency information requests met within Agency time frames. 100 100 100 0 0 85 90 100 0 0 85 90 100 0 0 Subprogram Summary COLORADO RIVER MANAGEMENT Gerry Walker, Deputy Assistant Director Phone: (602) 771‐8500 A.R.S. §§ 45‐104, 45‐105(A)(2), 45‐107 Mission: To promote, allocate, protect and comprehensively manage the rights and interests of Arizona to Colorado River water resources for the citizens of Arizona. Description: This subprogram is responsible for negotiating with other states, Indian tribes and the federal government on issues relating to the allocation, uses and protection of Arizona's entitlement of Colorado River water. This subprogram collects and evaluates data and information to support the preparation of recommendations regarding the protection and allocation of Colorado River water. This subprogram monitors and participates in the resolution of environmental issues arising out of the Endangered Species Act designations within the Lower Colorado River Basin. Department of Water Resources Dollars are listed in thousands, as requested by agencies. 968 Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 496.2 0.0 40.4 286.0 188.6 0.0 286.0 188.6 0.0 Total Funding 536.6 474.6 474.6 FTE Positions 5.0 5.0 5.0  Goal 1 To effectively represent Arizona in discussions and negotiations regarding the State’s rights to the Colorado River. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of unused entitlement recharged Percentage of Colorado River Basin and bi‐ national meetings in which ADWR participated to represent the interest of Arizona water users. 95 100 95 100 100 95 0 0 0 0  Goal 2 To analyze and recommend to the US Department of the Interior the allocation and provisions for contracting of Colorado River water and Central Arizona Project water. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of contract actions recommended in a timely manner to the US Department of Interior. 100 100 100 0 0  Goal 3 To protect the interest of Arizona Colorado River water users by advocating policies that promote maximum short‐term and long‐term beneficial use of Colorado River supplies. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percent of Arizona's annual entitlement to Colorado River water beneficially used Percent of water accounting related reports reviewed within timeframe requested (Lower Colorado River Accounting and Water Use Report, Intentionally Created Surplus Creation and Use Plans, Inadvertent Overrun and Payback Policy Plans). Percentage of instances in which the Colorado River Conditions dashboard was updated within two business days of receiving new information. Department of Water Resources 100 100 94 0 0 100 100 100 0 0 100 100 100 0 0 Dollars are listed in thousands, as requested by agencies. 969 Subprogram Summary STATEWIDE PLANNING Gerry Walker, Deputy Assistant Director Phone: (602) 771‐8500 A.R.S. §§ 45‐104, 45‐105 Mission: To propose water management strategies to preserve and enhance water supplies of the State on behalf of, and in partnership with, the citizens of Arizona. Description: This subprogram includes data collection and analysis to describe water supply and demand conditions throughout Arizona. Planning investigations performed in this subprogram assist to develop, protect and preserve the water supplies for the State. Funding: FY 2017 Estimate FY 2018 Estimate 4,002.2 26.6 8,569.6 3,256.7 266.3 6,686.7 3,587.6 266.3 6,686.7 Total Funding 12,598.4 10,209.7 10,540.6 FTE Positions 44.5 44.5 48.5 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To assess and report information on statewide water resource supply and demand. FY 2015 FY 2016 FY 2016 FY 2017 Performance Measures Actual Estimate Actual Estimate Number of annual water use reporting summaries issued per year for the Community Water System Program. 0 3 0 FY 2018 Estimate 0 0 FY 2017 Estimate FY 2018 Estimate  Goal 2 To develop strategies that address statewide water resource issues. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Percentage of projects that provided technical assistance in support of quantifying and improving resource management outside active management areas. Number of rural water partnership groups in which ADWR participated. 100 100 100 0 0 6 6 6 0 0  Goal 3 To support the Arizona Water Banking Authority's mission of mitigating the impacts of future Colorado River shortages on Arizona water users by storing all available excess Central Arizona Project supplies underground today. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate The amount of water delivered for storage in implementation of the Arizona Water Banking Authorities Annual Plan of Operation. Percentage of monthly updates made available to the public online within three business days of data verification. Department of Water Resources 84,450 40,400 26,893 0 0 100 100 100 0 0 Dollars are listed in thousands, as requested by agencies. 970  Goal 4 To protect and preserve the flow and quality of water in the streams of Arizona by targeting Water Protection Fund grants. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Percentage of grants that achieve the stated objectives of the Water Protection Fund Commission 100 100 100 0 0 Subprogram Summary HYDROLOGY Frank Corkhill, Assistant Director Phone: (602) 771‐8500 A.R.S. §§ 45‐104, 45‐105 Mission: To provide the Agency and citizens’ with timely and accurate hydrologic data collection and data analysis. The Division serves as the Agency’s technical advisor on hydrologic and water resource issues to ensure that public policy is based on sound technical analysis. Description: This subdivision collects groundwater, surface water, microgravity and land subsidence data from thousands of wells and monitoring locations throughout the state. This subdivision develops, maintains and updates numerical groundwater flow models for the active management areas and other areas of significant groundwater use. The collected hydrologic data and models are used by the Agency to study past and present groundwater conditions: and to project future conditions in many of the major aquifers in the state. The hydrologic data and models assist water managers and other water information users with both complex and everyday water resource planning and decision making. Hydrologic data, groundwater models and reports are published and available on the Agency’s website to the general public and water industry professionals. Funding: FY 2016 Actual FY 2017 Estimate FY 2018 Estimate General Funds Other Appropriated Funds Other Non Appropriated Funds 110.3 0.0 10.0 129.0 0.0 300.0 482.4 0.0 300.0 Total Funding 120.3 429.0 782.4 FTE Positions 3.0 3.0 6.0  Goal 1 To ensure the collection and analysis of hydrologic data for the Agency and other users of hydrologic data. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Groundwater Site Index well sites with manual water level measurements. Groundwater Site Index well sites with automated water level measurements. Number of manual stream flow measurements. Department of Water Resources 1575 1575 2,230 0 0 129 131 130 0 0 3 3 42 0 0 Dollars are listed in thousands, as requested by agencies. 971  Goal 2 To ensure wide‐spread access to collected annual hydrologic and geophysical data and groundwater modeling reports and analysis. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of Interferometric Synthetic Aperture Radar Subsidence Maps published and available on the Agency’s website. Number of active management area groundwater models developed, updated or revised. Number of non‐active management area groundwater models developed, updated or maintained. 57 41 365 0 0 6 6 6 0 0 1 2 2 0 0 Program Summary DAM SAFETY AND FLOOD WARNING Lynne Smith, Deputy Director Phone: (602) 771‐8500 A.R.S. §§ 45‐1401 et. seq., 45‐1501 et. seq. Mission: To promote the management of floodplains and dams to reduce loss of life and damage to property. Description: This program is responsible for inspection and review of non‐federal jurisdictional dams for compliance with safety standards, providing assistance to local flood management programs in the administration of the federal National Flood Insurance Program and designing statewide flood warning systems. Funding: FY 2017 Estimate FY 2018 Estimate 568.5 0.0 449.3 562.5 0.0 515.8 562.5 0.0 515.8 Total Funding 1,017.8 1,078.3 1,078.3 FTE Positions 9.7 9.7 9.7 General Funds Other Appropriated Funds Other Non Appropriated Funds FY 2016 Actual  Goal 1 To promote safe floodplain management practice within the 107 communities in the State that are part of the National Flood Insurance Program through outreach, training, and evaluation of compliance with State and National Flood Insurance Program requirements. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of community assistance contact visits completed. 3 5 6 0 0  Goal 2 To assure that dam design, construction, operation and maintenance are in compliance with State laws and current dam safety guidelines. FY 2015 FY 2016 FY 2016 FY 2017 FY 2018 Performance Measures Actual Estimate Actual Estimate Estimate Number of dams classified in a non‐emergency unsafe condition Percentage of dam safety applications reviewed within regulatory timeframes. Department of Water Resources 15 15 17 0 0 100 100 100 0 0 Dollars are listed in thousands, as requested by agencies. 972  Goal 3 To promote dam safety through inspections of high‐hazard dams. FY 2015 FY 2016 FY 2016 Performance Measures Actual Estimate Actual Number of inspections of high‐hazard dams Department of Water Resources 0 0 Dollars are listed in thousands, as requested by agencies. 4 FY 2017 Estimate FY 2018 Estimate 102 0 973 Glossary Part 1: Budget Terms 90/10 Professional and occupational regulatory agencies funded Department of Economic Security (DES), which serves the devel- through the collection of fees and the issuance of licenses. These agencies retain 90% of the fees collected annually in separate agency fund accounts and deposit 10% of the fees collected into opmentally disabled. annualization An adjustment, made to the current year funding base, that will allow a partially-funded program to operate for a the General Fund. 1 full year or accounts for a full-year of budget savings due to midyear reductions. A appropriated fund The Legislatively mandated segregation of accountability Monitoring, measuring, and evaluating funds. It is used and monitored by the General Accounting Office the as a separate self-balancing set of accounts. performance and progress of policies, plans and programs to ensure that results are achieved. Arizona Administrative Code State agency rules of practice setting forth the nature and requirements of all formal procedures actual expenditure An expenditure made in the prior fiscal year as available to the public. reported in the State of Arizona Annual Financial Report, including Personal Services, Employee-Related Expenditures, All Other Arizona Revised Statutes (A.R.S.) The laws governing the State of Operating Expenditures and all below-the-line items as authorized by the Legislature. administrative adjustment Adjustments made to reflect expenditures made by an agency after the close of the fiscal year. Administrative adjustments include the time period from the close of the 13th month to June 30 of the next fiscal year. administrative cost An expense associated with the support, management and oversight of services delivered pursuant to the agency or program mission. Typical administrative costs include those associated with accounting, human resources, budgeting, strategic planning, public information, auditing, executive management, etc. Arizona. B base budget An adjusted budget base that reflects the current year appropriation, amended to include changes for standard operating adjustments. below-the-line item A specific expenditure or budgetary account that has been singled out through the appropriation process to provide high visibility of expenditure. Also known as “special line item.” biennial budgeting A process that estimates revenues and expenditures for a two-year period. AFIS The Arizona Financial Information System is the statewide block grant Allocations of federal money to a state or its subdivi- accounting system maintained by the Department of Administra- sions in accordance with a distribution formula prescribed by law tion. or administrative regulation, for activities of a continuing nature AHCCCS The Arizona Health Care Cost Containment System is the State’s Medicaid program designed to deliver quality managed healthcare to qualifying individuals. All Other Operating Expenditures (AOOE) Category of expenditure accounts that include Professional and Outside Services, InState Travel, Out-of-State Travel, Food, Other Operating Expenditures, and Equipment. within a restricted subject area (e.g., social services, maternal and child health, and childcare). budget A financial plan that estimates the revenues and expenditures for a given period of time. (SEE ALSO: capital outlay and operating budget). budget program Functions and activities of a budget unit or within a budget unit that are pre-planned to fulfill a distinct mission. ALTCS The Arizona Long Term Care System is a single federally budget reform legislation Refers to the provisions contained in defined program providing services through two State agencies: Laws 1993, Chapter 252; Laws 1994, Chapter 218; Laws 1995, AHCCCS, which serves the elderly and physically disabled, and the Chapter 283; Laws 1996, Chapter 339; Laws 1997, Chapter 210, and Laws 2002, Chapter 210. budget unit A department, commission, board, institution or other 1 Italicized terms are defined in this Glossary. State organization receiving, expending, disbursing or incurring obligations against State funds. C E capital outlay Expenditures for upkeep, preservation, development, Employee-Related Expenditures (ERE) The State’s contribution to improvement or acquisition of lands, buildings or certain associat- an employee’s benefit package. ERE include FICA; retirement; ed equipment. Worker’s Compensation; health, dental, and life insurance; unemployment insurance; Personnel Division charges; Govern- Capital Outlay Stabilization Fund (COSF) A fund into which rent ment Information Technology Agency charges; and uniforms for monies collected from agencies occupying State-owned rental certain classes of employees. space are deposited. The monies partially offset building operating and maintenance costs. entitlement program A broad category of categorical public assistance programs that provide services (e.g., cash assistance, categorical eligibility Automatic eligibility for certain federal-State medical services, etc.) to certain population groups (e.g., low- matched public assistance programs, based on criteria established income families with minor children). Admission is often mandato- in federal law. Admission to a program (e.g., Medicaid) is manda- ry for qualified individuals who meet the legal eligibility criteria tory to certain groups of beneficiaries who meet the legal criteria (e.g., individuals who are low-income and aged, blind or disabled), for eligibility to the specified program. categorical program A broad category of joint federal-State public assistance programs that provide financial assistance to individu- hence the reference “entitlement.” Equipment In the operating budget, a specific item of expenditure divided into capitalized equipment (purchased for $5,000 or als or that may subsidize a particular activity (e.g., Medicaid pays more) and non-capitalized equipment (usually between $300 and for medical services on behalf of certain groups of low-income $4,999). persons). certificate of participation (COP) A financing tool used by the ERE rate The quotient of Employee-Related Expenditures and Personal Services expressed as a percentage. State for the acquisition and construction of State facilities. comptroller object An obsolete identifier that was formerly used in Executive Issue An adjustment to the prior-year appropriation to change the scope of current programs or service levels. the statewide accounting system to identify the detailed revenue or expenditure account affected by a transaction; replaced in the new accounting system by object. continuing appropriation An appropriation that is automatically renewed without further Legislative action, period after period, until altered, revoked or liquidated by expenditure. current services budget A financial plan that incorporates the base budget needs of an agency and the addition of funding to support demographic growth in client caseloads and workload functions. D expenditures See actual expenditures. F federal funds Amounts collected and made available to the State by the federal government, usually in the form of categorical or block grants and entitlement programs. Federal Insurance Contribution Act (FICA) Requires employees and employers to make matching contributions into the Social Security fund. Federal Waiver Program Experimental, pilot or demonstration decision package A funding request made by State agencies. projects that, in the judgment of the Secretary of the U.S. Depart- detail fund A fund designation used in the statewide accounting ment of Health and Human Services, are likely to assist in promot- system to segregate agency-specific activity. The balance of an appropriated fund is comprised of the sum of all of its detail funds. Disproportionate Share Hospital (DSH) A hospital that serves a disproportionate share of low-income and Medicaid patients, thereby qualifying for federal aid pursuant to Section 1923 of the Social Security Act. The federal basis for payments is either a ing the objectives of the Medicaid Statute. Projects approved under this authority are referred to as “waiver” programs. fiscal year The State’s yearly accounting period beginning July 1 and ending June 30. (The federal fiscal year begins October 1 and ends September 30.) FPL (Federal Poverty Level) Refers to the poverty guidelines, in reflection of a hospital’s number of Title XIX in-patient days or a relation to income standards, as updated annually in the FEDERAL “low-income” utilization rate. States may also establish optional REGISTER by the U.S. Department of Health and Human Services. payment categories. Arizona has established optional groups that full-time equivalent (FTE) position A position budgeted at 2,080 include county, State and private hospitals. hours per year. fund An independent fiscal and accounting entity with a selfbalancing set of accounts recording cash and/or other resources together with all related liabilities, obligations, reserves and equities, which are segregated for the purpose of carrying on ture: Majority Leaders of both the House and Senate; Chairs of specific activities in accordance with limitations, restrictions or both the House and Senate Appropriations Committees; Chair of regulations. the Senate Finance Committee; Chair of the House Ways and Means Committee; five members of the House Appropriations fund balance The excess of the assets of a fund over its liabilities Committee; and five members of the Senate Appropriations and reserves. Committee. The JLBC meets as often as is necessary to transact business related to fiscal management of the State’s resources. G General Accounting Office (GAO) A division of the Department of Joint Substance Abuse Treatment Program (JSAT) Also known as “Arizona Families First,” JSAT is a substance abuse program jointly Administration that provides diverse statewide financial services administered by the Department of Child Safety and the Depart- and ensures compliance with related statutes and rules. ment of Health Services. The program pays for services to parents, General Fund The primary State account into which monies are guardians or custodians whose substance abuse is a significant collected for the general purposes of government. The primary barrier to preserving the family. Services can also be provided to sources of revenues for the General Fund include sales taxes, federal Temporary Assistance for Needy Families (TANF) Block income taxes and property taxes. The General Fund is also the Grant recipients whose substance abuse is a significant barrier to major expenditure source from which agencies make payments obtaining or maintaining employment. for specified purposes. grant anticipation note (GAN) A federal finance tool involving bonding that can be issued by the State Transportation Board. The issuance of a GAN allows the State to fund and accelerate highway construction projects with anticipated federal monies. L lapsing appropriation An appropriation that terminates automatically. Except for a continuing appropriation, an appropriation is made for a certain period of time, generally one year. At the end of this period (including an administrative adjustment period), I unexpended or unencumbered balances revert to the fund from inflation An allowance made for an increase in price levels of operating expenditures from one fiscal year to the next. input A performance measure that identifies the amount of resources needed to provide particular products or services. which the appropriation was made. Also known as a “reverting appropriation.” line item appropriation A method of appropriation that separates the budget into specific objects of expenditure. The specific items include Personal Services, ERE, Professional and Outside Services, J In-State Travel, Out-of-State Travel, Food, Other Operating JLBC Staff The Legislative counterpart to the Governor’s Office of Strategic Planning and Budgeting (OSPB). The Joint Legislative Budget Committee Staff is often referred to as the JLBC but should not be confused with the Legislative committee of the same name. The JLBC Staff prepares an analysis of the Executive Budget as soon as it is presented to the Legislature. The analysis Expenditures, and Equipment. lump-sum appropriation An appropriation made for a stated purpose, or for a named department, without specifying further the amounts that may be spent for specific activities or for particular objects of expenditure. includes the JLBC Staff’s recommendations for revisions in M expenditures. Master List of State Government Programs Budget reform Joint Committee on Capital Review (JCCR) Created by Laws 1986, legislation requires OSPB to publish a “Master List” of programs Chapter 85, to establish the Building Renewal Formula, approve run by or overseen by State government. Laws 2002, Chapter 210 the creation of Building Systems, and review the State Capital slightly changed the format of the Master List and designated this Improvement Plan. The JCCR is also responsible for reviewing all annual submittal as the operational plan for State agencies and construction projects before commencement of the project. The conformed to the budget cycles. Required information for each JCCR consists of the following 14 members of the Legislature: agency, program and subprogram includes the agency descrip- Chairs of the House and Senate Appropriations Committees, tion, mission statement, strategic issues, and financial and FTE majority and minority leaders from the House and Senate, four position information, as well as the description, mission state- members of the House Appropriations Committee, and four ments, goals, and performance measures for all programs and members of the Senate Appropriations Committee. subprograms. Joint Legislative Budget Committee (JLBC) A Legislative means-tested program Eligibility to a public assistance program committee consisting of the following 16 members of the Legisla- restricted by an applicant’s income or other resources specified by law. Resources include bank accounts and similar liquid assets as Governor. The Office also facilitates a strategic planning process well as real estate, automobiles and other personal property for State government and is responsible for implementing many whose value exceeds specified financial limits. of the provisions of budget reform legislation. The OSPB staff is the Executive counterpart to the JLBC Staff. mission A brief, comprehensive statement of purpose of an agency, program, or subprogram. other appropriated funds All amounts, excluding General Fund amounts, appropriated by the Legislature for predetermined uses. modified lump-sum appropriation A method of appropriation in These include Special Revenue Funds, revolving funds, etc. which Personal Services, Employee-Related Expenditures, All Other Operating Expenditures and below-the-line items are specified in other to the ARIZONA outcome A performance measure that reflects the actual results achieved, as well as the impact or benefit, of a program. expenditure plan. Any amount identified as a modified standard adjustment. According budget unit, e.g., office supplies, utilities, communication, etc. agency, between the actual Personal Services base and the adjustment must be explained by the agency requesting the expenditure This refers to operating expenditures necessary to operate a modified standard adjustment The difference, as calculated by the amount allocated for Personal Services by the agency in its operating ACCOUNTING MANUAL, everything using an object code of 7000. the appropriations bill. output A performance measure that focuses on the level of activity in a particular program or subprogram. N P non-appropriated funds Generally, funds set up as Enterprise or per diem compensation Compensation paid to board or commis- revolving funds. These funds are considered statutorily appropriated and are not subject to the annual or biennial appropriation process. non-lapsing appropriation An appropriation that does not revert to the fund from which it was appropriated at the end of the fiscal year, as provided by law. (SEE continuing appropriation). O object The unit used in the State accounting system to identify, categorize and group governmental expenditures. object category The aggregation of similar objects of expenditure or revenue in the State accounting system. objective A specific and measurable target for accomplishing goals. one-time adjustment A budget adjustment that must be made sion members for their work. Per diem compensation is a daily rate set statutorily. per diem travel Cost of meals and incidentals reimbursed to employees and board or commission members. performance accountability A means of judging policies and programs by measuring their progress toward achieving agreedon performance targets. Performance accountability systems are composed of three components: defining performance measures (including outcomes), measuring performance and reporting results. performance measure Used to measure results and ensure accountability. (SEE ALSO: input, output, outcome, and quality). performance target Quantifiable estimate of results expected for a given period of time. because of a one-time circumstance that is not continued through personal services Line item of expenditure for salaries and wages the next fiscal year. The end of a project would bring about a one- paid to employees, elected officials and board or commission time decrease the following year. members. Payments for leave categories, overtime and other operating budget A plan of all proposed expenditures other than miscellaneous earnings are also recorded in this line item. capital expenditures (SEE capital outlay). An operating budget is privately owned vehicle (POV) Those miles to be used in composed of various objects of expenditure, such as Personal calculating reimbursement of staff for use of private vehicles on Services, Employee-Related Expenditures, In-State Travel, etc. State business. operational plan A practical, action-oriented guide that directs privatization The opening of government markets allowing for goal-setting to achieve meaningful results with the existing equitable competition between the private and public sectors for resources through the shorter budget cycle period. The op- the privilege of delivering services to the public. erational plan should provide incremental steps towards achieving the strategic long-range plan. SEE ALSO: Master List program budgeting A budget system that focuses on program missions, program achievements, and program cost effectiveness. OSPB (Office of Strategic Planning and Budgeting) A State Pursuant to statute, the program structure for program budgeting agency charged with preparing the Governor’s budget guidelines is governed by the Master List structure. Program budgeting is and the Executive Budget recommendation for review by the linked to planning and accountability through alignment of the standard operating adjustment An adjustment to the base budget structures and merging of the planning and budget information. that includes annualization of programs partially funded by the program enhancement An upward revision in the funding level of Legislative appropriation during the current year; annualization of Legislatively authorized pay packages; restoration of vacancy a specific program in order to enhance the level of services being savings; and a one-time increase or decrease to the operating provided by that program. program structure An orderly, logical arrangement of an organization’s programs and subprograms. This structure provides budget. State service All offices and positions of employment in State government except offices and positions specifically exempted by the framework for planning, budgeting and strategic program law from the State personnel system. authorization review. Proposition 204 Medical Program A voter-approved AHCCCS statute A written law, either new or revised, enacted by the Legislature and signed by the Governor. program that expands eligibility to include individuals whose annual incomes are at or below 100% of the FPL. The program is strategic management Process of positioning an organization so it funded through monies received by the State from the tobacco can prosper in the future. The overall framework within which litigation settlement, tobacco tax funds, and the Hospital Assess- policy development, strategic, operational, quality planning, ment Fund. budgeting, capital outlay planning, information technology planning, program implementation, and evaluation and accounta- Q quality A performance measure that reflects the effectiveness in bility take place. strategic plan A visionary guide, based on an examination of internal and external environmental and political factors, that meeting the expectations of customers and stakeholders. directs goal-setting and future resource requirements to achieve meaningful results over time. Strategic projections are long-range R receipt Unless otherwise defined, cash received. There are five general categories of receipts: taxes, licenses and permits, charges and usually cover a five-year period. subprogram An integral component of a program that can be separately analyzed to gain a better understanding of the larger for services, fines and forfeitures, and other receipts that do not fall into another category. resource allocation Determination and allotment of resources or program. subtask In AFIS, the element used to represent each of the subprograms of an agency as established by the Governor’s Office assets necessary to carry out strategies within the priority framework established in the goal-setting process. revenue Additions to assets that do not increase any liability, do and Legislature. supplemental appropriation An appropriation granted for the current fiscal year. Agencies request a supplemental appropriation not represent the recovery of an expenditure, do not represent when the need for funding is urgent and cannot wait for the the cancellation of certain liabilities without a corresponding passage of the next regular appropriations act. increase in other liabilities or a decrease in assets, or do not represent contributions of fund capital in Enterprise and Intergovernmental Service Funds. revenue source The tax, fee or fine that generates income to a T task In AFIS, the element used to represent each of the programs of an agency as established by the Governor’s Office and Legislature. fund. risk management The charges assessed by the Department of tracking system A system that monitors progress, compiles management information and keeps goals on track. Administration to guard against the risk of loss by an employee or agency acting on behalf of the State of Arizona. S U uniform allowance An amount budgeted for specific agencies for the cost of uniforms required by the agency. special line item See below-the-line item standard adjustment Change to the current year’s appropriation to arrive at the new year’s base budget. Examples include annualiza- V tion of programs partially funded during the current year, annual- vacancy savings Savings generated by not filling vacant positions, ization of the pay package, restoration of vacancy savings, and by not filling newly authorized positions, or by filling a vacant one-time increases and decreases. position at a lower grade or step. Glossary Part 2: Acronyms A.R.S. Arizona Revised Statutes APP Aquifer Protection Permit CIS Client Information System AAC Arizona Administrative Code APS Adult Protective Services CJEF Criminal Justice Enhancement Fund ABOR Arizona Board of Regents ARF Automation Revolving Fund CLIA Clinical Lab Inspections Act ACJC Arizona Criminal Justice Commission ARRT American Registry of Radiological CMDP Comprehensive Medical and Dental ACJIS Arizona Criminal Justice Information System ACW Arizona Center for Women ADA Americans with Disabilities Act ADE Arizona Department of Education Technologists ASDB Arizona School for the Deaf and the Blind ASET Arizona Strategic Enterprise Technology Plan CMR Classification Maintenance Review CMS Centers for Medicare and Medicaid Services COP Certificate of Participation ASH Arizona State Hospital COSF Capital Outlay Stabilization Fund ASPC Arizona State Prison Complex CPS Child Protective Services ADM Average Daily Membership ASRS Arizona State Retirement System CRIPA Civil Rights of Institutionalized ADMIN Administration ASU Arizona State University ADOT Arizona Department of Transporta- ATA Automobile Theft Authority CRS Children’s Rehabilitative Services ATDA Arizona Technology Development CSB Central Services Bureau ADJC Arizona Department of Juvenile Corrections tion ADP Average Daily Population AERB Agriculture Employment Relations Board AFDC Aid for Families with Dependent Children AFIS Arizona Financial Information System AFUND Appropriated Fund Authority AVSC Arizona Veterans’ Service Commission AZAFIS Arizona Automated Fingerprint Identification System DAAS Division of Aging and Adult Services and Training AGFD Arizona Game and Fish Department ment CAP Central Arizona Project AHS Arizona Historical Society CAP Child Abuse Prevention AIDA Arizona International Development CBHS Children’s Behavioral Health Services AIMS Adult Inmate Management System ALTCS Arizona Long-Term Care System AMA Active Management Area ANSAC Arizona Navigable Streams Commission AOC Administrative Office of the Courts AOOE All Other-Operating Expenditures CWA Clean Water Act CWRF Clean Water Revolving Fund CAE Commission on the Arizona Environ- Authority Shop CSO Correctional Service Officer AZPOST Arizona Peace Officer Standards AG Attorney General Containment System CSMS Combined Support Maintenance AZGS Arizona Geological Survey BIFO Border Infrastructure Finance Office AHCCCS Arizona Health Care Cost Persons Act DBME Division of Benefits and Medical Eligibility DCS Department of Child Safety DCYF Division of Children, Youth and Families DD Dually Diagnosed or Developmentally Disabled CCDF Child Care Development Fund DDD Division of Developmental Disabilities CEDC Commerce and Economic De- DDSA Disability Determination Services velopment Commission CERF Collection Enforcement Revolving Fund CHC Community Health Center CHILDS Children’s Information Library and Data Source Administration DEA Drug Enforcement Account DEMA Department of Emergency and Military Affairs DEQ Department of Environmental Quality DERS Division of Employment and Rehabilitative Services DES Department of Economic Security DHS Department of Health Services DJC Department of Juvenile Corrections DOA Department of Administration GAO General Accounting Office MD Multiply Disabled GDP Gross Domestic Product MDSSI Multiply Disabled Severely Sensory GIITEM Gang and Immigration Intelligence Team Enforcement Mission GITA Government Information Technology Agency Impaired MEDICS Medical Eligibility Determinations and Information Control System MIPS Million Instructions per Second DOC Arizona Department of Corrections H.B. House Bill MIS Management Information System DOI Department of Insurance HAP Hazardous Air Pollutant MNMI Medically Needy Medically Indigent DOR Department of Revenue HCBS Home and Community Based Services MVD Motor Vehicle Division DPS Department of Public Safety HI Hearing Impaired NADB North American Development Bank DSH Disproportionate Share Hospital HMO Health Maintenance Organization NAFTA North American Free Trade DUI Driving Under the Influence HRMS Human Resource Management DWR Department of Water Resources EAC Eligible Assistance Children EDP Electronic Data Processing EEO Equal Employment Opportunity ELAS Education Learning and Accountability System ELIC Eligible Low-Income Children EMS Emergency Medical Services EMSCOM Emergency Medical Services Communications EMSOF Emergency Medical Services Operating Fund System HUD Housing and Urban Development Agreement NAIC National Association of Insurance Commissioners HURF Highway User Revenue Fund NAU Northern Arizona University ICAC Internet Crimes Against Children NLCIFT National Law Center for Inter- IGA Intergovernmental Agreement IHS Indian Health Service IM 240 Inspection and Maintenance 240 Second Emission Test IOCC Inter-State Oil Compact Commission IRM Information Resource Management IRMG Information Resource Management Group EPA Environmental Protection Agency ISA Intergovernmental Service Agreement EPSDT Early Periodic Screening, Diagnostic, ISD Information Services Division American Free Trade NRCD Natural Resource Conservation District OAH Office of Administrative Hearings OGCC Oil and Gas Conservation Commission OPM Office of Pest Management OSHA Occupational Safety and Health Administration OSPB Office of Strategic Planning and Budgeting ISP Institutional Support Payments PAS Prior Authorization Screening ERE Employee-Related Expenditures IT Information Technology PASARR Pre-admission Screening and FES Federal Emergency Services ITAC Information Technology Authorization and Testing FFP Federal Financial Participation FHAMIS Family Health Administration Management Information System Committee JCCR Joint Committee on Capital Review JCEF Judicial Collection Enhancement Fund Annual Resident Review PDSD Phoenix Day School for the Deaf PERIS Public Employee Retirement Information System FICA Federal Insurance Contribution Act JLBC Joint Legislative Budget Committee POV Privately Owned Vehicle FMAP Federal Matching Assistance JOBS Job Opportunity and Basic Skills PRWORA Personal Responsibility and Work JTED Joint Technical Education District Opportunity Reconciliation Act of 1986 Percentage FMCS Financial Management Control System FPL Federal Poverty Level FTE Full-Time Equivalent GAAP Generally Accepted Accounting Principles GADA Greater Arizona Development Authority LAN Local Area Network PS Personal Services LES Licensing and Enforcement Section PSPRS Public Safety Personnel Retirement LGIP Local Government Investment Pool LTC Long Term Care MAG Maricopa Association of Governments MAO Medical Assistance Only MARS Management and Reporting System System QMB Qualified Medicare Beneficiary OTR Qualified Tax Rate RARF Regional Area Road Fund RCF Registrar of Contractors Fund REDI Rural Economic Development Initiative REM Retain, Eliminate or Modify RIF Reduction-in-Force RMIS Risk Management Information System RMRF Risk Management Revolving Fund RTC Residential Treatment Center or Return to Custody RUCO Residential Utility Consumer Office S.B. Senate Bill SAMHC Southern Arizona Mental Health Center SAVE Systematic Alien Verification for Entitlements SNAP Supplemental Nutrition Assistance Program SOBRA Sixth Omnibus Budget Reconciliation Act SPAR Strategic Program Authorization Review UAHSC University of Arizona Health Sciences Center USAS Uniform State-wide Accounting System USGS United States Geological Survey UST Underground Storage Tank SPO State Purchasing Office VA Veterans Affairs SPRF State Parks Revenue Fund VEI Vehicle Emission Inspections SPU Special Population Unit VI Visually Impaired SR&E Securities Regulation and Enforce- VOCA Victims of Crime Act ment SSI Supplemental Security Income VR Vocational Rehabilitation VRIRF Victims’ Rights Implementation SBAC Small Business Assistance Center SSIG State Student Incentive Grant SBCS State Board for Charter Schools SSRE State Share of Retained Earnings WAN Wide Area Network SBE State Board of Education SWCAP State-wide Cost Allocation Plan WATS Wide Area Telephone System SBIR Small Business Innovative Research T&R Title and Registration WFRJT Work Force Recruitment and Job SBOE State Board of Equalization TANF Temporary Assistance for Needy SCHIP State Children’s Health Insurance Program Families TB Tuberculosis Revolving fund Training WICHE Western Inter-State Commission on Higher Education SDWA Safe Drinking Water Act TCC Transitional Child Care WIFA Water Infrastructure Finance Authority SDWRF Safe Drinking Water Revolving Fund TDD Telecommunication Devices for the WIPP Work Incentive Pay Plan SES State Emergency Services SLI Special Line Item SLIAG State Legalization Impact Assistance Grant SMI Serious Mental Illness or Seriously Mentally Ill Deaf WPF Water Protection Fund TIFS Tourism Investment Fund Sharing WQAB Water Quality Appeals Board TLMF Trust Land Management Fund WQARF Water Quality Assurance Revolving TPO Telecommunications Policy Office UA University of Arizona Fund