FY14 ANNUAL RESEARCH REPORT JULY 1, 2013 - JUNE 30, 2014 Table of Contents Arial 12pt. Font Enterprise Metrics Introduction Total Research Expenditures 8 Invention Disclosures Transacted 9 U. S. Patents Issued 10 Intellectual Property Income 11 Startup Companies 12 Ph.D. Degrees Conferred 13 Introduction Arial 12pt. Font Much of the innovation that improves people’s lives springs from university research and Arizona’s public universities are critical incubators for such research and activity. The body of knowledge created by university research can be measured in part by inventions, patents and start-up companies, all of which fuel the private sector and translate into jobs – high-paying, highskill jobs. The Arizona Board of Regents has defined several key measures to evaluate the growth of its research enterprise in the university system and it continues to make steady progress. Through research activity at the universities, millions of dollars are reinvested annually into the community. In 2014, Arizona’s public universities brought in more than $1 billion in research expenditures, dollars that drive purchases and employment within Arizona. Research activity also directly resulted in 24 different startup companies, over 470 invention disclosures, 84 U.S. patents issued, and public-private partnerships which will help fuel Arizona’s economy going forward. Increasing the research capabilities and performance of the Arizona University System to a level of competitive prominence with peer rankings of top American research universities is a significant part of the regents’ overarching goal to contribute to the vitality of Arizona’s future. The information in this report demonstrates that the discovery and innovation taking place at Arizona’s public universities is expanding and that translates to more discoveries, a better quality of life for Arizonans, and more jobs for the State. Introduction The Report’s Design This report provides an in-depth and comprehensive review of Arizona’s higher education research enterprise. It is designed to allow the reader to easily locate any single research metric or indicator for any of Arizona’s three public universities and quickly compare each Arizona university’s performance against those of its Board-approved peers. Arial 12pt. Font The metrics are categorized into five areas for each university:  Enterprise size  Discovery and scholarly impact  Economic development  Leadership and recognition  Technology transfer activity A review of the metrics in these five areas will provide the reader with a better understanding of the progress being made by Arizona’s public universities toward creating new knowledge, finding solutions for challenges in Arizona and worldwide, and creating economic opportunity for the state. The final section, Strategic Initiatives, provides a glimpse into the impact of Technology Research Initiative Fund (TRIF) investments. The full Annual TRIF report can be found on the Regents’ website. This Page Intentionally Left Blank Enterprise Metrics Enterprise Size Total Research Expenditures (in Thousands) 2,500,000 2,000,000 1,500,000 1,000,000 500,000 0 ABOR Enterprise Plan Goal Actual Difference 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 945,080 1,009,276 1,065,160 1,120,569 1,213,978 1,314,387 1,420,796 1,538,205 1,666,614 1,799,023 1,941,432 944,795 996,565 1,039,424 1,065,136 1,046,329 -285 -12,711 -25,736 -55,433 -167,649 Arizona State University Goal Actual Difference 2010 329,345 329,345 0 2011 348,525 355,215 6,690 2012 370,000 385,959 15,959 2013 390,000 405,154 15,154 2014 415,000 426,651 11,651 2015 445,000 2016 480,000 2017 520,000 2018 570,000 2019 630,000 2020 700,000 2010 28,803 28,803 0 2011 30,751 30,785 34 2012 32,160 28,100 -4,060 2013 33,569 30,516 -3,053 2014 34,978 31,590 -3,388 2015 36,387 2016 37,796 2017 39,205 2018 40,614 2019 42,023 2020 43,432 2010 586,932 586,647 -285 2011 630,000 610,565 -19,435 2012 663,000 625,365 -37,635 2013 2014 697,000 764,000 629,466 588,088 -67,534 -175,912 2015 833,000 2016 903,000 Northern Arizona University Goal Actual Difference The University of Arizona Goal Actual Difference ABOR - 8 2017 2018 2019 2020 979,000 1,056,000 1,127,000 1,198,000 Discovery and Scholarly Impact Invention Disclosures Transacted 500 450 400 350 300 250 200 150 100 50 0 ABOR Enterprise Plan Goal Actual Difference 2010 327 327 0 2011 327 331 4 2012 351 398 47 2013 372 412 40 2014 384 473 89 2015 401 2016 410 2017 418 2018 428 2019 438 2020 448 Arizona State University Goal Actual Difference 2010 187 187 0 2011 172 170 -2 2012 176 239 63 2013 179 250 71 2014 183 261 78 2015 187 2016 191 2017 195 2018 199 2019 204 2020 208 Northern Arizona University Goal Actual Difference 2010 9 9 0 2011 11 12 1 2012 15 17 2 2013 18 18 0 2014 21 24 3 2015 24 2016 25 2017 25 2018 27 2019 28 2020 30 The University of Arizona Goal Actual Difference 2010 131 131 0 2011 144 149 5 2012 160 142 -18 2013 175 144 -31 2014 180 188 8 2015 190 2016 194 2017 198 2018 202 2019 206 2020 210 ABOR - 9 Discovery and Scholarly Impact U.S. Patents Issued 90 80 70 60 50 40 30 20 10 0 ABOR Enterprise Plan Goal Actual Difference 2010 33 33 0 2011 32 37 5 2012 35 47 12 2013 38 77 39 2014 42 84 42 2015 47 2016 51 2017 54 2018 59 2019 64 2020 70 Arizona State University Goal Actual Difference 2010 17 17 0 2011 17 18 1 2012 19 26 7 2013 21 48 27 2014 24 56 32 2015 27 2016 30 2017 33 2018 37 2019 42 2020 47 Northern Arizona University Goal Actual Difference 2010 3 3 0 2011 0 0 0 2012 1 0 -1 2013 1 2 1 2014 2 4 2 2015 3 2016 3 2017 3 2018 3 2019 3 2020 3 The University of Arizona Goal Actual Difference 2010 13 13 0 2011 15 19 4 2012 15 21 6 2013 16 27 11 2014 16 24 8 2015 17 2016 18 2017 18 2018 19 2019 19 2020 20 ABOR - 10 Economic Development Intellectual Property Income (in Thousands) 25,000 20,000 15,000 10,000 5,000 0 ABOR Enterprise Plan Goal Actual Difference 2010 4,533 4,003 -530 2011 3,690 3,764 74 2012 4,607 5,288 681 2013 5,506 4,645 -861 2014 6,647 5,988 -659 2015 8,193 2016 9,700 2017 11,422 2018 13,544 2019 16,164 2020 19,389 Arizona State University Goal Actual Difference 2010 3,300 2,742 -558 2011 2,200 2,307 107 2012 2,737 3,716 979 2013 3,405 3,275 -130 2014 4,236 4,328 92 2015 5,271 2016 6,557 2017 8,158 2018 10,149 2019 12,627 2020 15,709 Northern Arizona University Goal Actual Difference 2010 3 3 0 2011 40 43 3 2012 20 22 2 2013 21 25 4 2014 21 32 11 2015 22 2016 23 2017 24 2018 25 2019 27 2020 30 The University of Arizona Goal Actual Difference 2010 1,230 1,258 28 2011 1,450 1,414 -36 2012 1,850 1,550 -300 2013 2,080 1,345 -735 2014 2,390 1,628 -762 2015 2,900 2016 3,120 2017 3,240 2018 3,370 2019 3,510 2020 3,650 ABOR - 11 Economic Development Startup Companies 30 25 20 15 10 5 0 ABOR Enterprise Plan Goal Actual Difference 2010 11 10 -1 2011 17 18 1 2012 12 15 3 2013 13 14 1 2014 15 24 9 2015 17 2016 16 2017 19 2018 20 2019 21 2020 21 Arizona State University Goal Actual Difference 2010 4 4 0 2011 10 10 0 2012 4 9 5 2013 4 11 7 2014 4 12 8 2015 5 2016 5 2017 5 2018 5 2019 6 2020 6 Northern Arizona University Goal Actual Difference 2010 1 0 -1 2011 1 0 -1 2012 1 1 0 2013 1 0 -1 2014 2 1 -1 2015 2 2016 1 2017 2 2018 2 2019 2 2020 1 The University of Arizona Goal Actual Difference 2010 6 6 0 2011 6 8 2 2012 7 5 -2 2013 8 3 -5 2014 9 11 2 2015 10 2016 10 2017 12 2018 13 2019 13 2020 14 ABOR - 12 Economic Development Ph.D. Degrees Conferred 1,400 1,200 1,000 800 600 400 200 0 ABOR Enterprise Plan Goal Actual Difference 2010 842 841 -1 2011 859 858 -1 2012 883 885 2 2013 949 893 -56 2014 970 900 -70 2015 997 2016 1,043 2017 1,068 2018 1,115 2019 1,151 2020 1,157 Arizona State University Goal Actual Difference 2010 390 390 0 2011 425 425 0 2012 442 442 0 2013 488 463 -25 2014 488 442 -46 2015 486 2016 511 2017 525 2018 559 2019 584 2020 580 Northern Arizona University Goal Actual Difference 2010 25 24 -1 2011 26 25 -1 2012 24 26 2 2013 24 20 -4 2014 25 26 1 2015 34 2016 35 2017 36 2018 39 2019 40 2020 40 The University of Arizona Goal Actual Difference 2010 427 427 0 2011 408 408 0 2012 417 417 0 2013 437 410 -27 2014 457 432 -25 2015 477 2016 497 2017 507 2018 517 2019 527 2020 537 ABOR - 13 This Page Intentionally Left Blank Annual Research Report - FY2014 Introductory Letter Arizona State University (ASU) has had another impressive year of growth in research and discovery, exceeding $426 million in research expenditures in fiscal year 2014 (FY14). Since 2002, our research expenditures have more than tripled, making our research enterprise one of the fastest growing among universities that have more than $100 million in research expenditures. Technology transfer and entrepreneurship activities have resulted in over 70 companies, attracting more than $425 million in investment. This sustained achievement is aligned with the university’s charter, which states our commitment to being a comprehensive public research university measured not by whom we exclude, but rather by whom we include and how they succeed; advancing research and discovery of public value; and assuming fundamental responsibility for the economic, social, cultural and overall health of the communities we serve. ASU engages students, faculty and community in use-inspired, multidisciplinary research. We build on ASU’s competitive positioning to drive economic development and take pride in our critical role in advancing the Arizona economy. Each year ASU faculty and researchers advance discoveries and develop solutions that translate into tangible impacts in the marketplace. This results in positive economic impact and recognition for our state. ASU is ranked as 4th in patents among institutions without a medical school as well as one of the top 10 universities in technology transfer. This accomplishment puts us among a select group of leading research universities. This year ASU celebrates a 20-year legacy of accomplishments as a Research I university, a distinction conferred by the Carnegie Foundation for the Advancement of Teaching. This designation ranks ASU among a distinguished group of universities for the volume and quality of our research efforts. Our faculty have made significant contributions that have helped us understand our world and universe, from the origins of humankind to the surface of Mars. They have achieved this while also focusing on unparalleled excellence at scale in serving ASU’s growing student population. This success demonstrates our commitment to excellence, access and impact. Looking ahead to the next 20 years, we will accelerate our trajectory of enterprise advancement as our faculty discover and create solutions that materially impact a broad spectrum of fields, including the health, security and sustainability of the human race. Sincerely, Sethuraman “Panch” Panchanathan Senior Vice President of Knowledge Enterprise Development Table of Contents Enterprise Size Introduction Selected Accomplishments Total Research Expenditures Average Growth Rate in Total Research Expenditures Over 3 Years Federally Financed Research Expenditures Average Growth Rate in Federally Financed Research Expenditures Over 3 Years Net Research Square Feet Total Research Expenditures per Square Foot Total Faculty Population Total Research Expenditures per Faculty Other Sponsored Project Expenditures (Instruction, Service, etc.) Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 6 7 8 9 10 11 12 13 14 15 16 17 Discovery and Scholarly Impact Introduction Selected Accomplishments Invention Disclosures Transacted Invention Disclosures Transacted per $10 Million in Total Research Expenditures U.S. Patents Issued U.S. Patents Issued per $10 Million in Total Research Expenditures 20 21 22 23 24 25 Economic Development Introduction Selected Accomplishments Intellectual Property Income Intellectual Property Income per $10 Million in Total Research Expenditures Licenses and Options Income Licenses and Options Income per $10 Million in Total Research Expenditures Licenses and Options Executed Licenses and Options Executed per $10 Million in Total Research Expenditures Startup Companies Startup Companies per $10 Million in Total Research Expenditures Ph.D. Degrees Conferred Ph.D. Degrees Conferred per $10 Million in Total in Research Expenditures 28 29 30 31 32 33 34 35 36 37 38 39 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 42 43 44 45 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 48 49 50 51 52 53 Strategic Initiatives Summary 56 This Page Intentionally Left Blank Enterprise Size Enterprise Size Introduction As the New American University, ASU has built its research enterprise on the principles of conducting transdisciplinary, use-inspired and socially embedded research. ASU not only continues to be one of the fastest growing research enterprises among U.S. universities but also remains nimble and responsive to emerging research and economic development opportunities. As a result of our consistent achievements and efforts, the research enterprise continues to make significant progress towards achieving our goal of $700 million in research expenditures by 2020. Total research volume, proposal submissions and extramural awards in FY14 testify to our progress: • $426.7 million in total research expenditures • Proposal submissions exceeded $1.6 billion, representing a 34% increase over FY13 ASU continues to be ranked among the top U.S. universities for total research expenditures in the most recent National Science Foundation Higher Education Research and Development survey. This includes exemplary rankings such as: • 8th in social sciences, which ranks higher than leading institutions like Stanford, University of Pennsylvania, and UCLA • 10th in Health and Human Services (including NIH) expenditures among institutions without a medical school, ranking higher than Caltech, Georgia Tech and Northwestern University • 12th overall among institutions without a medical school, above Princeton and Carnegie Mellon • 12th in National Aeronautics and Space Administration (NASA) funded expenditures, above top universities like Harvard University, Columbia University and Cornell University • 17th in humanities, ranking above UC Berkeley, Penn State University and New York University • 28th in National Science Foundation (NSF) expenditures, which ranks higher than Harvard University, University of Chicago and Duke University The growth of our research enterprise includes establishing new research centers that are forging new discoveries and collaborations, both internal and external to the university. In the past year we established the Center for Applied Structural Discovery, led by Dr. Petra Fromme in the Department of Chemistry and Biochemistry, and have launched the Global Securities Initiative. This initiative will serve as a university-wide interdisciplinary hub for global security research and is the evolution of our Security and Defense Systems Initiative. ASU - 6 Enterprise Size Selected Accomplishments A cooperative agreement of $20 million over five years was secured from the National Geospatial-Intelligence Agency (NGA) to launch a research partnership, known as the Foresight Initiative. The partnership will explore approaches for anticipating and mitigating national security risks associated with climate change and represents the leading edge of complex decision-making research. Dr. Joshua LaBaer at the Biodesign Institute is leading an effort funded by the Biomedical Advanced Research and Development Authority (BARDA), a federal agency within the U.S. Department of Health and Human Services. The $9 million project phase continues research to produce a diagnostic test to rapidly measure an individual’s level of absorption of ionizing radiation. The single largest investment in human origins research has been given to the Institute of Human Origins from the John Templeton Foundation. The $4.9 million, three-year grant supports 11 linked projects to explore the question of “how we became human.” The grant also includes a supplement to support K-12 educational outreach in human origins. Dr. Jim Bell and his team in the School of Earth and Space Exploration have been selected to design, deliver and oversee a pair of color panoramic zoom cameras for the 2020 Mars rover mission. ASU will receive more than $10 million to support the Mastcam-Z imaging investigation. Nearly $3 million in new funding from the National Science Foundation will help an ASU professor improve how new secondary education science teachers instruct and engage English language learners. The Mary Lou Fulton Teachers College will lead the four-year project, titled “Secondary Science Teaching with English Language and Literacy Acquisition.” A team of ASU engineers is leading a national project promising a significant advance in the technology for converting sunlight into electricity. With support from a $3.5 million, three-year grant from the U.S. Department of Energy’s SunShot Initiative, the team will develop new ultra-thin silicon solar cells designed to increase the amount of electricity that can be produced through direct conversion of sunlight. ASU - 7 Enterprise Size Total Research Expenditures (in Thousands) 700,000 600,000 Median 500,000 Actual Goal 400,000 300,000 200,000 100,000 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of California - Los Angeles University of Minnesota - Twin Cities Ohio State University - Columbus University of Illinois - Urbana-Champaign Pennsylvania State University - University Park University of Texas - Austin Michigan State University Rutgers the State University of NJ - New Brunswick University of Maryland - College Park University of Iowa Arizona State University Florida State University Indiana University - Bloomington University of Connecticut - Storrs Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X 2010 329,345 329,345 0 2011 355,215 348,525 6,690 2012 385,959 370,000 15,959 2013 405,154 390,000 15,154 2014 426,651 415,000 11,651 2010 1,022,740 1,029,295 936,995 786,074 755,194 515,133 682,233 589,502 431,373 428,432 451,415 444,034 329,345 227,329 177,520 135,608 483,274 2011 1,148,533 1,111,642 982,357 847,419 832,126 545,669 692,708 632,171 454,248 432,306 495,382 443,893 355,215 230,411 184,096 152,554 520,526 2012 1,109,008 1,169,779 1,003,375 826,173 766,513 583,754 695,177 621,538 507,061 434,901 502,406 446,429 385,959 225,378 184,486 154,395 545,408 2013 1,192,513 1,123,501 966,659 858,378 793,373 743,487 730,212 634,132 515,707 493,320 491,998 435,377 405,154 250,877 197,897 145,617 574,920 2014 ASU - 8 426,651 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Total Research Expenditures Over 3 Years 16% 14% 12% 10% 8% Actual Goal 6% 4% Median 2% 0% NSF Adj. ABOR Peer Group University of Illinois - Urbana-Champaign Arizona State University Michigan State University University of Washington - Seattle Rutgers the State University of NJ - New Brunswick Indiana University - Bloomington Florida State University University of Wisconsin - Madison University of Minnesota - Twin Cities University of Maryland - College Park University of Connecticut - Storrs University of Texas - Austin Pennsylvania State University - University Park Ohio State University - Columbus University of California - Los Angeles University of Iowa Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X 2010 13.7% 13.7% 0 2011 11.1% 10.4% 0 2012 11.2% 9.6% 1.5% 2013 7.2% 5.8% 1.4% 2014 6.3% 6.0% 0.3% 2010 3.2% 13.7% 6.4% 11.4% 15.7% 7.4% 6.6% 7.0% 8.0% 7.9% 7.9% 9.8% 5.4% 1.6% 4.4% 9.3% 7.7% 2011 3.3% 11.1% 8.5% 15.1% 14.1% 7.0% 8.3% 8.0% 7.5% 7.9% 11.6% 8.8% 3.8% 5.9% 4.1% 15.6% 8.2% 2012 1.4% 11.2% 10.8% 13.4% 11.7% 5.7% 5.2% 7.1% 3.8% 7.2% 5.8% 7.3% 1.6% 2.6% 4.1% 11.7% 6.5% 2013 13.4% 7.2% 6.2% 5.5% 5.0% 3.7% 3.5% 3.1% 3.1% 3.0% 2.7% 2.5% 2.3% 1.9% 1.1% -0.6% 3.1% 2014 ASU - 9 6.3% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Federally Financed Research Expenditures (in Thousands) 400,000 Median 350,000 300,000 250,000 200,000 Actual 150,000 100,000 50,000 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of California - Los Angeles University of Minnesota - Twin Cities Pennsylvania State University - University Park University of Illinois - Urbana-Champaign Ohio State University - Columbus University of Texas - Austin University of Maryland - College Park Rutgers the State University of NJ - New Brunswick Michigan State University University of Iowa Arizona State University Florida State University University of Connecticut - Storrs Indiana University - Bloomington Median Med. Sch. Actual X X X X X X X X X X X X 2010 172,202 2011 185,766 2012 194,376 2013 201,363 2014 196,270 2010 829,885 545,189 538,521 426,359 407,256 303,852 399,942 350,308 297,896 224,894 214,134 282,465 172,202 134,794 75,336 71,208 300,874 2011 948,976 593,633 563,560 489,480 404,065 323,454 493,130 355,437 338,780 239,908 240,837 283,627 185,766 140,850 86,727 74,143 331,117 2012 909,652 580,661 539,054 485,462 459,521 359,989 445,635 354,873 340,180 279,161 268,952 269,734 194,376 140,419 92,127 79,727 347,527 2013 928,193 555,875 501,368 494,206 483,062 468,798 456,590 372,633 342,778 295,028 260,610 255,329 201,363 148,413 89,354 85,852 357,706 2014 ASU - 10 196,270 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Federally Financed Research Expenditures Over 3 Years 16% 14% 12% 10% 8% 6% Median 4% 2% Actual 0% NSF Adj. ABOR Peer Group University of Illinois - Urbana-Champaign Rutgers the State University of NJ - New Brunswick Michigan State University Indiana University - Bloomington University of Connecticut - Storrs Pennsylvania State University - University Park Ohio State University - Columbus Arizona State University University of Minnesota - Twin Cities University of Maryland - College Park University of Washington - Seattle Florida State University University of Texas - Austin University of Wisconsin - Madison University of California - Los Angeles University of Iowa Median Med. Sch. Actual X X X X X X X X X X X X 2010 14.9% 2011 14.3% 2012 13.5% 2013 5.4% 2014 1.9% 2010 6.2% 22.9% 9.2% 3.8% 10.6% 7.1% 8.7% 14.9% 8.1% 11.0% 11.3% 6.1% 6.9% 5.2% 3.6% 8.3% 8.2% 2011 6.6% 23.6% 16.8% 3.2% 16.4% 4.0% 14.1% 14.3% 10.4% 12.9% 16.4% 8.5% 3.4% 7.8% 6.3% 7.4% 9.4% 2012 7.7% 23.9% 18.2% 0.8% 22.2% 6.1% 10.5% 13.5% 7.7% 11.6% 14.7% 6.4% 4.9% 4.7% 5.2% 2.5% 7.7% 2013 16.0% 9.6% 7.0% 6.4% 6.1% 6.0% 5.4% 5.4% 5.3% 5.0% 4.1% 3.3% 2.1% 0.8% -2.2% -3.3% 5.3% 2014 ASU - 11 1.9% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Net Assignable Square Feet 1,800,000 Median 1,600,000 1,400,000 1,200,000 1,000,000 Actual 800,000 600,000 400,000 200,000 0 NSF Adj. ABOR Peer Group University of Minnesota - Twin Cities University of Illinois - Urbana-Champaign Ohio State University - Columbus University of Wisconsin - Madison University of California - Los Angeles Pennsylvania State University - University Park Michigan State University University of Washington - Seattle University of Texas - Austin Rutgers the State University of NJ - New Brunswick Arizona State University University of Maryland - College Park University of Iowa Indiana University - Bloomington Florida State University University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X X X X X 2010 626,416 2011 847,836 2012 847,836 2013 968,595 2014 968,595 2010 3,684,378 4,561,500 1,487,468 2,844,272 2,496,563 2,654,356 2,324,423 1,795,359 1,480,462 1,105,494 626,416 712,085 616,700 1,387,317 675,000 437,718 1,483,965 2011 3,531,048 4,631,400 1,447,310 2,935,571 2,632,450 2,552,837 2,274,375 1,874,449 1,478,523 1,106,675 847,836 769,581 659,913 591,765 511,000 540,215 1,462,917 2012 3,531,048 4,631,400 1,447,310 2,935,571 2,632,450 2,552,837 2,274,375 1,874,449 1,478,523 1,106,675 847,836 769,581 659,913 591,765 511,000 540,215 1,462,917 2013 3,672,847 3,108,558 2,973,355 2,774,278 2,717,533 2,381,918 2,253,911 1,796,285 1,455,474 1,167,010 968,595 769,581 700,757 637,564 553,000 521,957 1,625,879.5 2014 3,672,847 3,108,558 2,973,355 2,774,278 2,717,533 2,381,918 2,253,911 1,796,285 1,455,474 1,167,010 968,595 769,581 700,757 637,564 553,000 521,957 1,625,879.5 ASU - 12 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Net Assignable Square Foot 600 500 Actual 400 Median 300 200 100 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of Maryland - College Park University of Iowa Florida State University University of Texas - Austin Rutgers the State University of NJ - New Brunswick Arizona State University University of Wisconsin - Madison University of California - Los Angeles Indiana University - Bloomington Pennsylvania State University - University Park University of Connecticut - Storrs Ohio State University - Columbus University of Illinois - Urbana-Champaign University of Minnesota - Twin Cities Michigan State University Median Med. Sch. Actual X X X X X X X X X X X X 2010 526 2011 419 2012 455 2013 418 2014 440 2010 570 634 720 337 398 388 526 362 375 128 257 310 508 113 213 186 369 2011 613 644 673 451 428 391 419 379 373 311 271 282 575 118 240 200 385 2012 592 653 676 441 420 393 455 398 381 312 272 286 530 126 234 223 396 2013 664 639 621 454 436 423 418 405 356 310 307 279 267 239 234 229 380.3 2014 ASU - 13 440 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Faculty Population 1,780 1,760 Actual 1,740 Median 1,720 1,700 1,680 1,660 1,640 NSF Adj. ABOR Peer Group Ohio State University - Columbus University of Minnesota - Twin Cities University of Wisconsin - Madison Rutgers the State University of NJ - New Brunswick University of Texas - Austin Michigan State University University of Illinois - Urbana-Champaign Arizona State University Pennsylvania State University - University Park University of California - Los Angeles University of Iowa University of Washington - Seattle University of Maryland - College Park Indiana University - Bloomington University of Connecticut - Storrs Florida State University Median Med. Sch. Actual X X X X X X X X X X X X 2010 1,760 2011 1,758 2012 1,693 2013 1,704 2014 1,742 2010 2,602 2,319 2,047 1,519 1,981 1,948 1,856 1,760 1,748 1,840 1,572 1,548 1,472 1,368 1,186 1,079 1,754 2011 2,560 2,277 2,057 1,518 1,954 1,906 1,778 1,758 1,759 1,822 1,527 1,536 1,463 1,351 1,200 1,040 1,759 2012 2,511 2,251 2,014 1,546 1,910 1,883 1,707 1,693 1,763 1,776 1,538 1,525 1,501 1,356 1,235 989 1,700 2013 2,489 2,412 2,067 1,514 1,910 1,732 1,710 1,704 1,731 1,747 1,576 1,487 1,483 1,344 1,264 1,027 1,707 2014 2,508 2,408 2,082 1,919 1,898 1,825 1,753 1,742 1,741 1,725 1,551 1,498 1,476 1,357 1,320 1,039 1,742 ASU - 14 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Faculty 350,000 Median 300,000 250,000 Actual 200,000 150,000 100,000 50,000 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison University of Illinois - Urbana-Champaign Pennsylvania State University - University Park University of Minnesota - Twin Cities University of Texas - Austin University of Maryland - College Park Rutgers the State University of NJ - New Brunswick Ohio State University - Columbus Michigan State University University of Iowa Florida State University Arizona State University Indiana University - Bloomington University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X X X X X 2010 187,128 2011 202,056 2012 227,973 2013 237,766 2014 244,920 2010 660,685 509,236 502,831 277,550 390,293 338,971 297,578 306,668 282,049 290,236 221,444 282,464 210,685 187,128 129,766 114,340 286,350 2011 747,743 539,164 540,419 306,900 393,808 372,165 323,527 338,607 284,787 325,049 238,325 290,696 221,549 202,056 136,266 127,129 315,214 2012 727,218 564,963 580,824 341,977 394,315 367,025 325,413 334,714 281,307 305,262 269,284 290,266 227,885 227,973 136,052 125,016 315,337 2013 801,959 553,325 543,542 434,788 421,844 355,878 332,006 331,759 325,839 318,752 297,752 276,254 244,281 237,766 147,245 115,203 328,799 2014 ASU - 15 244,920 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Other Sponsored Project Expenditures (in Thousands) 60,000 Actual 50,000 40,000 30,000 20,000 10,000 0 Actual 2010 38,827 ASU - 16 2011 46,422 2012 52,235 2013 46,097 2014 52,731 Enterprise Size Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 10% 9% 8% 7% 6% Actual 5% 4% 3% 2% 1% 0% ABOR Enterprise Plan Actual 2010 1.3% ASU - 17 2011 5.9% 2012 9.2% 2013 6.8% 2014 5.1% This Page Intentionally Left Blank Discovery and Scholarly Impact Discovery and Scholarly Impact Introduction From studying the cosmic universe to microscopic molecules, our researchers are making discoveries and creating meaningful impact through their research. This year, with help from ASU, astronomers were able to create the most comprehensive picture ever assembled of the evolving universe. The images were captured from the Hubble Space Telescope’s Wide Field Camera 3, which ASU has had major scientific involvement with since 1998. In addition, Dr. Charlie Arntzen, founding director of the Biodesign Institute, has been recognized for his research in plant biology that laid the groundwork for an Ebola treatment administered to two American aid workers infected with the virus. Each year, ASU hosts numerous events across all campuses that invite the public to learn about and benefit from the research enterprise. Large signature events such as Night of the Open Door and the Origins lecture series attract thousands of community members each year. More than 15,000 community members attended Night of the Open Door in 2014, making it the most successful year to date. Origins events included “The Great Debate” panel discussion on violence, humanity and our future. The lecture featured ASU’s Lawrence Krauss as well as Richard Dawkins and was attended or viewed by 2,800 people. A national broadcast of NPR’s Science Friday was recorded as part of the Origins Project and reached over 1.3 million listeners. In addition, our partnership with Arizona Science Center shares discoveries and innovation at the university with the Arizona community and more than half a million people who visit the center each year. Exhibits showcasing ASU research inspire K-12 students to pursue post-secondary education in the STEM disciplines. Future Tense is a partnership between ASU, Slate and the New America Foundation and offers thought-provoking online content to the public on the impact of the newest technologies. Each month, the ideas and knowledge of ASU faculty reach two million Future Tense readers and spark learning around the world. Each of these endeavors demonstrates our pledge to advance research and discovery of public value and to disseminate knowledge not only to our students but also to the communities that we serve. ASU - 20 Discovery and Scholarly Impact Selected Accomplishments Each year, ASU faculty members publish their scholarly work in the best peer-reviewed journals. Examples from the past year include: • The first images of photosynthesis in action are the result of an international research collaboration led by Dr. Petra Fromme in the Department of Chemistry and Biochemistry. The results of the study were published in Nature. Capturing images of the mechanics of photosynthesis will pave the way for creating artificial systems that mimic or even improve the process. • A new study published in Nature co-authored by Dr. Ian Gilby in the School of Human Evolution and Social Change, reveals that lethal aggression in chimpanzees is not the result of human impact, as previously thought. • A team of researchers in the Biodesign Institute, led by Dr. Karen Brenneman, has developed new technology that improves the ability of reengineered salmonella to deliver immunity by surviving highly acidic human stomach. The results are published in the journal PLOS ONE. • Researchers at ASU, along with colleagues at Argonne National Laboratory, reported advances toward perfecting a functional artificial leaf. Using nature as a template, the team improved the efficiency of the two-step reaction in which light energy is used to convert hydrogen to oxygen. The results are published in an online edition of Nature Chemistry. • Dr. Steve Neuberg in the Department of Psychology and Dr. Carolyn Warner in the School of Politics and Global Studies found that disadvantaged groups are more likely to engage in conflict with stronger groups if they are religiously infused. Their results are published in the journal Psychological Science. • Dr. Stuart Lindsay of the Biodesign Institute and his colleagues have developed methodology that identifies amino acid fingerprints. The research advances the prospect of clinical protein sequencing and the discovery of new biomarkers. The results are published in Nature Nanotech. ASU - 21 Discovery and Scholarly Impact Invention Disclosures Transacted 300 Actual 250 200 Goal Median 150 100 50 0 AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison Ohio State University - Columbus University of California - Los Angeles University of Minnesota - Twin Cities Arizona State University University of Illinois - Urbana-Champaign Pennsylvania State University - University Park Rutgers the State University of NJ - New Brunswick Michigan State University University of Iowa Indiana University - Bloomington Florida State University University of Connecticut - Storrs University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X 2010 187 187 0 2011 170 172 -2 2012 239 176 63 2013 250 179 71 2014 261 183 78 2010 354 356 173 379 255 187 180 118 129 116 70 58 45 52 2011 356 357 216 299 250 170 182 127 167 110 68 63 64 40 2012 462 373 319 343 321 239 223 117 172 127 102 74 74 49 2013 410 386 384 359 331 250 181 141 127 122 96 88 58 43 2014 151 169 197 161 ASU - 22 261 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact Invention Disclosures Transacted per $10 Million in Total Research Expenditures 7.00 Actual 6.00 5.00 Goal 4.00 Median 3.00 2.00 1.00 0.00 NSF Adj. AUTM Adj. ABOR Peer Group Arizona State University Ohio State University - Columbus Indiana University - Bloomington University of Minnesota - Twin Cities University of California - Los Angeles University of Washington - Seattle University of Wisconsin - Madison University of Connecticut - Storrs Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign Michigan State University Florida State University University of Iowa Pennsylvania State University - University Park University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X X X X X 2010 5.7 5.7 0.0 2011 4.8 4.9 -0.1 2012 6.2 4.8 1.4 2013 6.2 4.6 1.6 2014 6.1 4.4 1.7 2010 5.7 2.3 3.2 3.2 4.0 3.5 3.5 3.8 3.0 3.5 2.7 2.0 1.6 1.7 2011 4.8 2.6 3.4 3.0 3.0 3.1 3.2 2.6 3.9 3.3 2.4 2.8 1.5 1.8 2012 6.2 4.2 4.0 3.9 3.4 4.2 3.2 3.2 3.9 3.8 2.5 3.3 2.3 1.7 2013 6.2 4.8 4.5 3.9 3.7 3.4 3.4 2.9 2.6 2.4 2.4 2.3 2.2 1.9 2014 6.1 3.2 3.0 3.6 3.2 ASU - 23 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact U.S. Patents Issued 60.0 Actual 50.0 Median 40.0 30.0 Goal 20.0 10.0 0.0 AUTM Adj. ABOR Peer Group University of Wisconsin - Madison University of California - Los Angeles University of Washington - Seattle University of Illinois - Urbana-Champaign University of Minnesota - Twin Cities Ohio State University - Columbus Arizona State University Michigan State University Florida State University Rutgers the State University of NJ - New Brunswick Pennsylvania State University - University Park University of Iowa University of Connecticut - Storrs Indiana University - Bloomington University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X 2010 17 17 0 2011 18 17 1 2012 26 19 7 2013 48 21 27 2014 56 24 32 2010 133 47 69 69 46 38 17 52 21 29 48 32 18 3 2011 156 56 70 68 41 30 18 38 36 27 33 31 11 7 2012 153 74 61 76 59 41 26 31 27 35 35 31 22 4 2013 157 95 94 72 64 62 48 46 43 40 36 24 12 6 2014 42 34 35 47 ASU - 24 56 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact U.S. Patents Issued per $10 Million in Total Research Expenditures 1.40 Actual 1.20 1.00 Median 0.80 0.60 Goal 0.40 0.20 0.00 AUTM Adj. NSF Adj. ABOR Peer Group Florida State University University of Wisconsin - Madison Arizona State University University of California - Los Angeles University of Illinois - Urbana-Champaign Michigan State University University of Connecticut - Storrs Rutgers the State University of NJ - New Brunswick University of Washington - Seattle Ohio State University - Columbus University of Minnesota - Twin Cities University of Iowa Pennsylvania State University - University Park Indiana University - Bloomington University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X X X X X 2010 0.5 0.5 0.0 2011 0.5 0.5 0.0 2012 0.7 0.5 0.2 2013 1.2 0.5 0.6 2014 1.3 0.6 0.7 2010 0.9 1.3 0.5 0.5 1.3 1.2 1.3 0.7 0.7 0.5 0.6 0.7 0.7 0.2 2011 1.6 1.4 0.5 0.6 1.2 0.8 0.7 0.6 0.6 0.4 0.5 0.7 0.5 0.4 2012 1.2 1.3 0.7 0.7 1.3 0.6 1.4 0.8 0.6 0.5 0.7 0.7 0.5 0.2 2013 1.7 1.4 1.2 1.0 1.0 0.9 0.8 0.8 0.8 0.8 0.7 0.6 0.5 0.3 2014 0.7 0.6 0.7 0.8 ASU - 25 1.3 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 This Page Intentionally Left Blank Economic Development Economic Development Introduction ASU is an engine that drives Arizona’s economy. Entrepreneurship is woven into the ASU experience for all students, regardless of major, and our graduates are highly competitive professionals who adapt to the quickly changing economic and employment landscape. Companies started by ASU students bring new products and services to the marketplace and we have earned a reputation as being one of the top schools for entrepreneurs. In the past fiscal year alone companies in the Edson Student Entrepreneur Initiative program raised $737,500 and filed 11 patents. Numerous resources and programs are available each year to students and community members through our Chandler Innovation Center, which includes a TechShop workshop and ASU classrooms. The tools, machinery and classes available through TechShop enable members to launch ventures and learn new skills without significant up-front investment, encouraging the growth of new businesses and a skilled local workforce. TechShop currently has over 1,100 memberships, 700 of which are ASU memberships. Companies are consistently attracted to Arizona and the Phoenix metro area because of the proximity to ASU. As an example, the tech firm GoDaddy has opened its Global Technology Center at ASU Research Park and will hire an additional 250 employees. State Farm is currently constructing its regional headquarters just north of the ASU Tempe campus and has cited ASU’s presence as a key factor in choosing the location. The project has the potential to create 8,000 jobs in Arizona. To ensure this continued economic and workforce development we consistently partner with the Arizona Commerce Authority, the Greater Phoenix Economic Council and Tucson Regional Economic Opportunities. Currently more than 70 companies operate from the ASU SkySong complex and represent 14 countries. This reflects our commitment to serve our community and to be a beacon of knowledge and economic opportunity. This year, ASU was recognized for its role in economic and global development at the annual University Economic Development Association summit. Numerous ASU programs and people were featured during the conference and ASU received the Judges’ Award for overall commitment to economic development. Our Entrepreneurship Outreach Network, which develops co-working space in libraries, won the Community Connected Campus Award. We also received the Arizona Association for Economic Development's Best of Arizona Award at the association's annual Economic Development Distinguished Excellence awards ceremony. ASU - 28 Economic Development Selected Accomplishments Of the clean technology venture investments made to Arizona companies in 2013, over half of the funding went to ASU spinout companies Heliae and Fluidic Energy, which raised $28,400,000 and $20,809,212, respectively. HealthTell Inc., a biotech spinout from ASU, raised $4 million in funding to help commercialize a new test for lung, breast, prostate and colorectal cancers. SkySong-based student startup Bosse Tools received a major investment of $200,000 from the Maricopa Country Manufacturing Venture Fund to ramp up production of its ergonomically designed tools. The venture fund was created to invest in companies that are engaged with ASUsupported accelerator programs, helping them take the next step in their development with early stage manufacturing startup support. Notebowl, an Edson Student Entrepreneur Initiative company, offers an improved learning management system for universities in a comprehensive platform that blends educational tools with avenues for social connection. Notebowl has raised $910,000 since it was established in July 2011. Learning Ovations received a $1.05 million grant from the U.S. Department of Education to support the development of cloud-based tools for enhancing literacy instruction. The SkySong-based education technology company is one of only two to win funding this year from the U.S. Department of Education’s Institute of Education Sciences’ Small Business Innovation Research (SBIR) program. Weebly, a global website builder, has located its North American headquarters in Scottsdale and cites the close proximity to ASU as a main reason for the relocation. Weebly plans to hire more than 250 people over the next three years and the expansion is estimated to have a $256 million economic impact over the next five years. Workiva, a data company that offers the cloud-based productivity platform Wdesk, is emblematic of the growth SkySong-based businesses experience as part of ASU’s culture of innovation. When Workiva first established an Arizona presence at SkySong in 2011, the company leased 2,000 square feet for its offices. Today Workiva is leasing the 36,000-square-foot top floor of SkySong 3, the newest building at the complex. ASU - 29 Economic Development Intellectual Property Income (in Thousands) 5,000.00 4,500.00 Actual Goal 4,000.00 3,500.00 3,000.00 2,500.00 2,000.00 1,500.00 1,000.00 500.00 0.00 ABOR Enterprise Plan Actual Goal Difference 2010 2,742 2,742 0 ASU - 30 2011 2,307 2,200 107 2012 3,715 2,737 978 2013 3,275 3,405 -130 2014 4,328 4,236 92 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 120,000 Actual Goal 100,000 80,000 60,000 40,000 20,000 0 ABOR Enterprise Plan Actual Goal Difference 2010 83,252 83,252 0.0 ASU - 31 2011 64,946 63,123 1,823.3 2012 96,251 73,973 22,278.4 2013 80,840 87,308 -6,467 2014 101,433 102,072 -639 Economic Development Licenses and Options Income (in Thousands) 6,000.00 5,000.00 4,000.00 Actual 3,000.00 Median 2,000.00 1,000.00 0.00 AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of Minnesota - Twin Cities University of California - Los Angeles Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign Michigan State University Indiana University - Bloomington Ohio State University - Columbus Arizona State University Pennsylvania State University - University Park University of Iowa Florida State University University of Connecticut - Storrs University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual X X X X X X X X X X X X 2010 1,626 2011 1,059 2012 1,900 2013 2,027 2014 3,377 2010 69,032 54,300 83,906 27,485 8,105 6,126 4,017 5,278 1,907 1,626 2,010 26,991 1,315 512 2011 67,362 57,730 10,079 16,153 5,463 6,363 3,616 4,030 1,420 1,059 2,608 6,285 1,468 455 2012 76,956 41,100 45,652 17,833 5,515 6,410 3,704 2,607 2,170 1,900 2,739 7,234 1,133 580 2013 99,491 94,170 38,030 23,423 7,734 4,914 3,302 2,207 2,105 2,027 2,006 1,205 1,036 589 2014 5,702 4,746 4,609 2,755 ASU - 32 3,377 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Income per $10 Million in Total Research Expenditures 180,000 160,000 140,000 120,000 100,000 80,000 Actual Median 60,000 40,000 20,000 0 AUTM Adj. ABOR Peer Group University of Wisconsin - Madison University of Washington - Seattle University of Minnesota - Twin Cities University of California - Los Angeles Rutgers the State University of NJ - New Brunswick Indiana University - Bloomington University of Illinois - Urbana-Champaign Michigan State University Arizona State University Florida State University University of Connecticut - Storrs University of Iowa Pennsylvania State University - University Park Ohio State University - Columbus University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual X X X X X X X X X X X X 2010 49,362 2011 29,823 2012 49,237 2013 50,023 2014 79,151 2010 527,546 674,973 1,067,402 293,331 189,173 297,309 118,925 93,115 49,362 57,842 37,752 607,862 29,460 25,252 2011 519,322 586,506 118,932 164,431 126,363 218,891 116,601 79,596 29,823 63,711 29,842 141,587 37,654 17,065 2012 351,348 693,916 552,566 177,730 126,809 141,288 109,813 73,041 49,237 50,274 37,580 162,043 39,401 28,304 2013 838,183 834,298 443,050 242,309 156,780 111,518 66,088 64,035 50,023 41,304 40,451 27,685 27,476 26,534 2014 154,049 117,766 118,311 65,062 ASU - 33 79,151 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Executed 100.0 90.0 Actual 80.0 70.0 60.0 50.0 Median 40.0 30.0 20.0 10.0 0.0 AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Minnesota - Twin Cities Arizona State University University of Wisconsin - Madison Rutgers the State University of NJ - New Brunswick Ohio State University - Columbus University of Illinois - Urbana-Champaign University of California - Los Angeles Michigan State University Pennsylvania State University - University Park University of Iowa Florida State University Indiana University - Bloomington University of Connecticut - Storrs University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual X X X X X X X X X X X X 2010 55 2011 72 2012 80 2013 88 2014 90 2010 196 73 55 62 75 35 40 52 31 21 21 6 10 7 2011 194 113 72 62 69 25 55 46 40 20 24 10 14 4 2012 209 75 80 60 58 33 46 34 32 19 21 13 14 5 2013 260 91 88 63 59 50 46 43 33 32 29 15 13 11 2014 38 43 34 45 ASU - 34 90 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Executed per $10 Million in Total Research Expenditures 2.50 Actual 2.00 1.50 1.00 Median 0.50 0.00 NSF Adj. AUTM Adj. ABOR Peer Group University of Washington - Seattle Arizona State University Rutgers the State University of NJ - New Brunswick University of Minnesota - Twin Cities University of Connecticut - Storrs University of Iowa Indiana University - Bloomington Michigan State University Ohio State University - Columbus University of Illinois - Urbana-Champaign Florida State University University of Wisconsin - Madison University of California - Los Angeles Pennsylvania State University - University Park University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual X X X X X X X X X X X X X X X X 2010 1.7 2011 2.0 2012 2.1 2013 2.2 2014 2.1 2010 1.9 1.7 1.7 0.9 0.5 0.5 0.6 0.7 0.5 0.8 0.3 0.6 0.6 0.3 2011 1.7 2.0 1.6 1.3 0.3 0.5 0.8 0.9 0.3 1.0 0.4 0.6 0.5 0.3 2012 1.9 2.1 1.3 0.9 0.4 0.5 0.8 0.6 0.4 0.8 0.6 0.5 0.3 0.3 2013 2.2 2.2 1.2 1.1 0.8 0.7 0.7 0.6 0.6 0.6 0.6 0.6 0.4 0.4 2014 0.6 0.7 0.6 0.6 ASU - 35 2.1 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Startup Companies 14.0 12.0 Actual 10.0 8.0 Median 6.0 4.0 Goal 2.0 0.0 AUTM Adj. ABOR Peer Group University of California - Los Angeles University of Washington - Seattle University of Minnesota - Twin Cities Arizona State University Ohio State University - Columbus Pennsylvania State University - University Park University of Wisconsin - Madison University of Illinois - Urbana-Champaign University of Iowa Indiana University - Bloomington Florida State University University of Connecticut - Storrs Rutgers the State University of NJ - New Brunswick Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X 2010 4 4 0 2011 10 10 0 2012 9 4 5 2013 11 4 7 2014 12 4 8 2010 27 7 8 4 8 4 5 5 3 1 2 3 7 0 2011 19 9 9 10 6 4 4 12 2 3 4 2013 17 17 14 11 10 9 7 6 6 6 3 2 2 1 2014 7 1 2012 13 9 12 9 5 4 4 5 4 5 2 3 5 3 5 6 5 7 ASU - 36 12 Rank 1 1 3 4 5 6 7 8 8 10 11 12 13 14 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.35 0.30 Actual 0.25 0.20 0.15 Median 0.10 Goal 0.05 0.00 NSF Adj. AUTM Adj. ABOR Peer Group Indiana University - Bloomington Arizona State University University of California - Los Angeles University of Connecticut - Storrs University of Minnesota - Twin Cities University of Washington - Seattle University of Iowa Ohio State University - Columbus Pennsylvania State University - University Park Florida State University University of Illinois - Urbana-Champaign University of Wisconsin - Madison Rutgers the State University of NJ - New Brunswick Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference X X X X X X X X X X X X X X X X 2010 0.1 0.1 0.0 2011 0.3 0.3 0.0 2012 0.2 0.1 0.1 2013 0.3 0.1 0.2 2014 0.3 0.1 0.2 2010 0.1 0.1 0.3 0.3 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.2 0.0 2011 0.1 0.3 0.2 2013 0.3 0.3 0.2 0.2 0.2 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.0 2014 0.1 0.1 0.0 0.1 0.1 0.2 0.2 0.0 0.2 0.0 2012 0.3 0.2 0.1 0.2 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.1 0.1 0.1 0.1 0.1 0.1 ASU - 37 0.3 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Ph.D. Degrees Conferred 600 500 Goal Actual 400 300 200 100 0 ABOR Enterprise Plan Actual Goal Difference 2010 390 390 0 ASU - 38 2011 425 425 0 2012 442 442 0 2013 463 488 -25 2014 442 488 -46 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 14.00 12.00 Goal Actual 10.00 8.00 6.00 4.00 2.00 0.00 ABOR Enterprise Plan Actual Goal Difference 2010 11.8 11.8 0.0 ASU - 39 2011 12.0 12.2 -0.2 2012 11.5 11.9 -0.5 2013 11.4 12.5 -1.1 2014 10.4 11.8 -1.4 This Page Intentionally Left Blank Leadership and Recognition Leadership and Recognition Introduction ASU’s academic and research pursuits have garnered national and international attention. Examples of our achievements include: • We are ranked 88th among U.S. and international universities, and 48th among all U.S. universities by the Academic Rankings of World Universities in recognition of our transformation and exemplary status as the New American University. • The Princeton Review ranked ASU one of the country’s top universities for undergraduate education in its 2015 edition of “The Best 379 Colleges.” The ranking puts ASU in the top 15 percent of all four-year colleges in America. • Several graduate programs were named among “America’s Best Graduate Schools” in the 2015 rankings from U.S. News and World Report, including: o The College of Liberal Arts and Sciences garnered several national rankings including 20th in earth sciences. o Ira A. Fulton Schools of Engineering ranks 11th nationally among online graduate programs in engineering; the Fulton schools placed 43rd among graduate engineering programs overall. o The School of Public Affairs ranks 16th for its master’s degree programs. o Mary Lou Fulton Teachers College ranks 18th among public graduate schools of education and 25th among all public and private graduate programs in the field of education. Recognition of our exceptional faculty is reflected by memberships in prestigious academies such as: • 13 members of the National Academy of Sciences • 66 fellows of the American Association for the Advancement of Science • 11 members of the American Academy of Arts and Sciences • 10 members of the National Academy of Engineering • 5 members of the National Academy of Public Administration • 3 members of the National Academy of Inventors ASU - 42 Leadership and Recognition Selected Accomplishments Faculty members inducted to national academies in FY14 include: • Dr. Janet Franklin, professor in the School of Geographical Sciences and Urban Planning, and Dr. Kelin Whipple, professor in the School of Earth and Space Exploration, elected to the National Academy of Sciences. • Drs. Jennifer Mensik and Adriana Perez, faculty associate and assistant professor, respectively, in the College of Nursing and Health Innovation, inducted to the American Academy of Nursing. • Drs. Stuart Lindsay and Michael Kozicki, professor in the Biodesign Institute and professor in the School of Electrical, Computer and Energy Engineering, respectively, have been named fellows of the National Academy of Inventors. ASU faculty have also garnered national honors, including: • President Barack Obama appointed Dr. Sethuraman Panchanathan, senior vice president of Knowledge Enterprise Development, to the National Science Board. Dr. Panchanathan has also been selected to serve on the National Advisory Council on Innovation and Entrepreneurship. • Drs. Janet Franklin and Elizabeth Wentz, professors in the School of Geographical Sciences and Urban Planning, are serving terms as presidents of the U.S. national chapters of the International Association for Landscape Ecology and the University Consortium for Geographic Information Science, respectively. • Dr. Lawrence Krauss, Foundation Professor in the Department of Physics, was honored at the Academia Film Olomouc for his contributions to public understanding of science, and for his work in increasing awareness of science in society. • Dr. Neal Lester, founding director of ASU Project Humanities and Foundation Professor of English, was presented the 2014 Francis Andrew March Award by the Modern Language Association of America. Project Humanities also received national recognition as the inaugural recipient of the Key of Excellence Award for leadership and impact presented by Phi Beta Kappa Society’s National Arts and Sciences Initiative. ASU - 43 Leadership and Recognition National Academy Members 35 30 Median 25 Actual 20 15 10 5 0 ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison University of Texas - Austin University of Illinois - Urbana-Champaign University of Minnesota - Twin Cities Rutgers the State University of NJ - New Brunswick Ohio State University - Columbus University of Maryland - College Park Pennsylvania State University - University Park University of Iowa Arizona State University Indiana University - Bloomington Michigan State University Florida State University University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X 2010 20 2011 20 2012 20 2013 23 2014 25 2010 102 91 71 67 59 41 36 27 30 24 22 20 10 7 7 1 29 2011 104 95 67 68 57 39 35 28 30 23 22 20 10 8 7 1 29 2012 109 94 68 67 55 38 34 30 30 24 21 20 10 9 7 1 30 2013 2014 23 25 ASU - 44 Rank 1 2 3 4 5 6 7 8 8 10 11 12 13 14 15 16 Leadership and Recognition National Academy Members per $10 Million in Total Research Expenditures 0.70 0.60 Actual 0.50 Median 0.40 0.30 0.20 0.10 0.00 NSF Adj. ABOR Peer Group University of Texas - Austin University of Washington - Seattle University of Illinois - Urbana-Champaign University of California - Los Angeles Rutgers the State University of NJ - New Brunswick University of Maryland - College Park University of Wisconsin - Madison Arizona State University University of Iowa University of Minnesota - Twin Cities Ohio State University - Columbus Florida State University Pennsylvania State University - University Park Indiana University - Bloomington Michigan State University University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X X X X X 2010 0.6 2011 0.6 2012 0.5 2013 0.6 2014 0.6 2010 1.1 1.0 1.1 1.0 0.8 0.7 0.7 0.6 0.5 0.5 0.4 0.3 0.3 0.2 0.2 0.0 0.6 2011 1.1 0.9 1.0 1.0 0.7 0.6 0.6 0.6 0.5 0.5 0.3 0.3 0.3 0.2 0.2 0.0 0.5 2012 1.1 1.0 0.9 0.9 0.7 0.6 0.6 0.5 0.5 0.5 0.4 0.3 0.3 0.2 0.2 0.0 0.5 2013 2014 0.6 0.6 ASU - 45 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 This Page Intentionally Left Blank Technology Transfer Technology Transfer Introduction Arizona Technology Enterprises (AzTE), the exclusive intellectual property management and technology transfer organization for ASU, had a banner year supporting, servicing and commercializing the university’s innovations. AzTE has tailored its marketing process to accommodate the unique nature of ASU’s life science and physical science portfolios. This strategy is based on our historical data and belief that, in most cases, technology transfer offices cannot predict specific company interest. AzTE is now more broadly marketing throughout the value chain. This year, ASU faculty working with AzTE set new record highs for technology transfer and helped attract $12.7 million in industry sponsored research into ASU labs. Technology transfer activity at ASU this year included: • 261 invention disclosures • 12 new start-up companies • 56 U.S. patents • 90 major licensing and option transactions The Association of University Technology Managers (AUTM) reports the technology commercialization results for almost 200 universities and research hospitals annually. Over the five most recent years of available data, ASU was one of just four schools to achieve top ten rankings for licensing agreements, startups and invention disclosures per $10 million in research, among research institutions that achieved at least $300 million in annual research expenditures. In addition, ASU now ranks among the top 50 universities worldwide for U.S. patents issued. Start-up companies that have licensed ASU intellectual property received more than $40 million in venture capital and other funding this fiscal year alone. To date, more than 70 companies have been launched based on ASU innovations. These companies and their sub-licensees have attracted more than $425 million in funding from venture capital firms and other investors, with much of this financing occurring during the last several years. Recently launched startups now employ more than 200 people in Arizona alone. ASU - 48 Technology Transfer Statistical Exhibits Technology Transfer Activities Invention Disclosures Transacted Invention Disclosures Transacted Year/Year Percentage Change 2010 187 2011 170 -9% 2012 239 41% 2013 250 5% 2014 261 4% New Patent Applications New Patent Applications Year/Year Percentage Change 99 93 -6% 106 14% 168 58% 163 -3% U.S. Patents Issued U.S. Patents Issued Year/Year Percentage Change 17 18 6% 26 44% 48 85% 56 17% Licenses and Options Executed Licenses and Options Executed Year/Year Percentage Change 55 72 31% 80 11% 88 10% 90 2% 108 126 17% 160 27% 186 16% 162 -13% Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total 2010 1,625,716 1,111,111 5,021 2,741,848 2011 1,059,372 1,205,679 41,945 2,306,996 2012 1,900,333 1,274,577 540,000 3,714,910 2013 2,026,689 970,482 278,102 3,275,273 2014 3,376,965 941,229 9,469 4,327,663 Sponsored Research Facilitated Total 2010 5,623,534 2011 8,945,930 2012 9,601,072 2013 9,790,451 2014 12,692,880 2010 -281,466 -313,358 -235,699 548,128 2011 -242,493 -208,090 -138,557 169,983 2012 -210,800 -180,287 -124,835 100,694 2013 -576,056 -532,439 -517,940 2,975 2014 -1,005,051 -618,461 -611,253 86,930 Other Major Agreements Other Major Agreements Year/Year Percentage Change Royalty Distribution Inventors Laboratories and Units University Undistributed ASU - 49 Technology Transfer Selected Patents Nanopore and Carbon Nanotube Based DNA Sequencer and a Serial Recognition Sequencer – M08-058L, US Patent No. 8,628,649 This patent describes methods and equipment able to sequence entire genes using a single, full-length DNA molecule. The technique is also adaptable to sequencing other long biopolymers such as proteins. It is currently licensed to Roche for the sequencing of DNA and RNA, and is also exclusively optioned to startup Recognition AnalytiX. Dr. Stuart Lindsay, a Regents’ Professor in the Department of Chemistry and Biochemistry and Director of the Center for Single Molecule Biophysics within the Biodesign Institute, developed this technology. DNA Replicon System for High-level Rapid Production of Vaccines and Monoclonal Antibody Therapeutics in Plants – M08-086L, US Patent No. 8,513,397 This patent describes a novel method for producing therapeutic monoclonal antibodies in tobacco plants. The method has several important advantages, including the ability to produce large quantities of antibodies much more quickly than existing methods, and reducing the time to market of newly discovered antibodies for infectious outbreaks. This technology was developed by Dr. Hugh Mason, associate professor in the Center for Infectious Diseases and Vaccinology within the Biodesign Institute. Tridentate Platinum (II) Complexes – M08-056P, US Patent No. 8,669,364 This patent describes new materials that can be used to produce organic light emitting diodes (OLEDs). These devices are used as back-lighting sources in electronic devices such as cell phones, computers and TVs, as well as for solid state lighting. The new materials specifically address the problem of blue light emission. They are longer lasting and result in enhanced display quality compared to existing blue OLED materials. Dr. Jian Li, associate professor in the School for Engineering of Matter, Transport and Energy, developed this technology. Method of Preparing a Flexible Substrate Assembly and Flexible Substrate Assembly Therefrom – M09-057P, US Patent No. 8,481,859 Flexible displays and electronic devices are attractive for future generations of smart devices, since they are lighter, more robust and consume less power than their rigid counterparts. However, processing on plastic substrates is difficult, since they can become distorted during processing, and cannot withstand high-temperature processing. This patent describes methods that overcome the distortion problem, enabling improved device processing on flexible substrates. The technology was developed by researchers at ASU’s Flexible Electronics and Display Center (FEDC). ASU - 50 Technology Transfer Selected Licenses and Options Executed Agilent Technologies Inc. Agilent is the world’s premier measurement company and a leader in chemical analysis and measurement equipment. Agilent has entered into an option agreement for a nozzle technology that produces nanoscale droplets from a virtual gas nozzle without clogging. Life Technologies Corporation Acquired by Thermo Fisher Scientific, Life Technologies Corporation is a global life sciences company that provides high-quality, innovative life science solutions for research applications. Life Technologies entered into an agreement with ASU to purchase a suite of patents primarily related to microchipbased DNA sequencing technology. INanoBio, LLC INanoBio is a Tempe-based nano-biotechnology company with a mission to commercialize Fully Depleted Exponentially Coupled Field Effect Transistor (FET) nanosensor technology developed at ASU. The novel nanosensor technology is capable of exponential capacitive transduction for ultra-high sensitivity molecular detection, coupled with exceptional selectivity. The proprietary technology can be used in sensing chemical and biological species with very low false positives and false negatives. Commercial applications may include health care diagnostics, industrial leak detection systems and security. Presidium USA, Inc. Presidium is a U.S. subsidiary of a Canadian venture company developing new materials for athletic and safety equipment. The company has signed a field of use license for a composite material technology for use in athletic helmets, and is interested in expanding this license to other fields of use. In FY13, Presidium licensed the pressure sensor technology developed by Dr. Jeffrey LaBelle and others in the Bioengineering Department. Dynamic Blade Technologies, Inc. Dynamic Blade Technologies is a Delaware company focused on improving the performance of wind power facilities. The company has entered into an option agreement to license ASU technology that provides short-term analysis and modeling of local wind patterns to more efficiently utilize wind. ASU - 51 Technology Transfer Selected Startup Companies This section updates the progress of three ASU startups: Thync, Inc. In March 2009, AzTE spun out SynSonix, based on ASU research to further develop and commercialize non-invasive ultrasound technology. The company has been renamed Thync and is creating a new category of wearable consumer products based on advanced neuroscience. Thync has raised a total of $13 million since inception from top-tier investors, including lead investor Khosla Ventures. Thync is gearing up to sell a lifestyle wearable neurostimulator to shift and optimize people's state of mind in areas related to energy, stress and focus. TF Health Corporation TF Health is commercializing novel sensor technologies for health and fitness applications. The company utilizes a proprietary design process that enables detection of highly sensitive levels of targeted agents. TF Health’s initial product, Breezing, is a smartphone device and app that tracks metabolism over time and helps create a diet and exercise plan that's customized for optimal health. The company was launched in December 2011, based on technology developed by a team led by ASU researcher Dr. Nongjian Tao. Heart in your Hand, LLC Heart in Your Hand (HYH) produces personalized threedimensional cardiac models. The company was spun out in June 2012 to produce heart models that are used as surgical planning for cardiac surgeons in cardiovascular malformation, including congenital heart defects, coronary artery disease and valvular heart disease. To date, HYH has provided heart models for teaching and surgical planning to more than 20 medical institutions in seven different countries. The company is currently building on the license of its technology to Materialise, the world's largest 3D printing service provider. ASU - 52 Technology Transfer Other Notable Activities Several achievements over the past year testify to the success of our diverse and pioneering entrepreneurial endeavors. The Furnace Technology Transfer Accelerator is an innovative, threephase process developed at ASU to form multidisciplinary startup teams and move compelling, useinspired research from lab to startup. The phases include (1) technology triage and marketing (2) business model competition and (3) acceleration services. After successfully deploying the Furnace platform among all three Arizona public universities, Dignity Health and Mayo Clinic, ASU was awarded a $1 million grant from the Department of Defense (DoD) to create a new Pracademic Center of Excellence in Technology Transfer (PACE/T2). PACE/T2 leverages ASU’s proven method and record of success in technology transfer to facilitate the commercialization of new technologies originating within DoD laboratories. The center is a collaboration led by ASU’s Office of Entrepreneurship and Innovation in conjunction with AzTE and other ASU programs. The Maricopa County Industrial Development Authority (MCIDA) has awarded $1 million to ASU to create a new venture capital fund with a mission of economic development and job creation, specifically targeting manufacturing startups. The fund will invest in spinout companies supported by ASU accelerator programs, helping them take the next step in their development. Accessing this earlystage risk capital will allow Arizona companies and entrepreneurs to create jobs and move innovative products forward. This supports the mission of MCIDA, which is to create and maintain jobs within Maricopa County and help residents achieve a better standard of living and way of life. The Edson Student Entrepreneur Initiative nurtures entrepreneurship in students from all majors and provides funding, office space and mentoring. The initiative launched 48 companies this fiscal year, 15 of which are already generating revenue and shipping product. In total, these companies have raised $1,243,500 in grants, investments and awards. Force Impact Technologies won the “Best Arizona Student Startup Company” at the Arizona Collegiate Venture Competition. Since 2011, ASU student companies have raised over $2.6 million in external funding. ASU - 53 This Page Intentionally Left Blank Strategic Initiatives Strategic Initiatives Summary Research at ASU advances and evolves to address the world’s most pressing challenges. As we grow our knowledge enterprise we are focused on: • Accelerating research in established focus areas and increasing return on the state’s investment. Our strategic portfolio includes the three signature focus areas advanced by the investment from the Technology and Research Initiative Fund (TRIF): Improving Health, National Security Systems, and Water, Environmental and Energy Systems. In the focus area of Improving Health we are exploring new opportunities in the study of the microbiome. Efforts to understand and diagnose disruption of the microbiome will help to address many conditions such as autism, obesity, and diabetes and represents an emergent area of research. The reconceptualization of the Global Security Initiative will be launched in fiscal year 2015 and represents a significant advancement of the National Security Systems focus area. The initiative includes a new center on cyber security and digital forensics and gives us a competitive advantage for funding from the intelligence and security community. Our focus on the food-water-energy nexus in Water, Environmental and Energy Systems allows us to address key concerns regarding the scarcity and distribution of critical resources. As an example, the Swette Center for Environmental Biotechnology focuses on improving water quality and is using biologic processes to reduce toxic chemicals. In addition, we have launched the Food Systems Transformation Initiative in the Julie Ann Wrigley Global Institute of Sustainability, which supports the development of more equitable, diverse and resilient food systems at all scales. ASU - 56 Strategic Initiatives Summary • Launching new research initiatives to position ASU competitively in emerging funding areas. The vision of the new Biodesign Center for Applied Structural Discovery is to create a sustainable future by unraveling the building blocks of life. The center is developing new techniques that reveal the structure and dynamics of biomolecules, creating opportunities for new visionary discoveries in medicine and energy conversion. The establishment of the center reflects ASU’s evolution as a leading research university, and underscores our commitment to innovation in the pursuit of solutions to some of the world’s most pressing problems. This center also positions us to compete for new, significant funding opportunities. Education Through Exploration (ETX@ASU) is a network that is leading a digital revolution in science education. The “DDR” center develops, deploys, and researches digitally enabled teaching networks that educate-through-exploration effectively and at scale, especially in science and engineering. ETX@ASU also develops exemplary courseware to “seed” these networks, pioneers novel technologies to enhance courseware, and conducts research to improve network and courseware effectiveness. • Strengthening new and existing partnerships that will broaden the impact of ASU research while refining ASU’s competitive edge in the global arena. ASU continues to advance international partnerships such as those with Dublin City University and University of New South Wales in the development of a Global Knowledge Network. This network establishes a team of universities ready to deliver on the discovery and dissemination of knowledge across the globe. Focus on these strategic initiatives ensures our path to becoming a leading global center for interdisciplinary scholarship, discovery and development. Our unique capability and demonstrated performance in the social sciences, arts and humanities allow us to increase our competitiveness in seeking external support to fund the advancement of the ideas of our faculty. As a result of our commitment to use-inspired and socially engaged research, the potential sources of support and partnerships for our activity are broad and diverse. ASU - 57 This Page Intentionally Left Blank Annual Research Report - FY2014 Table of Contents Enterprise Size Introduction Selected Accomplishments Total Research Expenditures Average Growth Rate in Total Research Expenditures Over 3 years Federally Financed Research Expenditures Average Growth Rate in Federally Financed Research Expenditures Over 3 years Net Research Square Feet Total Research Expenditures per Square Foot Total Faculty Population Total Research Expenditures per Faculty Other Sponsored Project Expenditures (Instruction, Service, etc.) Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 6 7 8 9 10 11 12 13 14 15 16 17 Discovery and Scholarly Impact Introduction Selected Accomplishments Invention Disclosures Transacted Invention Disclosures Transacted per $10 Million in Total Research Expenditures U.S. Patents Issued U.S. Patents Issued per $10 Million in Total Research Expenditures 20 21 22 23 24 25 Economic Development Introduction Selected Accomplishments Intellectual Property Income Intellectual Property Income per $10 Million in Total Research Expenditures Licenses and Options Income Licenses and Options Income per $10 Million in Total Research Expenditures Licenses and Options Executed Licenses and Options Executed per $10 Million in Total Research Expenditures Startup Companies Startup Companies per $10 Million in Total Research Expenditures Doctoral Degrees Conferred Doctoral Degrees Conferred per $10 Million in Total in Research Expenditures 28 29 30 31 32 33 34 35 36 37 38 39 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 42 43 44 45 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 48 49 50 51 52 53 Strategic Initiatives Summary Acknowledgment 55 56 This Page Intentionally Left Blank Enterprise Size NAU - 6 Kiisa Nishikawa and Brent Nelson bring to bear biology and engineering expertise attempting to produce a direct observation of the protein titin. NAU - 7 Enterprise Size Total Research Expenditures (in Thousands) 70,000 60,000 Median 50,000 40,000 Goal Actual 30,000 20,000 10,000 0 X X NSF Adj. ABOR Peer Group Georgia State University Old Dominion University George Mason University University of Maine Southern Illinois University ‐ Carbondale University of Akron Wichita State University Ohio University University of Alabama University of Nevada ‐ Las Vegas Northern Arizona University Kent State University ‐ Kent Northern Illinois University Western Michigan University University of North Carolina ‐ Greensboro Bowling Green State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 28,803 28,803 0 2011 30,785 30,751 34 2012 28,100 32,160 -4,060 2013 30,516 33,569 -3,053 2014 31,590 34,978 -3,388 2010 81,015 97,176 84,120 111,282 69,924 52,884 51,524 50,440 40,762 44,457 28,803 26,331 27,036 26,391 22,436 8,124 47,449 2011 92,725 102,192 88,089 111,600 71,130 65,536 50,194 57,643 53,633 39,526 30,785 27,455 21,748 25,051 26,121 8,999 51,914 2012 91,148 104,579 90,198 92,135 71,097 66,413 61,279 57,203 55,885 34,543 28,100 26,507 21,823 21,073 19,080 8,566 56,544 2013 111,999 99,138 95,913 77,583 70,854 69,640 61,388 59,734 55,443 35,935 30,516 23,149 23,027 18,979 16,590 13,157 57,589 2014 NAU - 8 31,590 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Total Research Expenditures Over 3 Years 12% 10% 8% 6% Goal 4% 2% Median Actual 0% X X NSF Adj. ABOR Peer Group Bowling Green State University Georgia State University University of Alabama University of Akron Wichita State University Ohio University George Mason University Northern Arizona University Old Dominion University Southern Illinois University ‐ Carbondale Kent State University ‐ Kent Northern Illinois University University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University University of Maine Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 2.9% 2.9% 0 2011 6.1% 6.1% 0 2012 2.7% 7.1% -4.4% 2013 2.3% 5.2% -3.0% 2014 1.1% 4.4% -3.3% 2010 -2.5% 21.0% 4.4% 26.8% 5.6% 9.7% 13.3% 2.9% 23.6% 2.7% 11.7% 19.5% -6.2% 58.8% 24.8% 5.1% 10.7% 2011 -4.7% 8.7% 18.1% 34.7% 4.5% 14.9% 6.7% 6.1% 16.1% 2.0% 5.6% 16.5% -6.8% 54.8% 28.1% 5.6% 7.7% 2012 0.9% 15.5% 15.8% 26.2% -0.8% 11.9% 4.8% 2.7% 14.2% 2.4% 2.0% 3.9% -3.4% 35.1% 25.8% -2.2% 4.3% 2013 19.9% 11.9% 11.7% 10.0% 6.6% 6.0% 4.5% 2.3% 0.8% 0.4% -4.0% -4.6% -6.6% -7.9% -10.3% -11.0% 1.5% 2014 NAU - 9 1.1% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Federally Financed Research Expenditures (in Thousands) 25,000 20,000 Median Actual 15,000 10,000 5,000 0 X X NSF Adj. ABOR Peer Group George Mason University Old Dominion University Georgia State University University of Maine University of Alabama University of Nevada ‐ Las Vegas Ohio University University of Akron Southern Illinois University ‐ Carbondale Northern Arizona University University of North Carolina ‐ Greensboro Wichita State University Northern Illinois University Western Michigan University Kent State University ‐ Kent Bowling Green State University Median Med. Sch. Actual 2010 15,070 2011 17,765 2012 16,015 2013 15,638 2014 18,209 2010 63,011 34,687 27,073 50,163 26,364 32,441 18,466 12,107 22,209 15,070 19,477 13,751 17,334 19,738 14,586 4,963 19,608 2011 65,301 39,534 28,210 59,800 32,999 30,457 23,051 12,130 23,696 17,765 20,868 12,972 11,807 18,736 15,085 6,164 21,960 2012 63,786 38,555 34,075 39,661 33,023 25,068 20,780 16,768 22,055 16,015 16,530 19,078 12,861 14,378 14,882 7,005 19,929 2013 65,096 39,963 37,521 34,252 28,375 24,502 20,203 19,658 18,398 15,638 13,658 13,434 12,415 12,322 11,506 9,323 19,028 2014 NAU - 10 18,209 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Federally Financed Research Expenditures Over 3 Years 12% 10% 8% 6% 4% 2% Median Actual 0% X X NSF Adj. ABOR Peer Group Bowling Green State University University of Akron Georgia State University Old Dominion University Ohio University Wichita State University University of Alabama Northern Arizona University George Mason University Southern Illinois University ‐ Carbondale Kent State University ‐ Kent University of Nevada ‐ Las Vegas Northern Illinois University University of Maine University of North Carolina ‐ Greensboro Western Michigan University Median Med. Sch. Actual 2010 6.8% 2011 10.4% 2012 7.0% 2013 1.9% 2014 1.4% 2010 -5.9% 3.8% 3.7% 11.1% 0.1% -7.4% -1.1% 6.8% 10.6% 8.0% 14.5% -11.8% 12.6% 6.4% 61.1% 40.7% 6.6% 2011 4.1% 9.6% 2.8% 12.4% 9.1% -0.9% 12.5% 10.4% 9.1% 10.7% 6.6% -9.0% 5.8% 13.6% 56.7% 44.4% 9.4% 2012 17.9% 16.3% 12.5% 12.3% 8.9% 17.9% 11.8% 7.0% 4.8% 5.1% 4.0% -6.7% -7.2% -2.8% 38.1% 38.6% 10.4% 2013 23.6% 18.6% 11.7% 5.0% 4.1% 3.9% 3.7% 1.9% 1.1% -5.6% -6.9% -8.7% -8.8% -9.4% -10.3% -14.2% 1.5% 2014 NAU - 11 1.4% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Net Assignable Square Feet 250,000 Median 200,000 Actual 150,000 100,000 50,000 0 X X NSF Adj. ABOR Peer Group University of Maine Wichita State University Southern Illinois University ‐ Carbondale Old Dominion University Ohio University Georgia State University University of Nevada ‐ Las Vegas University of Akron University of Alabama George Mason University Northern Arizona University Bowling Green State University University of North Carolina ‐ Greensboro Northern Illinois University Kent State University ‐ Kent Western Michigan University Median Med. Sch. Actual 2010 142,340 2011 170,831 2012 170,831 2013 168,829 2014 168,829 2010 643,390 220,272 328,265 263,988 331,694 198,532 181,955 2011 625,692 273,072 328,265 298,718 239,382 214,269 192,977 221,282 192,311 200,572 170,831 160,592 125,616 122,986 105,565 83,055 196,775 2012 625,692 273,072 328,265 298,718 239,382 214,269 192,977 221,282 192,311 200,572 170,831 160,592 125,616 122,986 105,565 83,055 196,775 2013 585,049 466,134 328,265 260,270 253,560 251,222 219,428 218,357 217,398 194,894 168,829 166,234 146,500 122,986 106,372 80,862 217,878 2014 585,049 466,134 328,265 260,270 253,560 251,222 219,428 218,357 217,398 194,894 168,829 166,234 146,500 122,986 106,372 80,862 217,878 183,990 161,103 142,340 170,600 97,658 122,986 183,065 83,055 183,065 NAU - 12 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Net Assignable Square Foot 250 Median 200 Actual 150 100 50 0 X X NSF Adj. ABOR Peer Group George Mason University Georgia State University Old Dominion University University of Akron University of Alabama Ohio University Western Michigan University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale Northern Illinois University Northern Arizona University University of Nevada ‐ Las Vegas University of Maine Wichita State University University of North Carolina ‐ Greensboro Bowling Green State University Median Med. Sch. Actual 2010 202 2011 180 2012 164 2013 181 2014 187 2010 522 408 368 2011 439 433 342 296 279 241 302 260 217 177 180 205 178 184 208 56 229 2012 450 425 350 300 291 239 254 251 217 177 164 179 147 224 152 53 232 2013 492 446 381 319 255 236 235 218 216 187 181 164 133 132 113 79 216.7 2014 222 152 318 144 213 220 202 244 173 234 230 48 222 NAU - 13 187 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Faculty Population 800 700 Median 600 Actual 500 400 300 200 100 0 X X NSF Adj. ABOR Peer Group George Mason University University of Akron Western Michigan University Georgia State University Ohio University Southern Illinois University ‐ Carbondale Northern Illinois University University of Nevada ‐ Las Vegas Kent State University ‐ Kent University of Alabama Old Dominion University University of North Carolina ‐ Greensboro Bowling Green State University Northern Arizona University University of Maine Wichita State University Median Med. Sch. Actual 2010 567 2011 527 2012 518 2013 513 2014 512 2010 885 636 828 739 898 860 758 699 684 823 525 573 533 567 466 378 692 2011 882 636 829 736 886 841 732 672 666 848 553 593 508 527 449 360 669 2012 888 616 808 745 833 795 714 616 642 845 567 583 527 518 447 361 629 2013 915 619 811 763 728 789 699 648 632 867 582 530 530 513 427 373 640 2014 908 858 808 772 718 698 677 661 615 609 569 542 514 512 405 387 638 NAU - 14 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Faculty 80,000 Median 70,000 Actual 60,000 50,000 40,000 30,000 20,000 10,000 0 X X NSF Adj. ABOR Peer Group University of Maine Old Dominion University Wichita State University Georgia State University University of Akron George Mason University Southern Illinois University ‐ Carbondale Ohio University University of Alabama Northern Arizona University University of Nevada ‐ Las Vegas Kent State University ‐ Kent Northern Illinois University University of North Carolina ‐ Greensboro Bowling Green State University Western Michigan University Median Med. Sch. Actual 2010 50,799 2011 58,416 2012 54,247 2013 59,485 2014 61,699 2010 238,803 185,097 136,307 109,628 83,151 95,051 81,307 56,169 49,529 50,799 63,601 38,496 35,668 39,155 15,242 31,873 59,885 2011 248,552 184,796 139,428 125,985 103,044 99,874 84,578 65,060 63,246 58,416 58,818 41,224 29,710 44,049 17,715 30,218 64,153 2012 206,119 184,443 169,748 122,346 107,813 101,574 89,430 68,671 66,136 54,247 56,076 41,288 30,564 32,727 16,254 26,080 67,404 2013 181,693 170,340 164,579 146,788 112,504 104,823 89,802 82,052 63,948 59,485 55,455 36,628 32,943 31,302 24,825 23,402 73,000 2014 NAU - 15 61,699 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Other Sponsored Project Expenditures (in Thousands) Actual 50,000 45,000 40,000 35,000 Actual 30,000 25,000 20,000 15,000 10,000 5,000 0 ABOR Enterprise Plan Actual 2010 42,894 NAU - 16 2011 34,998 2012 29,645 2013 30,580 2014 Enterprise Size Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years Actual 5% 0% -5% -10% Actual -15% -20% ABOR Enterprise Plan Actual 2010 NAU - 17 2011 3.5% 2012 -17.8% 2013 -10.2% 2014 This Page Intentionally Left Blank Discovery and Scholarly Impact NAU - 20 NAU - 21 Discovery and Scholarly Impact Invention Disclosures Transacted 30 25 Actual 20 Goal Median 15 10 5 0 AUTM Adj. ABOR Peer Group University of Akron University of Alabama Ohio University Old Dominion University Northern Arizona University University of North Carolina ‐ Greensboro Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 9 9 0 2011 12 11 1 2012 17 15 2 2013 18 18 0 2014 24 21 3 2010 38 31 2011 82 30 2012 63 36 30 2014 9 12 11 9 61 12 30 7 2 46 17 24 12 2013 69 48 26 20 18 18 8 15 18 25 21 25 26 X X 14 NAU - 22 28 20 24 Rank 1 2 3 4 5 5 7 Discovery and Scholarly Impact Invention Disclosures Transacted per $10 Million in Total Research Expenditures 8.00 Actual 7.00 6.00 Goal Median 5.00 4.00 3.00 2.00 1.00 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of North Carolina ‐ Greensboro University of Akron University of Alabama Northern Arizona University Ohio University Northern Illinois University Old Dominion University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 3.1 3.1 0.0 2011 3.9 3.6 0.3 2012 6.0 4.7 1.4 2013 5.9 5.4 0.5 2014 7.6 6.0 1.6 2010 5.3 7.2 7.6 3.1 2011 11.5 12.5 5.6 3.9 3.2 2013 10.8 9.9 8.7 5.9 4.4 3.5 2.0 2014 4.1 2012 12.6 9.5 6.4 6.0 5.2 5.5 11.1 7.3 2.2 5.2 3.1 5.7 6.6 3.5 3.0 5.2 5.8 X X 6.4 NAU - 23 5.9 7.6 Rank 1 2 3 4 5 6 7 Discovery and Scholarly Impact U.S. Patents Issued 6.0 5.0 4.0 Actual 3.0 Median 2.0 Goal 1.0 0.0 AUTM Adj. ABOR Peer Group University of Akron Ohio University Old Dominion University Northern Illinois University Northern Arizona University University of Alabama University of North Carolina ‐ Greensboro Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 3 3 0 2011 0 0 0 2012 0 1 -1 2013 2 1 1 2014 4 2 2 2010 9 2011 10 2012 16 9 2014 1 3 1 0 3 24 2 0 3 0 5 29 5 0 4 1 2013 21 13 12 3 2 2 1 22 8 10 5 4 5 5 X X 3 NAU - 24 3 4 Rank 1 2 3 4 5 5 7 Discovery and Scholarly Impact U.S. Patents Issued per $10 Million in Total Research Expenditures 1.60 1.40 Actual Median 1.20 1.00 0.80 0.60 Goal 0.40 0.20 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of Akron Ohio University Northern Illinois University Old Dominion University Northern Arizona University University of North Carolina ‐ Greensboro University of Alabama Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 1.0 1.0 0.0 2011 0.0 0.0 0.0 2012 0.0 0.3 -0.3 2013 0.7 0.3 0.4 2014 1.3 0.6 0.7 2010 1.7 2011 1.5 0.9 1.0 0.0 0.2 3.7 2.9 0.0 0.0 0.6 5.6 3.3 2013 3.0 2.2 1.3 1.2 0.7 0.6 0.4 2014 0.4 2012 2.4 1.6 2.3 3.0 3.6 0.7 0.6 0.9 1.1 X X 1.4 NAU - 25 0.0 0.5 0.7 2.4 1.2 1.3 Rank 1 2 3 4 5 6 7 This Page Intentionally Left Blank Economic Development NAU - 28 NAU - 29 Economic Development Intellectual Property Income (in Thousands) 50 45 40 35 Actual 30 25 Goal 20 15 10 5 0 ABOR Enterprise Plan Actual Goal Difference 2010 3 3 0 NAU - 30 2011 46 40 6 2012 22 20 2 2013 25 21 4 2014 32 21 11 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 16,000 14,000 12,000 Actual 10,000 8,000 6,000 Goal 4,000 2,000 0 ABOR Enterprise Plan Actual Goal Difference 2010 1,018 1,042 -24 NAU - 31 2011 14,974 13,008 1,966 2012 7,928 6,219 1,709 2013 8,344 6,256 2,088 2014 10,154 6,004 4,150 Economic Development Licenses and Options Income (in Thousands) 100 90 80 70 60 50 40 30 20 Actual Median 10 0 AUTM Adj. ABOR Peer Group Ohio University University of Akron Northern Illinois University Northern Arizona University Old Dominion University University of North Carolina ‐ Greensboro University of Alabama Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2010 0 2011 43 2012 18 2013 20 2014 23 2010 2011 279 30 43 121 77 6 110 51 9 2 123 2013 9,926 226 24 20 19 12 8 2014 202 10 0 2012 9,400 336 16 18 120 401 360 677 711 51 69 X X 94 NAU - 32 14 18 20 23 Rank 1 2 3 4 5 6 7 Economic Development Licenses and Options Income per $10 Million in Total Research Expenditures 18,000 16,000 14,000 12,000 10,000 8,000 Median Actual 6,000 4,000 2,000 0 AUTM Adj. NSF Adj. ABOR Peer Group Ohio University University of Akron Northern Illinois University University of North Carolina ‐ Greensboro Northern Arizona University Old Dominion University University of Alabama Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2010 0 2011 13,865 2012 6,562 2013 6,592 2014 7,273 2010 2011 42,518 13,966 19,629 13,865 18,903 7,798 13,121 1,602 2,545 14,005 2013 1,661,700 32,469 10,305 7,427 6,592 1,866 1,531 2014 38,240 3,839 53,719 0 2012 1,643,270 50,616 7,273 7,517 6,562 13,263 152,380 131,137 95,207 99,988 14,005 10,390 X X 16,012 NAU - 33 3,274 7,427 7,273 Rank 1 2 3 4 5 6 7 Economic Development Licenses and Options Executed 4.5 4.0 Median 3.5 3.0 2.5 2.0 1.5 1.0 Actual 0.5 0.0 AUTM Adj. ABOR Peer Group University of North Carolina ‐ Greensboro Old Dominion University University of Akron University of Alabama Northern Arizona University Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Ohio University Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2010 0 2011 1 2012 1 2013 1 2014 1 2010 3 2011 3 2012 2 2014 10 3 0 0 2 6 5 3 1 0 0 6 6 4 1 0 2013 10 6 4 4 1 1 8 3 X X 3 NAU - 34 1 5 0 3 1 4 1 Rank 1 2 3 3 5 5 Economic Development Licenses and Options Executed per $10 Million in Total Research Expenditures 1.20 1.00 0.80 0.60 Median 0.40 Actual 0.20 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of North Carolina ‐ Greensboro University of Alabama Old Dominion University University of Akron Northern Illinois University Northern Arizona University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Ohio University Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2010 0.0 2011 0.3 2012 0.4 2013 0.3 2014 0.3 2010 1.3 0.7 2011 1.1 0.6 2012 1.0 0.7 2014 1.9 0.0 0.0 2.5 0.7 0.8 0.0 0.3 0.0 0.7 0.9 0.0 0.4 2013 6.0 0.7 0.6 0.6 0.4 0.3 3.0 1.1 X X 1.0 NAU - 35 0.1 0.7 0.0 0.7 0.4 0.6 0.3 Rank 1 2 3 4 5 6 Economic Development Startup Companies 2.5 2.0 Median Goal 1.5 1.0 Actual 0.5 0.0 AUTM Adj. ABOR Peer Group University of Akron Ohio University Old Dominion University University of Alabama University of North Carolina ‐ Greensboro Northern Arizona University Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 0 1 -1 2011 0 1 -1 2012 1 1 0 2013 0 1 -1 2014 1 2 -1 2010 2 2011 2 2012 2 4 2014 0 1 0 0 1 2 0 1 0 0 0 4 1 0 1 0 2013 6 2 2 2 1 0 0 0 2 X X 0 0 1 NAU - 36 1 1 2 1 Rank 1 2 2 2 5 6 6 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.70 0.60 Goal 0.50 0.40 Median Actual 0.30 0.20 0.10 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of Akron University of North Carolina ‐ Greensboro University of Alabama Ohio University Old Dominion University Northern Arizona University Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University ‐ Kent Southern Illinois University ‐ Carbondale University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 0.0 0.3 -0.3 2011 0.0 0.3 -0.3 2012 0.4 0.3 0.0 2013 0.0 0.3 -0.3 2014 0.3 0.6 -0.3 2010 0.4 0.4 0.0 2011 0.3 0.4 0.0 2012 0.3 0.0 0.2 0.7 2014 0.0 0.0 1.2 0.2 0.0 0.0 0.0 0.5 0.4 0.0 2013 0.9 0.6 0.4 0.3 0.2 0.0 0.0 0.0 0.7 X X 0.0 0.0 0.1 NAU - 37 0.2 0.1 0.3 0.3 Rank 1 2 3 4 5 6 6 Economic Development Ph.D. Degrees Conferred 30 Actual 25 Goal 20 15 10 5 0 ABOR Enterprise Plan Actual Goal Difference 2010 24 24 0 NAU - 38 2011 25 25 0 2012 26 26 0 2013 20 24 -4 2014 26 24 2 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 10.00 9.00 Actual 8.00 7.00 Goal 6.00 5.00 4.00 3.00 2.00 1.00 0.00 ABOR Enterprise Plan Actual Goal Difference 2010 8.3 8.3 0.0 NAU - 39 2011 8.1 8.1 0.0 2012 9.3 8.1 1.2 2013 6.6 7.1 -0.6 2014 8.2 6.9 1.4 This Page Intentionally Left Blank Leadership and Recognition Leadership and Recognition Introduction Northern Arizona University seeks to provide regional, national and international leadership through the activities and outcomes of its researchers. The metrics typically used by the nation’s largest research institutions rarely provide useful insights for our peer group; ultimately, publication and citation by the research community and awards bestowed upon our researchers are as important as research funds in reflecting the quality and impact of university scholarship. National Academy Members As reported last year, we do not currently have members of the National Academies of Science or of Engineering on our faculty. This is the case for most of our peer group as well. Still, the university is home to a number of distinguished and accomplished faculty researchers. National and international recognition of our faculty contributes to our continued success in competing for funding, as well as enhancing the quality of the student experience. Our faculty (even the “stars”) virtually all maintain active teaching roles and incorporate many undergraduate students into their research groups; undergraduates frequently report how motivating and helpful it is for their own development to work directly with individuals they know to be “leaders” in the field. NAU - 42 NAU - 43 Leadership and Recognition National Academy Members 1.0 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0.0 ABOR Peer Group George Mason University University of Akron Kent State University ‐ Kent University of Maine Bowling Green State University Georgia State University Northern Arizona University Northern Illinois University Ohio University Old Dominion University Southern Illinois University ‐ Carbondale University of Alabama University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University Wichita State University Median Med. Sch. Actual X X Median Actual 2010 0 2011 0 2012 0 2013 0 2014 0 2010 2 2 1 2 0 0 0 0 0 0 0 0 0 0 0 0 0 2011 2 2 1 2 0 0 0 0 0 0 0 0 0 0 0 0 0 2012 2 2 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 2013 2014 0 0 NAU - 44 Rank 1 1 3 3 5 5 5 5 5 5 5 5 5 5 5 5 Leadership and Recognition National Academy Members per $10 Million in Total Research Expenditures 1.00 0.90 0.80 0.70 0.60 0.50 0.40 0.30 0.20 0.10 0.00 X X NSF Adj. ABOR Peer Group Kent State University ‐ Kent University of Akron George Mason University University of Maine Bowling Green State University Georgia State University Northern Arizona University Northern Illinois University Ohio University Old Dominion University Southern Illinois University ‐ Carbondale University of Alabama University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University Wichita State University Median Med. Sch. Actual Median Actual 2010 0.0 2011 0.0 2012 0.0 2013 0.0 2014 0.0 2010 0.4 0.4 0.2 0.2 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2011 0.4 0.3 0.2 0.2 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2012 0.4 0.3 0.2 0.1 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2013 2014 0.0 0.0 NAU - 45 Rank 1 2 3 4 5 5 5 5 5 5 5 5 5 5 5 5 This Page Intentionally Left Blank Technology Transfer NAU - 48 Technology Transfer Statistical Exhibits Technology Transfer Activities Invention Disclosures Transacted Invention Disclosures Transacted Year/Year Percentage Change 2010 9 2011 12 33% 2012 17 42% 2013 18 6% 2014 24 33% New Patent Applications New Patent Applications Year/Year Percentage Change 5 5 0% 2 -60% 2 0% 7 250% U.S. Patents Issued U.S. Patents Issued Year/Year Percentage Change 3 0 -100% 0 2 4 100% Licenses and Options Executed Licenses and Options Executed Year/Year Percentage Change 0 1 1 0% 1 0% 1 0% 0 0 0 Other Major Agreements Other Major Agreements Year/Year Percentage Change Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total 2010 0 2,931 0 2,931 2011 42,684 3,414 0 46,098 2012 18,439 3,838 0 22,277 2013 20,115 5,347 0 25,462 2014 22,975 9,100 0 32,075 Sponsored Research Facilitated Total 2010 0 2011 0 2012 0 2013 599,804 2014 0 Royalty Distribution Inventors Laboratories and Units University Undistributed 2010 0 0 0 0 2011 0 0 0 0 2012 0 0 0 0 2013 0 0 0 0 2014 0 0 0 0 NAU - 49 Technology Transfer Selected Patents US 8,480,377 B2, “Integrated Electro-Magnetohydrodynamic Micropumps and Methods for Pumping Fluids”. Issued July 9, 2013. This patent protects a highly-efficient miniaturized pump, designed with enhanced performance capabilities, that can be used to move a wide range of fluids in any of a wide range of micro-fluidic applications, ranging from portable fuel cells to drug delivery systems to microelectronic cooling systems, just to name a few. US 8,541,006 B2, “Methods and Devices for the Detection of Biofilm”. Issued September 24, 2013. This patent protects methods and kits for biofilm detection. This patent is jointly owned by the University of Maryland, Baltimore. US 8,697,375 B2, “In Vivo Biofilm Infection Diagnosis and Treatment”. Issued April 15, 2014. Biofilm infections (such as methicillin-resistant Staphylococcus aureus or MRSA) are often associated with indwelling medical devices, such as catheters, endotracheal tubes, surgical sutures, hip and knee joint prostheses and dental implants. This patent protects a non-invasive, non-toxic method for detecting and diagnosing biofilm infections residing in a mammal. This patent is jointly owned by the University of Maryland, Baltimore. US 8,722,335, “Methods and Kits Used in the Detection of Fungus”. Issued May 13, 2014. This patent protects methods of using quantitative Polymerase Chain Reaction (PCR) to detect fungal organisms in clinical and environmental samples and to generate standards that allow the quantification of fungal organisms in these samples. This patent is jointly owned by Translational Genomics Institute (TGen). NAU - 50 NAU - 51 NAU - 52 NAU - 53 This Page Intentionally Left Blank Strategic Initiatives NAU - 56 NAU - 57 This Page Intentionally Left Blank Annual Research Report - FY2014 Table of Contents Enterprise Size Introduction Selected Accomplishments Total Research Expenditures Average Growth Rate in Total Research Expenditures Over 3 years Federally Financed Research Expenditures Average Growth Rate in Federally Financed Research Expenditures Over 3 years Net Research Square Feet Total Research Expenditures per Square Foot Total Faculty Population Total Research Expenditures per Faculty Other Sponsored Project Expenditures (Instruction, Service, etc.) Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 6 7 8 9 10 11 12 13 14 15 16 17 Discovery and Scholarly Impact Introduction Selected Accomplishments Invention Disclosures Transacted Invention Disclosures Transacted per $10 Million in Total Research Expenditures U.S. Patents Issued U.S. Patents Issued per $10 Million in Total Research Expenditures 20 21 22 23 24 25 Economic Development Introduction Selected Accomplishments Intellectual Property Income Intellectual Property Income per $10 Million in Total Research Expenditures Licenses and Options Income Licenses and Options Income per $10 Million in Total Research Expenditures Licenses and Options Executed Licenses and Options Executed per $10 Million in Total Research Expenditures Startup Companies Startup Companies per $10 Million in Total Research Expenditures Ph.D. Degrees Conferred Ph.D. Degrees Conferred per $10 Million in Total in Research Expenditures 28 29 30 31 32 33 34 35 36 37 38 39 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 42 43 44 45 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 48 49 50 51 52 53 Strategic Initiatives Summary 56 This Page Intentionally Left Blank Enterprise Size UofA - 6 UofA - 7 Enterprise Size Total Research Expenditures (in Thousands) 900,000 800,000 Median Goal 700,000 600,000 Actual 500,000 400,000 300,000 200,000 100,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of North Carolina - Chapel Hill University of California - Los Angeles University of Minnesota - Twin Cities Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. The Ohio State University University of California - Davis University of Illinois - Urbana - Champaign University of Florida University of Texas - Austin The University of Arizona Michigan State University University of Maryland - College Park University of Iowa Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 586,647 586,932 -285 2011 610,565 630,000 -19,435 2012 625,365 663,000 -37,635 2013 629,466 697,000 -67,534 2014 588,088 764,000 -175,912 2010 1,022,740 1,029,295 755,284 936,995 786,074 770,449 689,624 755,194 679,915 515,133 681,548 589,502 586,647 431,373 451,415 444,034 685,586 2011 1,148,533 1,111,642 869,174 982,357 847,419 794,846 705,720 832,126 707,896 545,669 739,931 632,171 610,565 454,248 495,382 443,893 723,914 2012 1,109,008 1,169,779 884,791 1,003,375 826,173 797,679 693,421 766,513 713,292 583,754 696,985 621,538 625,365 507,061 502,406 446,429 705,139 2013 1,192,513 1,123,501 973,007 966,659 858,378 837,880 820,015 793,373 752,734 743,487 695,063 634,132 629,466 515,707 491,998 435,377 773,054 2014 UofA - 8 588,088 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Total Research Expenditures Over 3 Years 9% 8% 7% Goal 6% 5% 4% Median 3% 2% 1% 0% -1% Actual -2% X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Illinois - Urbana - Champaign University of North Carolina - Chapel Hill Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University University of Washington - Seattle University of California - Davis University of Wisconsin - Madison University of Minnesota - Twin Cities University of Maryland - College Park Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Texas - Austin The University of Arizona The Ohio State University University of California - Los Angeles University of Florida University of Iowa Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 3.3% 3.3% 0 2011 3.8% 4.9% 0 2012 3.4% 5.5% -2.0% 2013 2.4% 5.9% -3.5% 2014 -1.2% 6.7% -7.8% 2010 3.2% 16.7% 8.2% 6.4% 11.4% 4.3% 7.0% 8.0% 7.9% 5.7% 9.8% 3.3% 1.6% 4.4% 5.0% 9.3% 6.7% 2011 3.3% 18.3% 6.7% 8.5% 15.1% 3.3% 8.0% 7.5% 7.9% 4.3% 8.8% 3.8% 5.9% 4.1% 8.3% 15.6% 7.7% 2012 1.4% 11.3% 3.3% 10.8% 13.4% 1.5% 7.1% 3.8% 7.2% 1.9% 7.3% 3.4% 2.6% 4.1% 6.0% 11.7% 5.0% 2013 13.4% 8.9% 6.3% 6.2% 5.5% 3.5% 3.1% 3.1% 3.0% 2.9% 2.5% 2.4% 1.9% 1.1% 0.8% -0.6% 3.0% 2014 UofA - 9 -1.2% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Federally Financed Research Expenditures (in Thousands) 450,000 Median 400,000 350,000 300,000 Actual 250,000 200,000 150,000 100,000 50,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Washington - Seattle University of North Carolina - Chapel Hill Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Wisconsin - Madison University of California - Los Angeles University of Minnesota - Twin Cities University of Illinois - Urbana - Champaign The Ohio State University University of Texas - Austin University of California - Davis University of Maryland - College Park The University of Arizona Texas A&M U. - College Station and Hlth. Science Ctr. University of Florida Michigan State University University of Iowa Median Med. Sch. Actual 2010 308,157 2011 327,565 2012 331,578 2013 338,790 2014 290,370 2010 829,885 545,993 464,750 545,189 538,521 426,359 303,852 399,942 350,308 332,325 297,896 308,157 288,173 279,649 214,134 282,465 341,317 2011 948,976 600,843 468,705 593,633 563,560 489,480 323,454 493,130 355,437 362,976 338,780 327,565 291,812 306,349 240,837 283,627 359,207 2012 909,652 606,348 531,421 580,661 539,054 485,462 359,989 445,635 354,873 358,577 340,180 331,578 269,460 305,067 268,952 269,734 359,283 2013 928,193 623,237 558,871 555,875 501,368 494,206 468,798 456,590 372,633 347,038 342,778 338,790 314,104 296,199 260,610 255,329 414,612 2014 UofA - 10 290,370 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Federally Financed Research Expenditures Over 3 Years 10% 8% 6% 4% Median 2% 0% -2% Actual -4% -6% X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Illinois - Urbana - Champaign Michigan State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University University of Minnesota - Twin Cities University of Maryland - College Park University of North Carolina - Chapel Hill University of Washington - Seattle Texas A&M U. - College Station and Hlth. Science Ctr. The University of Arizona University of Texas - Austin University of Florida University of California - Davis University of Wisconsin - Madison University of California - Los Angeles University of Iowa Median Med. Sch. Actual 2010 4.5% 2011 5.6% 2012 4.9% 2013 3.2% 2014 -3.6% 2010 6.2% 9.2% 7.8% 8.7% 8.1% 11.0% 16.6% 11.3% 8.1% 4.5% 6.9% 5.6% 9.0% 5.2% 3.6% 8.3% 8.1% 2011 6.6% 16.8% 4.9% 14.1% 10.4% 12.9% 17.4% 16.4% 6.0% 5.6% 3.4% 10.2% 10.5% 7.8% 6.3% 7.4% 9.0% 2012 7.7% 18.2% 6.7% 10.5% 7.7% 11.6% 12.5% 14.7% 1.3% 4.9% 4.9% 9.8% 6.8% 4.7% 5.2% 2.5% 7.2% 2013 16.0% 7.0% 6.5% 5.4% 5.3% 5.0% 4.6% 4.1% 3.4% 3.2% 2.1% 2.1% 1.6% 0.8% -2.2% -3.3% 3.7% 2014 UofA - 11 -3.6% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Net Assignable Square Feet 3,000,000 Median 2,500,000 2,000,000 Actual 1,500,000 1,000,000 500,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Minnesota - Twin Cities University of Florida University of Illinois - Urbana - Champaign The Ohio State University University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. University of Wisconsin - Madison Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of California - Los Angeles Michigan State University University of Washington - Seattle The University of Arizona University of Texas - Austin University of North Carolina - Chapel Hill University of Maryland - College Park University of Iowa Median Med. Sch. Actual 2010 1,700,749 2011 1,748,035 2012 1,748,035 2013 1,629,764 2014 1,629,764 2010 3,684,378 3,081,524 4,561,500 1,487,468 2,660,052 2,222,041 2,844,272 2,997,579 2,496,563 2,324,423 1,795,359 1,700,749 1,480,462 1,662,923 712,085 616,700 2,273,232 2011 3,531,048 3,038,164 4,631,400 1,447,310 2,927,180 2,443,234 2,935,571 2,929,245 2,632,450 2,274,375 1,874,449 1,748,035 1,478,523 1,223,219 769,581 659,913 2,358,805 2012 3,531,048 3,038,164 4,631,400 1,447,310 2,927,180 2,443,234 2,935,571 2,929,245 2,632,450 2,274,375 1,874,449 1,748,035 1,478,523 1,223,219 769,581 659,913 2,358,805 2013 3,672,847 3,109,643 3,108,558 2,973,355 2,930,437 2,895,450 2,774,278 2,733,125 2,717,533 2,253,911 1,796,285 1,629,764 1,455,474 1,294,963 769,581 700,757 2,725,329.0 2014 3,672,847 3,109,643 3,108,558 2,973,355 2,930,437 2,895,450 2,774,278 2,733,125 2,717,533 2,253,911 1,796,285 1,629,764 1,455,474 1,294,963 769,581 700,757 2,725,329.0 UofA - 12 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Net Assignable Square Foot 450 400 Actual 350 Median 300 250 200 150 100 50 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of North Carolina - Chapel Hill University of Washington - Seattle University of Maryland - College Park University of Iowa University of Texas - Austin University of Wisconsin - Madison The University of Arizona University of California - Los Angeles Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. The Ohio State University University of California - Davis University of Illinois - Urbana - Champaign University of Minnesota - Twin Cities Michigan State University University of Florida Median Med. Sch. Actual 2010 345 2011 349 2012 358 2013 386 2014 361 2010 454 570 634 720 398 362 345 375 257 310 508 256 113 213 186 221 353 2011 711 613 644 673 428 379 349 373 271 289 575 242 118 240 200 244 361 2012 723 592 653 676 420 398 358 381 272 284 530 244 126 234 223 229 369 2013 751 664 639 621 436 405 386 356 307 283 267 257 239 234 229 224 331.1 2014 UofA - 13 361 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Faculty Population 1,900 1,850 1,800 Median 1,750 1,700 1,650 1,600 Actual 1,550 1,500 1,450 1,400 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group The Ohio State University University of Florida University of Minnesota - Twin Cities University of Wisconsin - Madison University of Texas - Austin University of North Carolina - Chapel Hill Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University University of Illinois - Urbana - Champaign Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of California - Los Angeles The University of Arizona University of Iowa University of Washington - Seattle University of Maryland - College Park University of California - Davis Median Med. Sch. Actual 2010 1,585 2011 1,563 2012 1,552 2013 1,560 2014 1,563 2010 2,602 2,696 2,319 2,047 1,981 1,833 1,838 1,948 1,856 1,748 1,840 1,585 1,572 1,548 1,472 1,498 1,839 2011 2,560 2,701 2,277 2,057 1,954 1,861 1,871 1,906 1,778 1,759 1,822 1,563 1,527 1,536 1,463 1,467 1,842 2012 2,511 2,647 2,251 2,014 1,910 1,876 1,771 1,883 1,707 1,763 1,776 1,552 1,538 1,525 1,501 1,421 1,774 2013 2,489 2,493 2,412 2,067 1,910 1,948 1,710 1,732 1,710 1,731 1,747 1,560 1,576 1,487 1,483 1,423 1,732 2014 2,508 2,439 2,408 2,082 1,898 1,852 1,838 1,825 1,753 1,741 1,725 1,563 1,551 1,498 1,476 1,417 1,789 UofA - 14 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Faculty 450,000 Median 400,000 Actual 350,000 300,000 250,000 200,000 150,000 100,000 50,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison University of California - Davis University of North Carolina - Chapel Hill Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. University of Illinois - Urbana - Champaign The University of Arizona University of Minnesota - Twin Cities University of Texas - Austin University of Maryland - College Park The Ohio State University Michigan State University University of Florida University of Iowa Median Med. Sch. Actual 2010 370,124 2011 390,637 2012 402,941 2013 403,504 2014 376,256 2010 660,685 509,236 502,831 453,882 412,048 440,760 375,203 277,550 370,124 338,971 297,578 306,668 290,236 221,444 252,800 282,464 354,548 2011 747,743 539,164 540,419 482,547 467,047 451,874 377,189 306,900 390,637 372,165 323,527 338,607 325,049 238,325 273,947 290,696 374,677 2012 727,218 564,963 580,824 501,965 471,637 452,455 391,542 341,977 402,941 367,025 325,413 334,714 305,262 269,284 263,311 290,266 379,283 2013 801,959 553,325 543,542 528,977 499,490 484,044 479,541 434,788 403,504 355,878 332,006 331,759 318,752 297,752 278,806 276,254 419,146 2014 UofA - 15 376,256 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Other Sponsored Project Expenditures (in Thousands) 140,000 120,000 Actual 100,000 80,000 60,000 40,000 20,000 0 ABOR Enterprise Plan Actual 2010 82,855 UofA - 16 2011 107,365 2012 113,559 2013 115,105 2014 115,666 Enterprise Size Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 16.0% 14.0% 12.0% 10.0% 8.0% 6.0% 4.0% Actual 2.0% 0.0% ABOR Enterprise Plan Actual 2010 5.7% UofA - 17 2011 13.9% 2012 13.6% 2013 12.2% 2014 2.5% This Page Intentionally Left Blank Discovery and Scholarly Impact UofA - 20 UofA - 21 Discovery and Scholarly Impact Invention Disclosures Transacted 250 200 Median Actual Goal 150 100 50 0 X X X X X X X X X X X X X AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison The Ohio State University University of California - Los Angeles University of Florida University of Minnesota - Twin Cities University of California - Davis University of Illinois - Urbana - Champaign Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. The University of Arizona University of North Carolina - Chapel Hill Michigan State University University of Iowa University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 131 131 0 2011 149 144 5 2012 142 160 -18 2013 144 175 -31 2014 188 180 8 2010 354 356 173 379 295 255 245 180 133 207 131 125 116 70 2011 356 357 216 299 322 250 184 182 144 284 149 142 110 68 2012 462 373 319 343 345 321 226 223 132 212 142 160 127 102 2013 410 386 384 359 335 331 206 181 159 159 144 138 122 96 2014 194 200 225 194 UofA - 22 188 Rank 1 2 3 4 5 6 7 8 9 9 11 12 13 14 Discovery and Scholarly Impact Invention Disclosures Transacted per $10 Million in Total Research Expenditures 3.50 Actual 3.00 Median 2.50 Goal 2.00 1.50 1.00 0.50 0.00 X X X X X X X X X X X X X AUTM Adj. NSF Adj. ABOR Peer Group The Ohio State University University of Florida University of Minnesota - Twin Cities University of California - Los Angeles University of Washington - Seattle University of Wisconsin - Madison University of California - Davis University of Illinois - Urbana - Champaign Michigan State University The University of Arizona University of Iowa Texas A&M U. - College Station and Hlth. Science Ctr. Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of North Carolina - Chapel Hill University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 2.2 2.2 0.0 2011 2.4 2.3 0.2 2012 2.3 2.4 -0.1 2013 2.3 2.5 -0.2 2014 3.2 2.4 0.8 2010 2.3 4.3 3.2 4.0 3.5 3.5 3.6 3.5 2.7 2.2 1.6 3.0 1.7 1.7 2011 2.6 4.4 3.0 3.0 3.1 3.2 2.6 3.3 2.4 2.4 1.5 4.0 1.8 1.6 2012 4.2 4.9 3.9 3.4 4.2 3.2 3.2 3.8 2.5 2.3 2.3 3.1 1.7 1.8 2013 4.8 4.8 3.9 3.7 3.4 3.4 2.7 2.4 2.4 2.3 2.2 1.9 1.9 1.4 2014 3.1 2.8 3.2 2.6 UofA - 23 3.2 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact U.S. Patents Issued 60.0 Median 50.0 40.0 30.0 Actual 20.0 Goal 10.0 0.0 2011 19 15 4 2012 21 15 6 2013 27 16 11 2014 24 16 8 2010 133 59 47 69 X X X X X X X X X 46 38 33 52 54 13 27 32 29 2011 156 86 56 70 68 41 30 18 38 37 19 33 31 23 2012 153 60 74 61 76 59 41 29 31 39 21 31 31 26 2013 157 107 95 94 72 64 62 50 46 41 27 25 24 22 2014 X X X X 46 38 40 56 AUTM Adj. ABOR Peer Group University of Wisconsin - Madison University of Florida University of California - Los Angeles University of Washington - Seattle University of Illinois - Urbana - Champaign University of Minnesota - Twin Cities The Ohio State University Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. The University of Arizona University of North Carolina - Chapel Hill University of Iowa University of California - Davis University of Maryland - College Park University of Texas - Austin Median 2010 13 13 0 Med. Sch. ABOR Enterprise Plan Actual Goal Difference UofA - 24 24 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact U.S. Patents Issued per $10 Million in Total Research Expenditures 0.90 0.80 Median 0.70 0.60 0.50 Actual 0.40 0.30 Goal 0.20 0.10 0.00 2012 0.3 0.2 0.1 2013 0.4 0.2 0.2 2014 0.4 0.2 0.2 2010 0.9 1.3 0.5 X X X X X X X X X X 1.2 0.7 0.5 0.6 0.5 0.7 0.7 0.2 0.4 0.4 2011 1.2 1.4 0.6 1.2 0.8 0.6 0.4 0.5 0.3 0.7 0.5 0.3 0.3 0.4 2012 0.9 1.3 0.7 1.3 0.6 0.6 0.5 0.7 0.4 0.7 0.5 0.3 0.4 0.4 2013 1.5 1.4 1.0 1.0 0.9 0.8 0.8 0.7 0.6 0.6 0.5 0.4 0.3 0.3 2014 X X X 0.6 0.5 0.6 0.8 AUTM Adj. 2011 0.3 0.2 0.1 NSF Adj. ABOR Peer Group University of Florida University of Wisconsin - Madison University of California - Los Angeles University of Illinois - Urbana - Champaign Michigan State University University of Washington - Seattle The Ohio State University University of Minnesota - Twin Cities Texas A&M U. - College Station and Hlth. Science Ctr. University of Iowa Penn State Univ. - Univ. Park and Hershey Medical Ctr. The University of Arizona University of California - Davis University of North Carolina - Chapel Hill University of Maryland - College Park University of Texas - Austin Median 2010 0.2 0.2 0.0 Med. Sch. ABOR Enterprise Plan Actual Goal Difference UofA - 25 0.4 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 This Page Intentionally Left Blank Economic Development UofA - 28 UofA - 29 Economic Development Intellectual Property Income (in Thousands) 3,000 2,500 Goal 2,000 Actual 1,500 1,000 500 0 ABOR Enterprise Plan Actual Goal Difference 2010 1,258 1,258 0 UofA - 30 2011 1,414 1,414 0 2012 1,550 1,850 -300 2013 1,345 2,080 -735 2014 1,628 2,390 -762 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 35,000 Goal 30,000 Actual 25,000 20,000 15,000 10,000 5,000 0 ABOR Enterprise Plan Actual Goal Difference 2010 21,450 21,439 10 UofA - 31 2011 23,164 22,449 715 2012 24,778 27,903 -3,125 2013 21,364 29,842 -8,479 2014 27,675 31,283 -3,608 Economic Development Licenses and Options Income (in Thousands) 12,000 10,000 Median 8,000 6,000 4,000 2,000 Actual 0 X X X X X X X X X X X X X AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of Minnesota - Twin Cities University of Florida University of California - Los Angeles Texas A&M U. - College Station and Hlth. Science Ctr. University of California - Davis University of Illinois - Urbana - Champaign University of North Carolina - Chapel Hill Michigan State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University University of Iowa The University of Arizona University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2010 718 2011 981 2012 922 2013 926 2014 1,112 2,010 69,032 54,300 83,906 29,235 27,485 8,621 9,048 6,126 2,598 4,017 2,271 1,907 26,991 718 2,011 67,362 57,730 10,079 29,494 16,153 9,264 10,233 6,363 1,483 3,616 2,947 1,420 6,285 981 2,012 76,956 41,100 45,652 33,922 17,833 13,074 12,525 6,410 2,414 3,704 3,095 2,170 7,234 922 2,013 99,491 94,170 38,030 28,068 23,423 12,826 12,241 4,914 3,784 3,302 2,267 2,105 1,205 926 2,014 8,835 7,813 9,880 8,577 UofA - 32 1,112 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Income per $10 Million in Total Research Expenditures 180,000 160,000 140,000 120,000 Median 100,000 80,000 60,000 40,000 20,000 Actual 0 X X X X X X X X X X X X X AUTM Adj. NSF Adj. ABOR Peer Group University of Wisconsin - Madison University of Washington - Seattle University of Minnesota - Twin Cities University of Florida University of California - Los Angeles University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. University of Illinois - Urbana - Champaign Michigan State University University of North Carolina - Chapel Hill University of Iowa Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University The University of Arizona University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2010 12,240 2011 16,075 2012 14,743 2013 14,711 2014 18,914 2010 527,546 674,971 1,067,406 428,950 293,331 133,075 125,010 118,925 93,121 34,398 607,859 29,476 25,252 12,240 2011 519,322 586,506 118,932 398,598 164,431 144,555 131,271 116,601 79,596 17,057 141,587 37,080 17,065 16,075 2012 351,348 693,916 552,566 486,700 177,730 175,594 188,538 109,813 73,041 27,286 162,043 38,800 28,304 14,743 2013 838,183 834,298 443,050 403,819 242,309 162,621 156,417 66,088 64,035 38,885 27,685 27,057 26,534 14,711 2014 129,043 125,101 168,819 111,253 UofA - 33 18,914 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Executed 90.0 80.0 Actual 70.0 60.0 Median 50.0 40.0 30.0 20.0 10.0 0.0 X X X X X X X X X X X X X AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Florida University of Minnesota - Twin Cities University of California - Davis University of Wisconsin - Madison University of North Carolina - Chapel Hill Texas A&M U. - College Station and Hlth. Science Ctr. The Ohio State University The University of Arizona University of Illinois - Urbana - Champaign University of California - Los Angeles Penn State Univ. - Univ. Park and Hershey Medical Ctr. Michigan State University University of Iowa University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2010 64 2011 80 2012 47 2013 48 2014 72 2010 196 92 73 67 62 39 49 35 64 40 52 24 31 21 2011 194 131 113 58 62 45 67 25 80 55 46 23 40 24 2012 209 129 75 57 60 61 71 33 47 46 34 21 32 21 2013 260 140 91 68 63 56 55 50 48 46 43 36 33 29 2014 51 57 52 53 UofA - 34 72 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Executed per $10 Million in Total Research Expenditures 1.40 Actual 1.20 1.00 0.80 Median 0.60 0.40 0.20 0.00 X X X X X X X X X X X X X AUTM Adj. NSF Adj. ABOR Peer Group University of Washington - Seattle University of Florida University of Minnesota - Twin Cities University of California - Davis The University of Arizona Texas A&M U. - College Station and Hlth. Science Ctr. University of Iowa Michigan State University The Ohio State University University of Illinois - Urbana - Champaign University of North Carolina - Chapel Hill University of Wisconsin - Madison University of California - Los Angeles Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2010 1.1 2011 1.3 2012 0.8 2013 0.8 2014 1.2 2010 1.9 1.3 0.9 1.0 1.1 0.7 0.5 0.7 0.5 0.8 0.5 0.6 0.6 0.3 2011 1.7 1.8 1.3 0.8 1.3 0.9 0.5 0.9 0.3 1.0 0.5 0.6 0.5 0.3 2012 1.9 1.9 0.9 0.8 0.8 1.0 0.5 0.6 0.4 0.8 0.7 0.5 0.3 0.3 2013 2.2 2.0 1.1 0.9 0.8 0.7 0.7 0.6 0.6 0.6 0.6 0.6 0.4 0.4 2014 0.7 0.8 0.7 0.7 UofA - 35 1.2 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Startup Companies 12.0 Actual 10.0 Median Goal 8.0 6.0 4.0 2.0 0.0 X X X X X X X X X X X X X AUTM Adj. ABOR Peer Group University of California - Los Angeles University of Washington - Seattle University of Florida University of Minnesota - Twin Cities University of North Carolina - Chapel Hill Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University University of California - Davis University of Wisconsin - Madison University of Illinois - Urbana - Champaign University of Iowa Texas A&M U. - College Station and Hlth. Science Ctr. The University of Arizona Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 6 6 0 2011 8 6 2 2012 5 7 -2 2013 3 8 -5 2014 11 9 2 2010 27 7 9 8 5 5 8 9 5 5 3 7 6 2011 19 9 12 9 7 5 6 5 4 12 2 4 8 1 2012 13 9 15 12 9 5 5 2 4 5 4 5 5 3 2013 17 17 16 14 14 10 10 8 7 6 6 3 3 1 2014 7 7 5 9 UofA - 36 11 Rank 1 1 3 4 4 6 6 8 9 10 10 12 12 14 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.20 Actual 0.18 0.16 0.14 Median 0.12 Goal 0.10 0.08 0.06 0.04 0.02 0.00 X X X X X X X X X X X X X AUTM Adj. NSF Adj. ABOR Peer Group University of Florida University of California - Los Angeles University of Minnesota - Twin Cities University of North Carolina - Chapel Hill University of Washington - Seattle University of Iowa The Ohio State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of California - Davis University of Illinois - Urbana - Champaign University of Wisconsin - Madison The University of Arizona Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2010 0.1 0.1 0.0 2011 0.1 0.1 0.0 2012 0.1 0.1 0.0 2013 0.0 0.1 -0.1 2014 0.2 0.1 0.1 2010 0.1 0.3 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.1 0.1 2011 0.2 0.2 0.1 0.1 0.1 0.0 0.1 0.1 0.1 0.2 0.0 0.1 0.1 0.0 2012 0.2 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.1 0.0 0.1 0.1 0.1 2013 0.2 0.2 0.2 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.0 0.0 2014 0.1 0.1 0.1 0.1 UofA - 37 0.2 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Ph.D. Degrees Conferred 470 460 Goal 450 440 Actual 430 420 410 400 390 380 ABOR Enterprise Plan Actual Goal Difference 2010 427 427 0 UofA - 38 2011 408 408 0 2012 417 417 0 2013 410 437 -27 2014 432 457 -25 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 8.00 Actual 7.00 6.00 Goal 5.00 4.00 3.00 2.00 1.00 0.00 ABOR Enterprise Plan Actual Goal Difference 2010 7.3 7.3 0.0 UofA - 39 2011 6.7 6.5 0.2 2012 6.7 6.3 0.4 2013 6.5 6.3 0.2 2014 7.3 6.0 1.4 This Page Intentionally Left Blank Leadership and Recognition UofA - 42 UofA - 43 Leadership and Recognition National Academy Members 35 Median 30 Actual 25 20 15 10 5 0 ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison University of Texas - Austin University of Illinois - Urbana - Champaign University of California - Davis University of Minnesota - Twin Cities University of North Carolina - Chapel Hill The Ohio State University University of Maryland - College Park The University of Arizona Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Florida Texas A&M U. - College Station and Hlth. Science Ctr. University of Iowa Michigan State University Median Med. Sch. Actual X X X X X X X X X X X X X 2010 27 2011 26 2012 28 2013 29 2014 29 2010 102 91 71 67 59 36 41 30 27 30 27 24 23 22 22 7 30 2011 104 95 67 68 57 39 39 31 28 30 26 23 23 22 22 8 31 2012 109 94 68 67 55 41 38 35 30 30 28 24 24 23 21 9 33 2013 2014 29 29 UofA - 44 Rank 1 2 3 4 5 6 7 8 9 9 11 12 12 14 15 16 Leadership and Recognition National Academy Members per $10 Million in Total Research Expenditures 0.60 0.50 Actual Median 0.40 0.30 0.20 0.10 0.00 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Texas - Austin University of Washington - Seattle University of Illinois - Urbana - Champaign University of California - Los Angeles University of Maryland - College Park University of Wisconsin - Madison University of California - Davis University of Iowa University of Minnesota - Twin Cities The University of Arizona University of North Carolina - Chapel Hill The Ohio State University University of Florida Texas A&M U. - College Station and Hlth. Science Ctr. Penn State Univ. - Univ. Park and Hershey Medical Ctr. Michigan State University Median Med. Sch. Actual 2010 0.5 2011 0.4 2012 0.4 2013 0.5 2014 0.5 2010 1.1 1.0 1.1 1.0 0.7 0.7 0.5 0.5 0.5 0.5 0.4 0.4 0.3 0.3 0.3 0.2 0.5 2011 1.1 0.9 1.0 1.0 0.6 0.6 0.6 0.5 0.5 0.4 0.4 0.3 0.3 0.3 0.3 0.2 0.5 2012 1.1 1.0 0.9 0.9 0.6 0.6 0.6 0.5 0.5 0.4 0.4 0.4 0.3 0.3 0.3 0.2 0.5 2013 2014 0.5 0.5 UofA - 45 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 This Page Intentionally Left Blank Technology Transfer UofA - 48 Technology Transfer Statistical Exhibits Technology Transfer Activities Invention Disclosures Transacted Invention Disclosures Transacted Year/Year Percentage Change 2010 131 2011 149 14% 2012 142 -5% 2013 144 1% 2014 188 31% New Patent Applications New Patent Applications Year/Year Percentage Change 67 104 55% 98 -6% 76 -22% 81 7% U.S. Patents Issued U.S. Patents Issued Year/Year Percentage Change 13 19 46% 21 11% 27 29% 24 -11% Licenses and Options Executed Licenses and Options Executed Year/Year Percentage Change 64 80 25% 47 -41% 48 2% 72 50% Other Major Agreements Other Major Agreements Year/Year Percentage Change 13 8 -38% 13 63% 6 -54% 8 33% Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total 2010 $718,027 $540,324 $0 $1,258,351 2011 $981,495 $432,790 $0 $1,414,285 2012 $921,965 $627,572 $0 $1,549,537 2013 $926,023 $418,743 $0 $1,344,766 2014 $1,112,331 $515,211 $0 $1,627,542 Sponsored Research Facilitated Total 2010 $4,701,776 2011 $5,918,193 2012 $5,100,000 2013 $1,677,000 2014 $1,670,293 2010 -$248,107 -$188,505 -$173,437 $107,977 2011 -$346,698 -$231,132 -$192,609 $211,056 2012 -$322,687 -$276,590 -$184,779 $137,909 2013 -$271,071 -$233,554 -$155,016 $266,382 2014 -$364,627 -$314,162 -$208,156 $225,026 Royalty Distribution Inventors Laboratories and Units University Undistributed UofA - 49 UofA - 50 Technology Transfer Selected Licenses and Options Executed In addition to the startups discussed herein, a large portion of TLA’s portfolio is licensed or optioned to a wide variety of companies, from large corporations such as Life Technologies and Hayden-McNeil, to smaller organizations such as The Burgundy Group Inc. Example innovations transferred under licenses or options include:  Smart PlannerTM, licensed to The Burgundy Group, is a “bolt-on” to PeopleSoft Campus Solutions that will help student retention and satisfaction by easing the workload on advisors and students, allowing them to focus on student development and academic success. The system considers a student's currently existing transcript and applies the student's chosen degree requirements, automatically generating a recommended, multi-semester course sequence through graduation.  BugSeq: Bacterial Identification in Clinical Infections, licensed to Pharmacline Inc., is a technology that analyzes genomic sequences of all species in an infection, identifying and quantifying sequences that function as biomarkers for predicting clinical outcomes through correlation with prior clinical “phenotypes.” This provides a potential for focus on greater accuracy and precision in diagnosis of clinical infections, and the ability to predict clinical outcomes.  Levels of Emotional Awareness Scale - Electronic Version (eLEAS), licensed to ReThink Group Inc, is based on a performance measure that assesses an individual’s ability to be aware of their emotions. Emotional awareness is conceptualized as a cognitive skill that varies between individuals in the degree to which it has developed, and people differ greatly from one another so this tool has many applications. The five levels of emotional awareness are: 1) physical sensations, 2) action tendencies, 3) single emotions, 4) blends of emotions, and 5) blends of blends of emotions. The questionnaire/scale poses evocative interpersonal situations to the user and elicits open-ended descriptions of the emotional responses of self and others that are scored using specific structural criteria applied to the emotion words used in the responses. Whether working with an individual client, a small clinical population, or a research sample of hundreds, test versions are readily selected and scores are available at the click of a button. UofA - 51 UofA - 52 Technology Transfer Other Notable Activities Technology Commercialization In collaboration with the Faculty Senate, the UA completed the process of adding consideration for work in commercialization to the Promotion and Tenure review process. TLA also successfully worked to revise the UA Intellectual Property Policy to make it more understandable, and to bring policies more in line with general practice, ensuring that inventors involved in startups can appropriately benefit from both from royalties as well as from startup revenues. Industry-sponsored Research This year, TLA completed the business plan work on the Defense and Security Research Institute (DSRI) and initiated similar work on two additional prospective centers: the Arizona Center for Accelerated Biomedical Innovation (ACABI) and the Water and Energy Sustainable Technology (WEST) Center. TLA also identified top prospects in Phoenix for expanding research collaborations, and provided “front door” responses to over 50 inquiries from businesses wishing to engage with the UA. Tech Parks Arizona Tech Parks Arizona (TPA) generates, attracts and retains technology companies and talent in alignment with the research, mission and goals of the University of Arizona. TPA directs the UA Tech Park, the UA Tech Park – The Bridges, and the Arizona Center for Innovation (AzCI). The UA Tech Park on Rita Road is home to 45 companies employing nearly 6,500 individuals. The facility recently executed $3.25 million in improvements and expansions, and transformed its business model for AzCI, placing greater emphasis on product development, testing and evaluation. Tech Parks Arizona also successfully rebranded the Bio Park as the UA Tech Park – The Bridges, and financed and executed the land option to expand the park by 11 acres. Proof-of-Concept In FY 2014, TLA funded $416,091 in awards for POC projects. These funds were spread among projects coming from the College of Optical Sciences (40%), the College of Science (22%), AHSC (16%), the College of Engineering (12%), and the Eller College of Management (10%). Catapult Corporation TLA created the Catapult Corporation, or “Cat Corp,” a 501(c)(3) non-profit corporation – a seed venture capital investment company –to provide early-stage capital to the most promising startup companies emerging from the UA. Cat Corp is designed to be a self-sustaining investment corporation. TLA Catapult Awards TLA planned and hosted the first TLA Catapult Awards to recognize excellence in and commitment to University technology commercialization. Honors were given in categories including Chemistry & Physical Sciences, Biomedical & Life Sciences, Information Technology, Engineering, Industry & Corporate Partnership, and Ecosystem Impact. Engagement Opportunities for Faculty, Researchers and Students To continue its outreach to the UA community and engage faculty and researchers in the ecosystem of invention and commercialization, TLA offered a complete series of workshops and seminars over the course of the year. “Technology Commercialization” workshops, open to all, introduced the various processes and people involved in the commercialization ecosystem. “Idea-to-Asset” seminars provided audiences in specific colleges with real-life case studies about technologies that have been or are being protected and brought to market. TLA also offers various engagement opportunities specifically for UA students, such as (but not limited to) internships with UA startups, Student Innovation Fellowships (sponsored by the Office of the CIO and the IT Student Advisory Board), and Technology Transfer Student Fellowships. UofA - 53 This Page Intentionally Left Blank Strategic Initiatives UofA - 56 UofA - 57