ANNUAL RESEARCH REPORT FY 2015 J U LY 1 , 2 0 1 4 - J U N E 3 0 , 2 0 1 5 This Page Intentionally Left Blank Annual Research Report - FY2015 July 1, 2014 - June 30, 2015 This Page Intentionally Left Blank Table of Contents Arial 12pt. Font Enterprise Metrics Introduction 4 Total Research Expenditures 8 Invention Disclosures Transacted 9 Licenses & Options Executed 10 Introduction Arial 12pt. Font Introduction This Page Intentionally Left Blank Enterprise Metrics Enterprise Size Total Research Expenditures (in Thousands) 1,600,000 1,400,000 1,200,000 1,000,000 800,000 600,000 400,000 200,000 0 ABOR Enterprise Plan Goal Actual Difference Arizona State University Goal Actual Difference Northern Arizona University Goal Actual Difference The University of Arizona Goal Actual Difference 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 1,009,276 1,065,160 1,120,569 1,213,978 1,077,418 1,117,360 1,167,320 1,221,540 1,281,880 1,393,140 996,565 1,039,424 1,065,136 1,046,329 1,099,837 -12,711 -25,736 -55,433 -167,649 22,419 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 452,000 458,412 6,412 2016 481,300 2017 520,600 2018 562,500 2019 607,400 2020 700,000 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 32,600 35,206 2,606 2016 33,900 2017 35,200 2018 36,600 2019 38,000 2020 39,500 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 592,818 606,219 13,401 2016 602,160 2017 611,520 2018 622,440 2019 636,480 2020 653,640 ABOR - 8 Discovery and Scholarly Impact Invention Disclosures Transacted (Northern Arizona University) 35 30 25 20 15 10 5 0 ABOR Enterprise Plan Goal Actual Difference 2011 11 12 1 2012 15 17 2 2013 18 18 0 2014 21 24 3 2015 27 27 0 2016 27 2017 27 2018 30 2019 31 2020 33 Northern Arizona University Goal Actual Difference 2011 11 12 1 2012 15 17 2 2013 18 18 0 2014 21 24 3 2015 27 27 0 2016 27 2017 27 2018 30 2019 31 2020 33 ABOR - 9 Discovery and Scholarly Impact Licenses & Options Executed (Arizona State University & University of Arizona) 200 180 160 140 120 100 80 60 40 20 0 ABOR Enterprise Plan Goal Actual Difference 2011 152 152 0 2012 127 127 0 2013 136 136 0 2014 162 162 0 2015 164 164 0 2016 155 2017 163 2018 167 2019 173 2020 179 Arizona State University Goal Actual Difference 2011 72 72 0 2012 80 80 0 2013 88 88 0 2014 90 90 0 2015 81 81 0 2016 64 2017 67 2018 69 2019 72 2020 75 The University of Arizona Goal Actual Difference 2011 80 80 0 2012 47 47 0 2013 48 48 0 2014 72 72 0 2015 83 83 0 2016 91 2017 96 2018 98 2019 101 2020 104 ABOR - 10 Annual Research Report - FY2015 Introductory Letter I am excited to share the achievements in FY15 in the areas of research, entrepreneurship and innovation at Arizona State Univeristy (ASU). The work of our faculty, students and researchers is resulting in significant impact in our state and around the world. ASU’s thriving knowledge enterprise is built on access, excellence and impact. As a result, we are educating and training more students than ever before, excelling in all aspects of academic endeavor. We were ranked as the most innovative school in the country by U.S. News and World Report, based on a survey of university presidents and leaders. Our students pursue diverse degrees that engage their curiosity, encourage entrepreneurship across disciplines and prepare them to be successful. Our faculty and researchers are engaged in use-inspired research that is expanding our knowledge of the world, and universe, that we live in. The power of the knowledge enterprise lies in fostering creative research that is translated to realworld solutions. This year, among many other notable accomplishments, ASU researchers produced groundbreaking photographs of photosynthesis in action and were instrumental in the development of a therapeutic treatment for Ebola. In addition, our ongoing successful work in the information security discipline was recognized with awards of over $1 million from the U.S. Department of Defense to support research on social media and terrorist networks. In economic development and entrepreneurship, ASU now ranks among the top 50 international universities for the number of patents issued to its researchers in 2014. I invite you to read the details of these achievements and the highlights of many others over the past fiscal year in the report that follows. Sincerely, Sethuraman “Panch” Panchanathan Executive Vice President | ASU Knowledge Enterprise Chief Research and Innovation Officer 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 Business Financed Research Expenditures Average Growth Rate in Business 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 18 19 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 22 23 24 25 26 27 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 30 31 32 33 34 35 36 37 38 39 40 41 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 44 45 46 47 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 50 51 52 53 54 55 Strategic Initiatives Summary 58 This Page Intentionally Left Blank Enterprise Size Enterprise Size Introduction ASU’s knowledge enterprise is constructed around the principles of conducting transdisciplinary, useinspired 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. Total research volume, proposal submissions and extramural awards in FY15 testify to our progress: • $458.4 million in total research expenditures, representing a 7.4% growth over FY14 • $1.65 billion in proposal submissions • $331.4 million in extramural funding 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, including: • 3rd in transdisciplinary and other sciences, ahead of MIT, Johns Hopkins and Brown • 5th in earth sciences, ahead of Berkeley, MIT and Penn State • 6th in social sciences, ahead of Princeton, University of Pennsylvania, Cornell and Duke • 9th in HHS (including NIH) funded research expenditures for institutions without a medical school, ahead of Princeton, University of Maryland and Carnegie Mellon • 10th in total research expenditures among institutions without a medical school, ahead of Caltech, Princeton and Carnegie Mellon • 10th in bioengineering, ahead of Columbia, University of Michigan, Cornell and Rice University • 11th in NASA funded research expenditures, ahead of Harvard, Duke and Johns Hopkins • 18th in humanities, ahead of The Ohio State University, Cornell, Princeton and the University of Illinois at Urbana Champaign ASU - 6 Enterprise Size Selected Accomplishments The U.S. Agency for International Development has awarded Dr. Sayfe Kiaei and colleagues $17.9 million to establish the Partnership Center for Advanced Studies in Energy, a collaboration with Pakistan National University of Science and Technology in Islamabad and the University of Engineering and Technology, Peshawar. Four major grants totaling $17 million were awarded to the Mary Lou Fulton Teachers College by the U.S. Department of Education, including one award for $10.5 million. The grants will help faculty and researchers expand their work in meeting the learning and access needs of Arizona students. Dr. Steven Desch was awarded over $6 million from the NASA Goddard Space Flight Center to study the detectability of life on exoplanets, planets that orbit a star outside our solar system. The U.S. Department of Energy’s Advanced Research Projects Agency-Energy (ARPA-E) program, awarded $2.9 million to Dr. Dan Buttry and colleagues to develop efficient and costeffective carbon-capture technology in what could be an economically enabling breakthrough. Biomedical engineer Sarah Stabenfeldt has received the National Institutes of Health Director’s New Innovator Award to support her work to develop a toolkit for detecting signs of brain injury at the molecular and cellular levels. The grant is providing $2.3 million to fund her work for five years. The U.S. Department of Energy awarded a total of $1.3 million to two ASU engineers, Drs. Mariana Bertoni and Stuart Bowden. They are partnering with industry as part of the DoE's SunShot Solar Manufacturing 2 program. Dr. Jacqueline Wernimont, with FemTechNet, has been awarded $1.2 million from the Digital Media and Learning Competition to develop tools for combating anti-feminist violence online. A team of ASU faculty has been awarded $1.3 million from the U.S. Department of Defense to research the interaction and impact between social media and terrorist networks. Dr. Jagdev Sharma has received a $1.4 million supplement from the Bill and Melinda Gates Foundation to fund his project to establish and distribute a specific breed of chicken in Uganda. The chicken provides more meat and eggs than native breeds and is well adapted for the area. A $1.7 million grant renewal from the National Institute on Drug Abuse will allow Dr. Janet Neisewander to continue her research on creating a treatment for cocaine addiction. The U.S. Department of Health and Human Services Administration for Children, Youth and Families awarded a five-year, $1.24 million grant to Drs. Dominique Roe-Sepowitz and Judy Krysik. The grant will help to better identify children who are victims of sex trafficking in Arizona and provide training to child welfare professionals to improve outcomes. ASU - 7 Enterprise Size Total Research Expenditures (in Thousands) 700,000 Median 600,000 500,000 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 Pennsylvania State University - University Park Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign University of Texas - Austin Michigan State University 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 X X 2011 355,215 348,525 6,690 2012 385,959 370,000 15,959 2013 405,154 390,000 15,154 2014 426,651 411,000 15,651 2015 458,412 452,000 6,412 2011 1,148,533 1,111,642 982,357 847,419 832,126 692,708 432,306 545,669 632,171 454,248 495,382 443,893 355,215 230,411 184,096 152,554 520,526 2012 1,109,008 1,169,779 1,003,375 826,173 766,513 694,778 434,901 583,754 621,538 507,061 502,406 446,429 385,959 225,378 184,486 151,801 545,408 2013 1,192,513 1,123,501 966,659 858,378 793,373 729,793 493,320 743,487 634,132 515,707 491,998 435,377 405,154 250,877 197,897 143,170 574,920 2014 1,176,340 1,108,564 948,197 876,870 815,075 697,473 644,116 621,733 585,251 526,906 485,051 449,147 426,651 252,548 206,039 152,511 603,492 2015 ASU - 8 458,412 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% Actual 4% 2% Median 0% NSF Adj. ABOR Peer Group Rutgers the State University of NJ - New Brunswick Arizona State University University of Illinois - Urbana-Champaign Michigan State University Indiana University - Bloomington Florida State University University of Minnesota - Twin Cities University of Washington - Seattle University of Iowa Pennsylvania State University - University Park University of Connecticut - Storrs University of Wisconsin - Madison Ohio State University - Columbus University of Maryland - College Park University of California - Los Angeles University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual X X X X X X X X X X X X X X 2011 11.1% 2012 11.2% 2013 7.2% 2014 6.3% 2015 5.9% 2011 14.1% 11.1% 3.3% 8.5% 7.0% 8.3% 7.5% 15.1% 15.6% 3.8% 11.6% 8.0% 5.9% 7.9% 4.1% 8.8% 8.2% 2012 11.7% 11.2% 1.4% 10.8% 5.7% 5.2% 3.8% 13.4% 11.7% 1.6% 5.3% 7.1% 2.6% 7.2% 4.1% 7.3% 6.4% 2013 5.0% 7.2% 13.4% 6.2% 3.7% 3.5% 3.1% 5.5% -0.6% 2.3% 2.1% 3.1% 1.9% 3.0% 1.1% 2.5% 3.1% 2014 14.9% 6.3% 6.0% 5.2% 3.9% 3.3% 1.2% 0.9% 0.4% 0.3% 0.1% 0.0% -0.5% -0.7% -1.1% -2.5% 0.7% 2015 ASU - 9 5.9% 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) 400,000 350,000 Median 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 Minnesota - Twin Cities University of California - Los Angeles Ohio State University - Columbus Pennsylvania State University - University Park Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign University of Maryland - College Park University of Texas - Austin 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 X X 2011 185,766 2012 194,376 2013 201,363 2014 196,270 2015 196,528 2011 948,976 593,633 489,480 563,560 493,130 404,065 239,908 323,454 338,780 355,437 240,837 283,627 185,766 140,850 86,727 74,143 331,117 2012 909,652 580,661 485,462 539,054 445,635 462,868 279,161 359,989 340,180 354,873 268,952 269,734 194,376 140,419 90,579 79,727 347,527 2013 928,193 555,875 494,206 501,368 456,590 482,785 295,028 468,798 342,778 372,633 260,610 255,329 201,363 148,413 87,853 85,852 357,706 2014 909,034 548,388 489,767 465,170 454,484 449,702 360,157 343,275 333,409 332,758 261,826 235,527 196,270 151,701 85,165 84,592 338,342 2015 ASU - 10 196,528 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% 4% 2% 0% Actual Median -2% NSF Adj. ABOR Peer Group Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign Indiana University - Bloomington Pennsylvania State University - University Park Michigan State University Florida State University Arizona State University University of Minnesota - Twin Cities University of Maryland - College Park University of Connecticut - Storrs University of Washington - Seattle University of Texas - Austin Ohio State University - Columbus University of Wisconsin - Madison University of Iowa University of California - Los Angeles Median Med. Sch. Actual X X X X X X X X X X X X X X 2011 14.3% 2012 13.5% 2013 5.4% 2014 1.9% 2015 0.4% 2011 23.6% 6.6% 3.2% 4.0% 16.8% 8.5% 14.3% 10.4% 12.9% 16.4% 16.4% 3.4% 14.1% 7.8% 7.4% 6.3% 9.4% 2012 23.9% 7.7% 0.8% 6.4% 18.2% 6.4% 13.5% 7.7% 11.6% 21.6% 14.7% 4.9% 10.5% 4.7% 2.5% 5.2% 7.7% 2013 9.6% 16.0% 6.4% 6.0% 7.0% 3.3% 5.4% 5.3% 5.0% 5.5% 4.1% 2.1% 5.4% 0.8% -3.3% -2.2% 5.3% 2014 14.7% 4.9% 4.6% 4.0% 3.0% 2.5% 1.9% 0.0% -0.5% -0.5% -1.4% -2.0% -2.5% -2.6% -6.0% -6.2% -0.2% 2015 ASU - 11 0.4% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Business Financed Research Expenditures (in Thousands) 25,000 Median 20,000 15,000 Actual 10,000 5,000 0 NSF Adj. ABOR Peer Group Ohio State University - Columbus University of Texas - Austin University of Washington - Seattle University of California - Los Angeles University of Illinois - Urbana-Champaign Pennsylvania State University - University Park University of Minnesota - Twin Cities Rutgers the State University of NJ - New Brunswick University of Wisconsin - Madison University of Iowa Arizona State University Michigan State University University of Maryland - College Park University of Connecticut - Storrs Indiana University - Bloomington Florida State University Median Med. Sch. Actual X X X X X X X X X X X X X X 2011 9,891 2012 13,643 2013 12,242 2014 15,518 2015 14,312 2011 103,564 68,479 20,780 48,961 34,639 56,342 31,360 15,193 27,968 13,461 9,891 3,566 6,133 4,424 5,584 1,518 17,987 2012 100,986 67,890 19,731 51,311 37,433 32,203 29,657 15,972 23,152 13,892 13,643 5,084 6,353 3,744 4,276 1,691 17,852 2013 110,551 71,354 42,296 58,972 42,101 30,379 28,795 13,982 22,168 14,812 12,242 7,497 7,124 4,779 3,303 1,430 18,490 2014 118,297 71,349 49,963 45,193 40,971 29,447 28,164 24,284 23,056 17,183 15,518 8,077 6,967 5,721 3,728 1,790 23,670 2015 ASU - 12 14,312 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Business Financed Research Expenditures Over 3 Years 20% 15% 10% Median 5% Actual 0% -5% -10% -15% NSF Adj. ABOR Peer Group University of Washington - Seattle Michigan State University Rutgers the State University of NJ - New Brunswick Arizona State University University of Connecticut - Storrs University of Iowa Florida State University University of Illinois - Urbana-Champaign Ohio State University - Columbus University of Maryland - College Park University of Texas - Austin University of California - Los Angeles University of Minnesota - Twin Cities University of Wisconsin - Madison Indiana University - Bloomington Pennsylvania State University - University Park Median Med. Sch. Actual X X X X X X X X X X X X X X 2011 -13.2% 2012 -3.8% 2013 4.0% 2014 18.1% 2015 2.9% 2011 -18.0% -24.1% 12.0% -13.2% -1.2% 42.4% 39.4% 39.2% -6.5% -16.9% 17.3% 1.8% 3.8% 30.8% -3.1% -11.6% 0.3% 2012 -20.9% -8.8% 12.9% -3.8% -6.9% -3.1% 19.9% 44.1% -5.3% -16.0% 11.8% 3.2% -2.6% 29.3% -11.8% -27.0% -3.5% 2013 10.6% 28.7% 10.3% 4.0% -0.9% -1.4% 19.2% 58.0% -2.3% -5.7% 8.5% 3.3% 0.7% 39.9% -2.0% -16.5% 3.7% 2014 42.5% 32.6% 22.1% 18.1% 10.7% 8.6% 7.0% 6.0% 4.7% 4.5% 1.4% -1.2% -3.5% -5.8% -11.1% -17.2% 5.3% 2015 ASU - 13 2.9% 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 X X 2011 847,836 2012 847,836 2013 968,595 2014 968,595 2015 982,738 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 2,551,372 2,274,375 1,874,449 1,478,523 1,106,675 847,836 769,581 659,913 591,765 511,000 531,138 1,462,917 2013 3,672,847 3,108,558 2,973,355 2,774,278 2,717,533 2,380,552 2,253,911 1,796,285 1,455,474 1,167,010 968,595 769,581 700,757 637,564 553,000 513,187 1,625,880 2014 3,672,847 3,108,558 2,973,355 2,774,278 2,717,533 2,380,552 2,253,911 1,796,285 1,455,474 1,167,010 968,595 769,581 700,757 637,564 553,000 513,187 1,625,879.5 2015 ASU - 14 982,738 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 500 Actual 450 400 Median 350 300 250 200 150 100 50 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of Iowa University of Maryland - College Park Rutgers the State University of NJ - New Brunswick Florida State University Arizona State University University of Texas - Austin University of Wisconsin - Madison University of California - Los Angeles Indiana University - Bloomington University of Connecticut - Storrs Pennsylvania State University - University Park Ohio State University - Columbus University of Minnesota - Twin Cities Michigan State University University of Illinois - Urbana-Champaign Median Med. Sch. Actual X X X X X X X X X X X X X X 2011 419 2012 455 2013 418 2014 440 2015 466 2011 613 673 644 391 451 419 428 379 373 311 282 271 575 240 200 118 385 2012 592 676 653 393 441 455 420 398 381 312 286 272 530 234 223 126 396 2013 664 621 639 423 454 418 436 405 356 310 279 307 267 234 229 239 380 2014 655 641 630 552 457 440 402 400 349 323 297 293 274 239 234 200 374.3 2015 ASU - 15 466 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Faculty Population 1,780 Median 1,760 Actual 1,740 1,720 1,700 1,680 1,660 1,640 X X X X X X NSF Adj. ABOR Peer Group Ohio State University - Columbus University of Minnesota - Twin Cities University of Wisconsin - Madison University of Texas - Austin Rutgers the State University of NJ - New Brunswick Michigan State University University of Illinois - Urbana-Champaign Pennsylvania State University - University Park Arizona State University University of California - Los Angeles University of Washington - Seattle University of Iowa University of Maryland - College Park University of Connecticut - Storrs Indiana University - Bloomington Florida State University Median Med. Sch. Actual X X X X X X X X 2011 1,758 2012 1,693 2013 1,704 2014 1,742 2015 1,756 2011 2,560 2,277 2,057 1,954 1,518 1,906 1,778 1,759 1,758 1,822 1,536 1,527 1,463 1,200 1,351 1,040 1,759 2012 2,511 2,251 2,014 1,910 1,546 1,883 1,707 1,763 1,693 1,776 1,525 1,538 1,501 1,235 1,356 989 1,700 2013 2,489 2,412 2,067 1,910 1,514 1,732 1,710 1,731 1,704 1,747 1,487 1,576 1,483 1,264 1,344 1,027 1,707 2014 2,508 2,408 2,082 1,898 1,919 1,825 1,753 1,741 1,742 1,725 1,498 1,551 1,476 1,320 1,357 1,039 1,742 2015 2,491 2,419 2,124 1,899 1,885 1,838 1,788 1,777 1,756 1,734 1,526 1,525 1,514 1,377 1,373 1,067 1,767 ASU - 16 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 Actual 250,000 200,000 150,000 100,000 50,000 0 NSF Adj. ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison Pennsylvania State University - University Park University of Minnesota - Twin Cities University of Illinois - Urbana-Champaign Rutgers the State University of NJ - New Brunswick University of Maryland - College Park Ohio State University - Columbus University of Texas - Austin University of Iowa Michigan State University Arizona State University Florida State University Indiana University - Bloomington University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X X X X X X X 2011 202,056 2012 227,973 2013 237,766 2014 244,920 2015 261,055 2011 747,743 539,164 540,419 393,808 372,165 306,900 284,787 338,607 325,049 323,527 290,696 238,325 202,056 221,549 136,266 127,129 315,214 2012 727,218 564,963 580,824 394,089 367,025 341,977 281,307 334,714 305,262 325,413 290,266 269,284 227,973 227,885 136,052 122,916 315,337 2013 801,959 553,325 543,542 421,602 355,878 434,788 325,839 331,759 318,752 332,006 276,254 297,752 237,766 244,281 147,245 113,268 328,799 2014 785,274 549,679 532,451 400,616 364,149 354,668 335,652 328,625 324,990 308,351 289,585 288,716 244,920 243,068 151,834 115,539 326,808 2015 ASU - 17 261,055 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) 56,000 Actual 54,000 52,000 50,000 48,000 46,000 44,000 42,000 Actual 2011 46,422 ASU - 18 2012 52,235 2013 46,097 2014 52,731 2015 54,243 Enterprise Size Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years 10% 9% 8% 7% 6% 5% 4% 3% 2% Actual 1% 0% ABOR Enterprise Plan Actual 2011 5.9% ASU - 19 2012 9.2% 2013 6.8% 2014 5.1% 2015 1.8% This Page Intentionally Left Blank Discovery and Scholarly Impact Discovery and Scholarly Impact Introduction Our knowledge enterprise fuels a pipeline of fundamental research that translates to real-world solutions and marketplace products that have a profound impact on people’s lives. In 2014, two U.S. aid workers infected with the Ebola virus were administered a therapeutic treatment that was produced in tobacco plants using a technique pioneered by Dr. Charles Arntzen at the Biodesign Institute. Both aid workers recovered, and Arntzen was named the most creative person of the year by the magazine Fast Company. Researchers from the Center for Negative Carbon Emissions, led by faculty in the Ira A. Fulton Schools of Engineering, have developed a new air capture technology for carbon dioxide reduction. The researchers are also looking at ways to use the captured carbon to expand a sustainable economy. Working with the prestigious Nature Publishing Group, ASU faculty have launched the journal npj Microgravity, designed to be the premier journal covering research that both enables and is enabled by spaceflight. Editor-in-chief Dr. Cheryl Nickerson, a professor in ASU’s Biodesign Institute, is internationally recognized for her research using the microgravity environment of spaceflight to study the effects of physical forces on infectious disease mechanisms. The excitement of discovery is a language understood by the young and old, and ASU takes pride in sharing research, knowledge and inspiration with our community. For example during fiscal year 2015, the ASU Origins Project dialogues hosted intellectual giant Noam Chomsky and others for discussions on topics ranging from modern language to the origins of the universe. Each year the Marston Theater at ISTB IV hosts hundreds of middle school students as well as the general public for programs such as narrated video presentations exploring our universe in 3-D stereographic vision. The 2015 Night of the Open Door event welcomed an estimated 15,000 community members and visitors to the Tempe, West, Downtown and Polytechnic campuses. Visitors came from 50 cities in Arizona as well as from 14 different states. During the event, school-age children and families visited buildings on all campuses, toured facilities normally closed to visitors, and took part in a range of activities. The weeklong Sustainability Solutions Festival also engaged more than 6,400 people in sustainability-themed events including film screenings, lectures, a picnic in the park and speakers from the GreenBiz Forum. ASU - 22 Discovery and Scholarly Impact Selected Accomplishments Each year, ASU faculty members publish their discoveries and scholarship in the best peer-refereed journals. Examples from the past year include: • An account of the 2013 discovery of the earliest evidence of our human genus, found in Ethiopia by a team of ASU scientists and students, was published in the online version of Science. • In new research published in PLOS ONE, Dr. Cheryl Nickerson and collaborators explored a radical approach to the repair and transplantation of scarred lungs. • Research led by Dr. Karl Sieradzki has uncovered new knowledge about the causes of stresscorrosion cracking. The research was published online in Nature Materials. • Dr. Devoney Looser and her colleague at the University of Missouri have discovered previously unpublished historic letters that shed light on the life of novelist Jane Austen. The letters and an accompanying article were published in the journal Modern Philology. • New ways to diagnose Alzheimer's and other neurological diseases were published in the Journal of Alzheimer's Disease. Dr. Visar Berisha conducted the research by studying transcripts of news conferences held by former Presidents Ronald Reagan and George H.W. Bush. • Dr. Carlo Maley and colleagues have published two important papers furthering our understanding of cancer: in Science Translational Medicine they described behavior of acute myeloid leukemia, the most treatment-resistant and lethal forms of blood cancer; in Nature Reviews Clinical Oncology they use a paleontological view of species extinction to address the challenges of how to drive cancer extinct and how to achieve better prognoses. • In a new study headed by Drs. Josh LaBaer and Karen Anderson, three autoantibodies were identified as promising biomarkers for ovarian cancer. The research is the first demonstration of Nucleic Acid Protein Programmable Array technology and was published in the Journal of Proteome Research. • Research led by Dr. Dan Buttry explores a new energy storage technology that could give batteries an even longer life cycle. The research was recently published in the journal Nature Communications. • In a first-of-its-kind study, Dr. Petra Fromme joined an international team using techniques of X-ray crystallography to understand opioid receptors. This research is a foundation for creating powerful new analgesics, capable of blocking pain without generating tolerance or dependency. Their research findings appear in the journal Nature Structural and Molecular Biology. ASU - 23 Discovery and Scholarly Impact Invention Disclosures Transacted 300 Actual 250 200 Median 150 100 50 0 AUTM 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 Arizona State University University of Illinois - Urbana-Champaign Rutgers the State University of NJ - New Brunswick University of Iowa Michigan State University Pennsylvania State University - University Park 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 X X X X X X X X X X X X X 2011 170 2012 239 2013 250 2014 261 2015 270 2011 356 357 299 250 216 170 182 167 68 110 124 63 64 40 2012 462 373 343 321 319 239 223 172 102 127 114 74 74 48 2013 410 386 359 331 384 250 181 127 96 122 137 88 58 42 2014 421 417 371 343 305 261 179 147 139 131 101 87 61 35 2015 169 197 159 163 X ASU - 24 270 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 6.00 Actual 5.00 4.00 Median 3.00 2.00 1.00 0.00 NSF Adj. AUTM Adj. ABOR Peer Group Arizona State University Indiana University - Bloomington University of California - Los Angeles University of Minnesota - Twin Cities University of Wisconsin - Madison Ohio State University - Columbus University of Washington - Seattle University of Iowa University of Illinois - Urbana-Champaign Michigan State University Florida State University Rutgers the State University of NJ - New Brunswick University of Connecticut - Storrs Pennsylvania State University - University Park University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual X X X X X X X X X X X X X X X X X 2011 4.8 2012 6.2 2013 6.2 2014 6.1 2015 5.9 2011 4.8 3.4 3.0 3.0 3.2 2.6 3.1 1.5 3.3 2.4 2.8 3.9 2.6 1.8 2012 6.2 4.0 3.4 3.9 3.2 4.2 4.2 2.3 3.8 2.5 3.3 3.9 3.2 1.6 2013 6.2 4.5 3.7 3.9 3.4 4.8 3.4 2.2 2.4 2.4 2.3 2.6 2.9 1.9 2014 6.1 4.2 3.9 3.9 3.8 3.7 3.6 3.1 2.9 2.5 2.4 2.3 2.3 1.4 2015 5.9 3.0 3.6 3.2 3.3 X ASU - 25 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact U.S. Patents Issued 70.0 Actual 60.0 Median 50.0 40.0 30.0 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 Rutgers the State University of NJ - New Brunswick University of Minnesota - Twin Cities Arizona State University Ohio State University - Columbus Pennsylvania State University - University Park Florida State University Michigan State University 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 X X X X X X X X X X X X X 2011 18 2012 26 2013 48 2014 56 2015 62 2011 156 56 70 68 27 41 18 30 32 36 38 31 11 7 2012 153 74 61 76 35 59 26 41 34 27 31 31 21 4 2013 157 95 94 72 40 64 48 62 35 43 46 24 12 6 2014 166 97 82 78 77 65 56 54 47 39 32 25 12 12 2015 34 34 47 55 X ASU - 26 62 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 1.60 1.40 Actual 1.20 1.00 0.80 Median 0.60 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 Illinois - Urbana-Champaign Rutgers the State University of NJ - New Brunswick University of California - Los Angeles University of Connecticut - Storrs University of Minnesota - Twin Cities University of Washington - Seattle Pennsylvania State University - University Park Ohio State University - Columbus Michigan State University Indiana University - Bloomington University of Iowa University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual X X X X X X X X X X X X X X X X X 2011 0.5 2012 0.7 2013 1.2 2014 1.3 2015 1.4 2011 1.6 1.4 0.5 1.2 0.6 0.6 0.7 0.5 0.6 0.5 0.4 0.8 0.4 0.7 2012 1.2 1.3 0.7 1.3 0.8 0.7 1.4 0.7 0.6 0.5 0.5 0.6 0.2 0.7 2013 1.7 1.4 1.2 1.0 0.8 1.0 0.8 0.7 0.8 0.5 0.8 0.9 0.3 0.6 2014 1.5 1.5 1.3 1.3 1.2 1.0 0.8 0.7 0.7 0.7 0.7 0.6 0.6 0.6 2015 0.6 0.7 0.8 0.8 X ASU - 27 1.4 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 a major driver of the Arizona economy, consistently developing innovative, game-changing ideas and technologies. By embedding entrepreneurship into every unit at the university, and through partnerships with companies such as Starbucks and the nonprofit venture edX, we ensure that all students are able to take advantage of our programs to reach their full potential and make their own contributions to the 21st century’s knowledge-driven markets. We are proud to lead several initiatives reaching out to minority students and women. Their engagement in essential STEM fields increases the diversity in both research and entrepreneurial arenas. We lead the nation in hires of women and minority women, and with projects like CompuGirls and the Women’s Entrepreneurship Initiative, we are helping increase gender equity in STEM fields and entrepreneurship. This year the White House announced that ASU would lead the National STEM Collaborative, a consortium of 19 institutions of higher education and nonprofit partners committed to supporting minority girls and women in STEM fields. We are also partnering with Cisco Systems to engage minority youth in entrepreneurship and teaming up with the City of Gilbert and the Southeast Regional Library to create SPARK Space, which supports and empowers local business owners by providing entrepreneurship resources such as mentorship opportunities and the ASU Startup School program. In addition to stimulating the Arizona economy, ASU helps drive international economic development. For example, President Michael Crow led an ASU delegation on a mission to Mexico City to enhance strategic relations with Mexican higher education institutions, federal agencies and international agencies. Additionally, ASU partnered with two Pakistani universities to establish the Partnership Center for Advanced Studies in Energy with an $18 million U.S. Agency for International Development grant. PCASE will work toward sustainable energy solutions that can be implemented in Pakistan. This will also serve as an innovative way of addressing economic opportunity for youth in the region as well as protecting our national security interests in Pakistan. ASU - 30 Economic Development Selected Accomplishments The International Economic Development Council awarded the 2015 Silver Excellence in Economic Development Award to SkySong, the ASU Scottsdale Innovation Center. The Biodesign Institute has made an economic impact of $1.5 billion in its first decade of operation, according to a study from the Seidman Research Institute at ASU’s W. P. Carey School of Business. HealthTell, a spinout company based on research developed at the Biodesign Institute, was named one of the top five startups in the San Francisco Business Times. HealthTell is developing a simple blood test designed to measure a person’s immune response to cancer, giving patients and their doctors early information about the best course of treatment. ASU spinout company Thync has raised $13 million in funding. Thync is engineering the first lifestyle wearable that uses neurosignaling algorithms – waveforms that signal neural pathways – to shift and optimize people's state of mind in areas related to energy, calm and focus. Several entrepreneurial ventures led by Herberger Institute for Design and the Arts students, faculty and alumni swept the top prizes at both Art Tank East and Art Tank West, taking home over $30,000 in seed money distributed by the Arizona Commission on the Arts. Dr. Jeffrey La Belle will improve and expand the use of tears as a biomarker to detect various ocular disorders with nearly $500,000 in funding from Advanced Tear Diagnostics. ASU continues to build a strong and productive partnership with Mayo Clinic and is developing projects with Mayo Clinic Hospital in Phoenix that will stimulate economic development. The ASU Lodestar Center for Philanthropy and Nonprofit Innovation recently received a grant from Public Allies National Office for over $500,000 with an additional $560,000 in local funding. This is enabling our Public Allies Arizona program to recruit and engage 43 new participants this year. ASU - 31 Economic Development Intellectual Property Income (in Thousands) 5,000.00 4,500.00 4,000.00 3,500.00 3,000.00 Actual 2,500.00 2,000.00 1,500.00 1,000.00 500.00 0.00 ABOR Enterprise Plan Actual 2011 2,307 ASU - 32 2012 3,715 2013 3,275 2014 4,328 2015 2,588 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 120,000 100,000 80,000 60,000 Actual 40,000 20,000 0 ABOR Enterprise Plan Actual 2011 64,946 ASU - 33 2012 96,251 2013 80,840 2014 101,433 2015 56,453 Economic Development Licenses and Options Income (in Thousands) 5,000.00 4,500.00 4,000.00 Median 3,500.00 3,000.00 2,500.00 2,000.00 1,500.00 Actual 1,000.00 500.00 0.00 AUTM Adj. ABOR Peer Group University of Washington - Seattle University of Wisconsin - Madison University of California - Los Angeles University of Minnesota - Twin Cities Rutgers the State University of NJ - New Brunswick University of Illinois - Urbana-Champaign Michigan State University Arizona State University Ohio State University - Columbus Indiana University - Bloomington University of Iowa Pennsylvania State University - University Park 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 X 2011 1,059 2012 1,900 2013 2,027 2014 3,377 2015 1,436 2011 67,362 57,730 16,153 10,079 5,463 6,363 3,616 1,059 1,420 4,030 6,285 2,541 1,468 455 2012 76,956 41,100 17,833 45,652 5,515 6,410 3,704 1,900 2,170 2,607 7,234 2,675 1,133 570 2013 99,491 94,170 23,423 38,030 7,734 4,914 3,302 2,027 2,105 2,207 1,205 1,958 1,036 579 2014 104,767 43,400 38,786 26,075 13,413 5,255 3,756 3,377 2,199 2,125 1,626 1,316 1,064 1,015 2015 4,746 4,609 2,755 3,566 X ASU - 34 1,436 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 140,000 120,000 100,000 Median 80,000 60,000 40,000 Actual 20,000 0 X X X X X AUTM Adj. X X X X X X ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of Wisconsin - Madison University of Minnesota - Twin Cities Rutgers the State University of NJ - New Brunswick Indiana University - Bloomington University of Illinois - Urbana-Champaign Arizona State University Michigan State University University of Connecticut - Storrs Florida State University University of Iowa Ohio State University - Columbus Pennsylvania State University - University Park University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual X X 2011 29,823 2012 49,237 2013 50,023 2014 79,151 2015 31,333 2011 586,506 164,431 519,322 118,932 126,363 218,891 116,601 29,823 79,596 29,842 63,711 141,587 17,065 36,677 2012 693,916 177,730 351,348 552,566 126,809 141,288 109,813 49,237 73,041 37,580 50,274 162,043 28,304 38,497 2013 834,298 242,309 838,183 443,050 156,780 111,518 66,088 50,023 64,035 40,451 41,304 27,685 26,534 26,834 2014 890,620 409,050 391,497 297,360 208,244 103,143 84,528 79,151 71,281 66,578 42,141 36,197 26,973 18,862 2015 117,766 118,311 65,062 81,839 X ASU - 35 31,333 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 Goal 80.0 70.0 60.0 50.0 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 Michigan State University Ohio State University - Columbus University of Wisconsin - Madison Rutgers the State University of NJ - New Brunswick University of California - Los Angeles University of Illinois - Urbana-Champaign University of Iowa Pennsylvania State University - University Park Florida State University Indiana University - Bloomington 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 X Median 2011 72 72 0 2012 80 80 0 2013 88 88 0 2014 90 90 0 2015 81 81 0 2011 194 113 72 40 25 62 69 46 55 24 20 10 14 4 2012 209 75 80 32 33 60 58 34 46 21 18 13 14 5 2013 260 91 88 33 50 63 59 43 46 29 31 15 13 11 2014 265 154 90 70 68 68 58 45 38 32 31 20 14 13 2015 43 34 45 52 X ASU - 36 81 Rank 1 2 3 4 5 5 7 8 9 10 11 12 13 14 Economic Development Licenses and Options Executed per $10 Million in Total Research Expenditures 2.50 2.00 Actual 1.50 1.00 0.50 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of Washington - Seattle Arizona State University University of Minnesota - Twin Cities Michigan State University Rutgers the State University of NJ - New Brunswick University of Connecticut - Storrs Ohio State University - Columbus Florida State University University of Iowa Indiana University - Bloomington University of Wisconsin - Madison University of Illinois - Urbana-Champaign University of California - Los Angeles Pennsylvania State University - University Park University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual X X X X X X X X X X X X X X X X X Median 2011 2.0 2012 2.1 2013 2.2 2014 2.1 2015 1.8 2011 1.7 2.0 1.3 0.9 1.6 0.3 0.3 0.4 0.5 0.8 0.6 1.0 0.5 0.3 2012 1.9 2.1 0.9 0.6 1.3 0.4 0.4 0.6 0.5 0.8 0.5 0.8 0.3 0.3 2013 2.2 2.2 1.1 0.6 1.2 0.8 0.6 0.6 0.7 0.7 0.6 0.6 0.4 0.4 2014 2.3 2.1 1.8 1.3 0.9 0.9 0.8 0.8 0.7 0.7 0.6 0.6 0.5 0.4 2015 0.7 0.6 0.6 0.8 X ASU - 37 1.8 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 Median 8.0 6.0 4.0 2.0 0.0 AUTM Adj. ABOR Peer Group University of California - Los Angeles University of Washington - Seattle University of Minnesota - Twin Cities Ohio State University - Columbus Arizona State University University of Iowa University of Wisconsin - Madison Pennsylvania State University - University Park University of Illinois - Urbana-Champaign Indiana University - Bloomington Rutgers the State University of NJ - New Brunswick University of Connecticut - Storrs Florida State University Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual X X X X X X X X X X X 2011 10 2012 9 2013 11 2014 12 2015 12 2011 19 9 9 6 10 2 4 4 12 3 7 2013 17 17 14 10 11 6 7 9 6 6 2 2 3 1 2014 19 18 15 14 12 11 10 8 6 4 4 3 2 0 2015 4 1 2012 13 9 12 5 9 4 4 4 5 5 5 3 2 3 6 5 7 9 X X X ASU - 38 12 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.30 Actual 0.25 0.20 Median 0.15 0.10 0.05 0.00 NSF Adj. AUTM Adj. ABOR Peer Group Arizona State University University of Iowa University of California - Los Angeles University of Connecticut - Storrs Indiana University - Bloomington Ohio State University - Columbus University of Minnesota - Twin Cities University of Washington - Seattle Pennsylvania State University - University Park University of Illinois - Urbana-Champaign University of Wisconsin - Madison Florida State University 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 X X X X X X X X X X X X X X X X X 2011 0.3 2012 0.2 2013 0.3 2014 0.3 2015 0.3 2011 0.3 0.0 0.2 2013 0.3 0.1 0.2 0.2 0.3 0.1 0.2 0.1 0.1 0.1 0.1 0.1 0.0 0.0 2014 0.3 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.1 0.1 0.1 0.1 0.1 0.0 2015 0.3 0.1 0.1 0.1 0.1 0.1 0.2 0.0 0.2 0.2 0.0 2012 0.2 0.1 0.1 0.2 0.3 0.1 0.1 0.1 0.1 0.1 0.0 0.1 0.1 0.1 0.1 0.1 0.1 0.2 X ASU - 39 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Ph.D. Degrees Conferred 600 500 Actual 400 300 200 100 0 ABOR Enterprise Plan Actual 2011 425 ASU - 40 2012 442 2013 463 2014 442 2015 513 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 12.50 12.00 11.50 Actual 11.00 10.50 10.00 9.50 ABOR Enterprise Plan Actual 2011 12.0 ASU - 41 2012 11.5 2013 11.4 2014 10.4 2015 11.2 This Page Intentionally Left Blank Leadership and Recognition Leadership and Recognition Introduction ASU’s academic and research pursuits garner increasing national and international attention. Examples this year include: • ASU has been named one of the nation’s most sustainable colleges for the sixth year in a row by The Princeton Review's "Guide to 353 Green Colleges." • For the second year, ASU has been selected as one of 20 leading U.S. universities to serve as an academic institute for the Mandela Washington Fellowship for Young African Leaders, the flagship program of President Obama’s Young African Leaders Initiative. • Project Humanities received high praise from the Dalai Lama, who lauded the award-winning initiative for its Humanity 101 community outreach with a letter of recommendation and words of encouragement to continue the work. • During the White House Science Fair 2015, nationwide initiatives aimed at improving citizen science were highlighted, including a new lending library, created through a collaboration between ASU's Center for Engagement and Training in Science and Society and others. • Four Leadership in Energy & Environmental Design (LEED) awards were given to ASU for the outstanding design, planning and construction of campus buildings. Recognition of our exceptional faculty is reflected by memberships in prestigious academies such as: • 18 members of the American Academy of Arts and Sciences • 18 fellows of the American Academy of Nursing • 66 fellows of the American Association for the Advancement of Science • 23 members of the Institute of Electrical and Electronics Engineers • 6 members of the National Academy of Engineering • 3 fellows of the National Academy of Inventors • 22 members of the National Academy of Medicine • 5 members of the National Academy of Public Administration • 13 members of the National Academy of Sciences • 63 members of the National Science Foundation Early Career Development Program ASU - 44 Leadership and Recognition Selected Accomplishments Faculty members inducted to national academies in FY15 include: • Dr. Joan Silk, professor in the School of Human Evolution and Social Change, were inducted into the American Academy of Arts and Sciences. • Dr. Daniel Bliss, associate professor, and Dr. Yong-Hang Zhang, professor, in the School of Electrical, Computer and Energy Engineering, were inducted into the Institute of Electrical and Electronics Engineers. • Dr. Jennifer Mensik, faculty associate, and Dr. Adriana Perez, assistant professor, in the College of Nursing and Health Innovation, were inducted to the American Academy of Nursing. • Dr. Stuart Lindsay, professor in the Biodesign Institute, and Dr. Michael Kozicki, professor in the School of Electrical, Computer and Energy Engineering, were named fellows of the National Academy of Inventors. ASU faculty have also earned prestigious national honors and appointments, such as: • Dr. Nancy Rodriguez, professor in the School of Criminology and Criminal Justice, has been appointed by President Barack Obama to be the next director of the Department of Justice’s National Institute of Justice. • Dr. Lawrence Krauss, Foundation Professor in the department of physics, has been named the 2015 Humanist of the Year by the American Humanists Association. • Dr. Michelene “Micki” Chi, professor in the Mary Lou Fulton Teachers College, won the 2015 E. L. Thorndike Award for Lifetime Contribution in Research from the American Psychological Association. • Dr. Barbara Durand, emeritus professor and dean of the College of Nursing & Health Innovation, was recognized as one of the American Academy of Nursing Living Legends. • Dr. Sethuraman “Panch” Panchanathan, professor, executive vice president for the knowledge enterprise, and the university’s chief research and innovation officer, became the chair-elect of the Council on Research at the Association of Public and Land Grant Universities. • Dr. T. Agami Reddy, professor in the Design School, was awarded the prestigious 2014 Yellott Award by the Solar Energy Division of the American Society of Mechanical Engineers. • Dr. Barbara Ainsworth, professor in the School of Nutrition and Health Promotion, received a Lifetime Achievement Award from the President's Council on Fitness. ASU - 45 Leadership and Recognition National Academy Members 35 Median 30 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 Michigan State University Indiana University - Bloomington Florida State University University of Connecticut - Storrs Median Med. Sch. Actual X X X X X X X X X X 2011 20 2012 20 2013 21 2014 23 2015 25 2011 104 95 67 68 57 39 35 28 30 23 22 20 8 10 7 1 29 2012 109 94 68 67 55 38 34 30 30 24 21 20 9 10 7 1 30 2013 110 95 70 69 57 39 37 32 31 26 22 21 10 8 6 1 32 2014 2015 23 25 ASU - 46 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Leadership and Recognition National Academy Members per $10 Million in Total Research Expenditures 0.60 Actual Median 0.50 0.40 0.30 0.20 0.10 0.00 NSF Adj. ABOR Peer Group University of Texas - Austin University of California - Los Angeles University of Washington - Seattle University of Illinois - Urbana-Champaign 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 Pennsylvania State University - University Park Florida State University Michigan 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 X X 2011 0.6 2012 0.5 2013 0.5 2014 0.5 2015 0.5 2011 1.1 1.0 0.9 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 0.9 1.0 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 1.1 1.0 0.9 0.8 0.7 0.6 0.6 0.5 0.5 0.5 0.4 0.3 0.2 0.2 0.2 0.0 0.5 2014 2015 0.5 0.5 ASU - 47 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 Innovation at ASU is a key part of economic growth in the Phoenix metro area and in the state. In FY15, ASU faculty working with Arizona Technology Enterprises (AzTE), ASU’s exclusive intellectual property management and technology transfer organization, set or matched record highs for invention disclosures (270), startup companies (12), and issued U.S. patents (62). AzTE also helped facilitate the funding of $12.3 million in industry-sponsored research. A new report from the National Academy of Inventors and the Intellectual Property Owners Association ranks ASU among the top 50 international universities for the number of patents issued to its researchers in 2014. To date, more than 80 companies have been launched based on ASU innovations. These companies and their sub-licensees have attracted more than $500 million in funding from venture capital firms and other investors. In FY15 alone, ASU startup companies, including Fluidic Energy, HealthTell, Heliae and Thync, received more than $76 million in venture capital funding. ASU startups currently employ more than 350 people in Arizona. In partnership with ASU’s Knowledge Enterprise Development, AzTE launched ASU’s Startup Mill. This new initiative’s focus is to accelerate both internal and external startups with the highest potential. ASU’s Startup Mill matches faculty, student and community startups with accomplished entrepreneurs-in-residence who have launched, grown and exited their own businesses. This program is open to startups in any industry. Startup selections are made based on the potential contribution to the economic vitality of the region and ASU. AzTE continues to operate an office out of the ASU California Center in Santa Monica to help build linkages between the Arizona and Southern California innovation ecosystems, including connecting ASU inventors with California-based investors. From FY13 through FY15, AzTE has negotiated 44 licensing agreements with entities having offices in California. California investors have also accounted for a hefty portion of the more than $500 million raised by ASU-linked companies. ASU - 50 Technology Transfer Statistical Exhibits Technology Transfer Activities 2011 2012 2013 2014 2015 170 239 41% 250 5% 261 4% 270 3% New U.S. Patent Applications New U.S. Patent Applications Percentage Change 93 106 14% 168 58% 163 -3% 175 7% U.S. Patents Issued U.S. Patents Issued Percentage Change 18 26 44% 48 85% 56 17% 62 11% Licenses and Options Executed Licenses and Options Executed Percentage Change 72 80 11% 88 10% 90 2% 81 -10% 1 1,059,372 1,205,679 41,945 2,306,996 1,900,333 1,274,577 540,000 3,714,910 2,026,689 970,482 278,102 3,275,273 3,376,965 941,229 9,469 4,327,663 1,436,333 1,133,341 18,204 2,587,878 2 126 160 27% 186 16% 162 -13% 151 -7% 3 10 9 -10% 11 22% 12 9% 12 0% Invention Disclosures Transacted Invention Disclosures Transacted Percentage Change Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total Other Major Agreements Other Major Agreements Percentage Change New Startup Companies Created New Startup Companies Created Percentage Change Active Startup Companies that Received Funding Active Startup Companies that Received Funding Percentage Change 5 Active Startup Funding Private Equity Funding Received by Active Startup Companies Grant Funding Received by Active Startup Companies Total Sponsored Research Facilitated Sponsored Research Facilitated Percentage Change 75,700,000 0 75,700,000 8,945,930 9,601,072 7% 9,790,451 2% 12,692,880 30% 14,678,882 16% -242,493 -208,090 -138,557 169,983 -210,800 -180,287 -124,835 100,694 -576,056 -532,439 -517,940 2,975 -1,005,051 -618,461 -611,253 86,930 -368,171 -138,661 -253,487 31,898 Royalty Distribution Inventors Laboratories and Units University Undistributed NOTES: 1. Includes stand-alone licenses, releases, options and amendments as well as those granted as part of a sponsored project reviewed by AzTE 2. Includes revenue received by ASU 3. AzTE assisted The Connect Center with an additional 256 license agreements that were not included in this total ASU - 51 Technology Transfer Selected Patents Integrated Device for Surface-Contact Sampling, Extraction and Electrochemical Measurements – M09-090L, US Patent No. 8,815,178 This patent describes a compact device for non-invasive sensing of biomarkers in bodily fluids. Although originally designed as a simple and pain-free way to measure glucose in tears (for diabetes), this device has also found applications involving saliva and other fluids. This technology has been licensed by Advanced Tear Diagnostics for tear glucose applications, and also by TekCapital plc to measure glucose in saliva. This technology was developed by Dr. Jeffrey La Belle. Production and Use of Human Butrylcholinesterase – M05-045L, US Patent No. 9,062,321 This patent describes a plant-based system to produce butyrylcholinesterase in plants. Butyrylcholinesterase compounds are important in the medical, homeland security and defense fields, as they are effective antidotes and prophylactics to poisoning by many dangerous compounds, including pesticides, various toxins and non-conventional warfare agents such as nerve gases. This technology was developed by Dr. Tsafrir Mor. Ultra-Low Dimensional Representation for Face Recognition Under Varying Expressions – M09136P, US Patent No. 8,842,891 Facial recognition is a type of biometric software application that can be used in a variety of applications, including security and human-computer interaction. Existing techniques do not adequately address practical challenges such as varying facial expressions or lighting. Furthermore, they require large amounts of data that can be cumbersome to handle. This patent describes methods that account for variations in expression, pose and illumination as well as reducing the computational complexity and data storage requirements. The technology was developed by Dr. Baoxin Li. Capture and Release of Carbon Dioxide – M11-129P, US Patent No. 9,046,275 This patent describes new methods for the capture and controlled release of carbon dioxide. Such control can improve the environment, can be used for improved oil recovery and can also be used to enhance plant growth. Compared with existing approaches, the new technology describes a more energy-efficient and safer (more stable) electrochemical method. This technology was developed by Dr. Daniel Buttry. ASU - 52 Technology Transfer Selected Licenses and Options Executed Agilent Technologies Inc. Agilent, a spinout of Hewlett Packard, 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 developed by Dr. Uwe Weierstall, et.al. that produces nanoscale droplets from a virtual gas nozzle without clogging. Agilent is exploring the use of these nozzles in their analytic and diagnostic measuring equipment. Avipep Pty Ltd Avipep, an Australian company, has entered into an evaluation and option agreement to test auristatin tyramine phosphate and auristatin aminoquinoline for their anti-cancer properties in form of antibodydrug conjugates (ADCs). These compounds were developed in the laboratory of Dr. George Robert Pettit. Avipep is using proprietary antibody fragments called Avibodies™ to deliver payloads to tumor cells more efficiently than intact antibodies. Avibodies represent a flexible platform for imaging, ADCs, radioimmunotherapy (RIT) and delivery of immunomodulators. Avibodies consist of the key binding domains of an antibody, thereby sharing the same selectivity and avidity for its target. The use of ADCs is expected to translate into higher clinical efficacy with lower systemic toxicity, providing a larger therapeutic window for cancer treatment. Tekcapital plc Tekcapital, a United Kingdom-based technology development company, has exclusively licensed a patent for a device that specifically measures glucose levels in saliva, which has a potential to replace current tests that require individuals with Type II diabetes to prick a finger every day to draw blood samples. This non-invasive alternative would be a significant benefit in convenience, comfort and treatment compliance for the more than 340 million people living with diabetes. The technology was developed by Dr. Jeffrey La Belle et al. at ASU. Aldrich Chemical Company Aldrich Chemical Company, a division of Sigma-Aldrich, has entered into an exclusive option agreement for commercializing novel catalyst materials developed at ASU by Dr. Ryan Trovitch. This material is a lower-cost and more environmentally friendly catalyst for hydrosilylation or hydrogenation reactions. The Aldrich Company will be providing research quantities of the material under royalty payments with an option for an exclusive license for commercial production. ASU - 53 Technology Transfer Selected Startup Companies EndoVantage, Inc. EndoVantage is a personalized medicine company for medical device implant products. EndoVantage Interventional Suite (EVIS) has developed a software modeling system that simulates the endovascular implantation and effect of medical devices in patients. This software allows clinicians, for the first time, to design the optimal treatment strategy for each patient before surgery, thereby improving treatment quality and reducing cost. The technology was jointly developed by ASU’s Dr. David Frakes and Dr. Brian Chong from Mayo Clinic. EndoVantage won an Arizona Innovation Challenge award from the Arizona Commerce Authority and a grant for $250,000. Anivax, Inc. Anivax is a joint spinout from ASU and The University of Arizona for the treatment of Campylobacter in poultry. The company will be providing a low-cost vaccine that is given to chickens immediately after hatching and again when they are 10 days old – via drinking water – to combat Campylobacter, making chickens much safer to eat throughout with world. The antigens were discovered at the University of Arizona. ASU provided the IP for the delivery mechanism – known as the “vector” – for the Campylobacter antigens that was discovered by Dr. Roy Curtiss. Recognition Analytix, LLC Recognition Analytix is developing a commercially viable method to sequence single protein molecules. The company’s goal is to deliver cost-effective, simple and powerful DNA and protein diagnostic devices into doctor's offices. This technology could help usher in the age of personalized medicine, where information from an individual’s complete DNA and protein profiles could be used to design treatments specific to their individual makeup. The technology was developed by Dr. Stuart Lindsay, who successfully launched another ASU spinout, Molecular Imaging Corp, a company he co-founded in 1993 and sold to Agilent Technologies in 2005. ASU - 54 Technology Transfer Other Notable Activities Built on the result of AzTE startup successes, ASU has launched the new Startup Mill to provide Arizona-based entrepreneurs the same acceleration services currently available to ASU students, faculty and post-doctoral researchers. ASU’s Startup Mill is led by AzTE and ASU’s Knowledge Enterprise Development. The program is open to startups in any industry, with selections made based on the potential strategic value to the economic vitality of the region and ASU. Startup Mill services include: • acceleration and venture support, including ASU and partner resources for business/growth processes through Startup School training and mentoring • interim or permanent C-level management drawn from a pool of accomplished entrepreneurs and seasoned executives • university resources, including facilities, equipment, clinic, strategic partnerships and specialized test-beds for product and market validation • pitch opportunities to ASU Foundation Angels and venture capital funding partners upon maturation ASU students do not need to wait until they graduate to turn a great idea into a successful company. The Edson Student Entrepreneurship Initiative offers funding, mentorship and office space for accepted student ventures. There are currently 35 companies in the Edson program, including new cohorts for veterans and women. In FY15, Edson companies raised a total of $888,500 in external grants, investments and awards, including: • $600,000 from venture capital • $200,000 from Maricopa County Industrial Development Authority (MCIDA) Manufacturing Venture Fund • $88,500 from various grant competitions Additional technology transfer highlights include: • Force Impact Technologies, a real-time concussion detection company, was named a finalist in the Bluetooth Best New Product competition. • Bosse Tools, an ergonomic tool company, shipped its first 200 ergonomic shovels. • In total, 11 companies are in revenue and 10 have filed patents. ASU - 55 This Page Intentionally Left Blank Strategic Initiatives Strategic Initiatives Summary We have identified several key strategic research areas that will leverage our research and entrepreneurship capabilities and create economic growth and opportunity in the short- and long-term: Manufacturing Harnessing emerging manufacturing technologies will create high-quality manufacturing jobs in Arizona, enhancing our global competitiveness. We will invest in diverse technologies, such as information technology, biotechnology, nanotechnology, additive manufacturing, and advanced electronics and sensors. Materials Materials innovations will underpin many of the most important modern technologies and high-value products. Advanced materials innovations will be key enabling technologies, novel production technologies and important technology-based application domains. Food/Water/Energy Nexus A rapidly growing global population and increasing prosperity are putting unsustainable pressures on resources. Demand for food, water and energy is expected to rise by 30-50% in the next two decades, while economic disparities incentivize short-term responses in production and consumption, undermining long-term sustainability. Research in this area will focus on solutions that take the interconnections of food, water and energy into consideration, maximizing their application and sustainability. Climate Impact/Adaptation ASU views climate adaptation through a transdisciplinary lens, allowing us to address multiple adaptation challenges and draw on funding from diverse sources, like the Department of Defense, NASA and Department of Homeland Security. Adaptation to global warming is a cause-agnostic response to global warming that seeks to reduce the vulnerability of social and biological systems to climate change and thus offset the effects of global warming. A significant effect of global climate change is the altering of global rainfall patterns, affecting agriculture and thus markets and human livelihood. ASU - 58 Strategic Initiatives Summary Wellness ASU is at the forefront of new solutions to educate and optimize the health and well-being of diverse, multi-scale communities. For a decade, the university has been implementing a strategic plan to recruit expert medical researchers and health policy analysts, forge networks and working alliances with institutions regionally and globally, and transform “siloed” departments into new transdisciplinary schools and initiatives. By operating without a medical school, ASU remains nimble and entrepreneurial, forging clinical partnerships with leading providers, while convening thought leaders to explore new approaches. Space NASA’s current satellite fleet is past its expected lifetime. Regardless of future NASA budgets, new assets and new capacity in data analytics related to space will be funded. With some added faculty, and current capacities available in the School of Earth and Space Exploration, ASU is well positioned to garner significant amounts of this new external funding. Urban Security (Megacities) Megacities are urban regions with populations of at least 10 million, and explosive population growth and potential volatility, and they are considered “high risk” areas. They place heavy demands on housing, infrastructure, food, energy, water and other resources. But megacities also have great potential as global junctions of information and resilience. In particular, they can serve as centers of significant economic growth, technological development and opportunities. ASU has significant capacity in related disciplines such as urban ecology, water, population health, humanitarian aid and disaster relief, big data for smart cities, critical infrastructure, and cybersecurity. Transportation The advent of new technologies will drive a revolution in transportation, affecting individuals, businesses, logistics and regional innovation ecosystems. These technologies include driverless vehicles, electric vehicles, drones and complex cyber systems. In addition, the impending failures of rapidly aging infrastructures present challenges that need to be addressed. ASU - 59 This Page Intentionally Left Blank Annual Research Report - FY2015 Introductory Letter 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 Business Financed Research Expenditures Average Growth Rate in Business 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 18 19 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 22 23 24 25 26 27 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 30 31 32 33 34 35 36 37 38 39 40 41 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 44 45 46 47 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 50 51 52 53 54 55 Strategic Initiatives Summary 58 This Page Intentionally Left Blank Enterprise Size Enterprise Size Introduction NAU - 6 Enterprise Size Selected Accomplishments NAU - 7 Enterprise Size Total Research Expenditures (in Thousands) 70,000 60,000 Median 50,000 40,000 Actual Goal 30,000 20,000 10,000 0 X X X NSF Adj. ABOR Peer Group Georgia State University University of Maine George Mason University University of Akron Old Dominion University Southern Illinois University ‐ Carbondale Ohio University Wichita State University University of Alabama - Tuscaloosa University of Nevada ‐ Las Vegas Northern Arizona University Kent State University University of North Carolina ‐ Greensboro Western Michigan University Northern Illinois University Bowling Green State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 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 2015 35,206 32,600 2,606 2011 92,725 111,600 88,089 65,536 102,192 71,130 57,643 50,194 53,633 39,526 30,785 27,455 26,121 25,051 21,748 8,999 51,914 2012 91,148 92,135 90,198 66,413 104,579 71,097 57,203 61,279 55,885 34,543 28,100 26,507 19,080 21,073 21,823 8,566 56,544 2013 111,999 77,583 95,913 69,640 99,138 70,854 59,734 61,388 55,443 35,935 30,516 23,149 16,590 18,979 23,027 13,157 57,589 2014 123,915 101,247 98,680 69,528 67,037 65,256 60,800 58,859 53,140 39,448 31,590 25,666 20,723 18,942 16,427 8,861 56,000 2015 NAU - 8 35,206 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% Actual 7% 6% 5% 4% 3% 2% 1% Median 0% X X X NSF Adj. ABOR Peer Group Georgia State University Wichita State University Bowling Green State University George Mason University University of Akron Ohio University Northern Arizona University University of Nevada ‐ Las Vegas University of Alabama - Tuscaloosa University of Maine Kent State University Southern Illinois University ‐ Carbondale University of North Carolina ‐ Greensboro Northern Illinois University Western Michigan University Old Dominion University Median Med. Sch. ABOR Enterprise Plan Actual 2011 6.1% 2012 2.7% 2013 2.3% 2014 1.1% 2015 7.9% 2011 8.7% 4.5% -4.7% 6.7% 34.7% 14.9% 6.1% -6.8% 18.1% 5.6% 5.6% 2.0% 54.8% 16.5% 28.1% 16.1% 7.7% 2012 15.5% -0.8% 0.9% 4.8% 26.2% 11.9% 2.7% -3.4% 15.8% -2.2% 2.0% 2.4% 35.1% 3.9% 25.8% 14.2% 4.3% 2013 11.9% 6.6% 19.9% 4.5% 10.0% 6.0% 2.3% -6.6% 11.7% -11.0% -4.0% 0.4% -7.9% -4.6% -10.3% 0.8% 1.5% 2014 10.6% 6.0% 5.4% 3.9% 2.0% 1.8% 1.1% 0.4% -0.2% -0.9% -1.7% -2.8% -5.0% -7.6% -8.7% -11.7% 0.1% 2015 NAU - 9 7.9% 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 Actual 20,000 Median 15,000 10,000 5,000 0 X X X NSF Adj. ABOR Peer Group George Mason University University of Maine Georgia State University Old Dominion University University of Nevada ‐ Las Vegas University of Alabama - Tuscaloosa University of Akron Northern Arizona University Ohio University Southern Illinois University ‐ Carbondale University of North Carolina ‐ Greensboro Western Michigan University Kent State University Wichita State University Northern Illinois University Bowling Green State University Median Med. Sch. Actual 2011 17,765 2012 16,015 2013 15,638 2014 18,209 2015 20,285 2011 65,301 59,800 28,210 39,534 30,457 32,999 12,130 17,765 23,051 23,696 20,868 18,736 15,085 12,972 11,807 6,164 21,960 2012 63,786 39,661 34,075 38,555 25,068 33,023 16,768 16,015 20,780 22,055 16,530 14,378 14,882 19,078 12,861 7,005 19,929 2013 65,096 34,252 37,521 39,963 24,502 28,375 19,658 15,638 20,203 18,398 13,658 12,322 11,506 13,434 12,415 9,323 19,028 2014 61,877 50,589 42,259 41,270 26,950 26,161 20,263 18,209 16,597 16,288 13,489 11,334 11,181 10,424 9,174 6,576 17,403 2015 NAU - 10 20,285 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% Actual 8% 6% 4% 2% 0% -2% Median -4% X X X NSF Adj. ABOR Peer Group University of Akron Georgia State University Bowling Green State University Old Dominion University Northern Arizona University University of Maine Wichita State University George Mason University University of Nevada ‐ Las Vegas Northern Illinois University University of Alabama - Tuscaloosa Kent State University Ohio University Southern Illinois University ‐ Carbondale University of North Carolina ‐ Greensboro Western Michigan University Median Med. Sch. Actual 2011 10.4% 2012 7.0% 2013 1.9% 2014 1.4% 2015 8.5% 2011 9.6% 2.8% 4.1% 12.4% 10.4% 13.6% -0.9% 9.1% -9.0% 5.8% 12.5% 6.6% 9.1% 10.7% 56.7% 44.4% 9.4% 2012 16.3% 12.5% 17.9% 12.3% 7.0% -2.8% 17.9% 4.8% -6.7% -7.2% 11.8% 4.0% 8.9% 5.1% 38.1% 38.6% 10.4% 2013 18.6% 11.7% 23.6% 5.0% 1.9% -9.4% 3.9% 1.1% -8.7% -8.8% 3.7% -6.9% 4.1% -5.6% -10.3% -14.2% 1.5% 2014 19.5% 14.5% 5.8% 1.5% 1.4% 0.1% -1.6% -1.7% -3.3% -6.9% -7.3% -9.0% -10.2% -11.7% -13.1% -15.2% -2.5% 2015 NAU - 11 8.5% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Business Financed Research Expenditures (in Thousands) 2,000 1,800 Median 1,600 1,400 1,200 1,000 800 Actual 600 400 200 0 X X X NSF Adj. ABOR Peer Group Wichita State University Southern Illinois University ‐ Carbondale Ohio University University of Akron University of Maine George Mason University University of Alabama - Tuscaloosa Old Dominion University Western Michigan University Northern Arizona University University of Nevada ‐ Las Vegas Kent State University Northern Illinois University Georgia State University Bowling Green State University University of North Carolina ‐ Greensboro Median Med. Sch. Actual 2011 261 2012 327 2013 552 2014 762 2015 623 2011 26,348 6,988 4,770 2,415 4,460 561 3,392 2,270 1,529 261 562 499 1,496 716 24 730 1,513 2012 26,724 7,273 5,028 2,833 3,299 946 2,657 1,336 1,010 327 425 698 936 597 532 672 978 2013 27,534 7,467 5,174 3,238 2,933 1,368 2,040 1,975 1,253 552 536 665 1,096 285 124 594 1,311 2014 30,942 7,453 5,887 3,576 3,470 2,447 2,060 1,772 1,676 762 651 619 476 394 372 131 1,724 2015 NAU - 12 623 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Business Financed Research Expenditures Over 3 Years 35% 30% Median 25% 20% 15% 10% Actual 5% 0% -5% X X X NSF Adj. ABOR Peer Group Northern Arizona University Bowling Green State University George Mason University Georgia State University Kent State University Northern Illinois University Ohio University Old Dominion University Southern Illinois University ‐ Carbondale University of Akron University of Alabama - Tuscaloosa University of Maine University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University Wichita State University Median Med. Sch. Actual 2011 10.4% 2012 7.0% 2013 1.9% 2014 1.4% 2015 8.5% 2011 -43.5% -62.7% -11.0% 6.8% 22.6% 36.7% 10.9% -6.0% -3.4% 2.5% 1.2% 11.4% -7.8% 47.7% -13.4% 161.7% 1.8% 2012 -38.3% 648.1% 10.0% -2.7% 21.0% 16.5% 0.9% -38.5% -4.4% 1.1% -2.7% 0.5% -31.7% -5.1% -15.9% 11.6% -1.1% 2013 12.8% 653.7% 35.3% -8.9% 31.9% 4.9% 9.4% -7.0% -4.5% 25.0% -7.0% -6.9% -7.5% -10.4% -7.4% 7.0% 0.2% 2014 44.0% 746.7% 64.0% -10.2% 9.4% -25.6% 7.4% -1.2% 2.2% 14.0% -14.6% -6.3% 7.7% -32.5% 8.0% 5.6% 6.5% 2015 29.5% NAU - 13 0.3 Rank 1 Enterprise Size Net Assignable Square Feet 250,000 Median 200,000 Actual 150,000 100,000 50,000 0 X 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 - Tuscaloosa George Mason University Northern Arizona University Bowling Green State University University of North Carolina ‐ Greensboro Northern Illinois University Kent State University Western Michigan University Median Med. Sch. Actual 2011 170,831 2012 170,831 2013 168,829 2014 168,829 2015 164,872 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 2015 NAU - 14 164,872 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 Actual 200 150 100 50 0 X X X NSF Adj. ABOR Peer Group George Mason University Georgia State University University of Akron Old Dominion University University of Alabama - Tuscaloosa Kent State University Ohio University Western Michigan University Southern Illinois University ‐ Carbondale Northern Arizona University University of Nevada ‐ Las Vegas University of Maine University of North Carolina ‐ Greensboro Northern Illinois University Wichita State University Bowling Green State University Median Med. Sch. Actual 2011 180 2012 164 2013 181 2014 187 2015 214 2011 439 433 296 342 279 260 241 302 217 180 205 178 208 177 184 56 229 2012 450 425 300 350 291 251 239 254 217 164 179 147 152 177 224 53 232 2013 492 446 319 381 255 218 236 235 216 181 164 133 113 187 132 79 217 2014 506 493 318 258 244 241 240 234 199 187 180 173 141 134 126 53 216.5 2015 NAU - 15 214 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 X NSF Adj. ABOR Peer Group George Mason University University of Alabama - Tuscaloosa Western Michigan University Ohio University Georgia State University University of Nevada ‐ Las Vegas Southern Illinois University ‐ Carbondale Northern Illinois University Kent State University Old Dominion University University of Akron University of North Carolina ‐ Greensboro Northern Arizona University Bowling Green State University University of Maine Wichita State University Median Med. Sch. Actual 2011 527 2012 518 2013 513 2014 512 2015 527 2011 882 848 829 886 736 672 841 732 666 553 636 593 527 508 449 360 669 2012 888 845 808 833 745 616 795 714 642 567 616 583 518 527 447 361 629 2013 915 867 811 728 763 648 789 699 632 582 619 530 513 530 427 373 640 2014 908 609 808 718 772 661 698 677 615 569 858 542 512 514 405 387 638 2015 895 827 781 735 729 684 666 643 620 603 586 534 527 495 404 404 632 NAU - 16 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 15 Enterprise Size Total Research Expenditures per Faculty 90,000 Median 80,000 70,000 Actual 60,000 50,000 40,000 30,000 20,000 10,000 0 X X X NSF Adj. ABOR Peer Group University of Maine Georgia State University Wichita State University Old Dominion University George Mason University Southern Illinois University ‐ Carbondale University of Alabama - Tuscaloosa Ohio University University of Akron Northern Arizona University University of Nevada ‐ Las Vegas Kent State University University of North Carolina ‐ Greensboro Northern Illinois University Western Michigan University Bowling Green State University Median Med. Sch. Actual 2011 58,416 2012 54,247 2013 59,485 2014 61,699 2015 66,805 2011 248,552 125,985 139,428 184,796 99,874 84,578 63,246 65,060 103,044 58,416 58,818 41,224 44,049 29,710 30,218 17,715 64,153 2012 206,119 122,346 169,748 184,443 101,574 89,430 66,136 68,671 107,813 54,247 56,076 41,288 32,727 30,564 26,080 16,254 67,404 2013 181,693 146,788 164,579 170,340 104,823 89,802 63,948 82,052 112,504 59,485 55,455 36,628 31,302 32,943 23,402 24,825 73,000 2014 249,993 160,512 152,090 117,815 108,678 93,490 87,258 84,680 81,035 61,699 59,679 41,733 38,234 24,264 23,443 17,239 82,857 2015 NAU - 17 66,805 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 36,000 35,000 34,000 33,000 32,000 31,000 Actual 30,000 29,000 28,000 27,000 26,000 ABOR Enterprise Plan Actual 2011 34,998 NAU - 18 2012 29,645 2013 30,580 2014 29,231 2015 30,260 Enterprise Size Average Growth Rate in Other Sponsored Project Expenditures Over 3 Years Actual 5% Actual 0% -5% -10% -15% -20% ABOR Enterprise Plan Actual 2011 NAU - 19 2012 -17.8% 2013 -10.2% 2014 -5.5% 2015 0.8% This Page Intentionally Left Blank Discovery and Scholarly Impact Discovery and Scholarly Impact Introduction NAU - 22 Discovery and Scholarly Impact Selected Accomplishments NAU - 23 Discovery and Scholarly Impact Invention Disclosures Transacted 30 Actual Goal 25 Median 20 15 10 5 0 X X AUTM Adj. ABOR Peer Group University of Akron University of Alabama - Tuscaloosa Ohio University Southern Illinois University ‐ Carbondale Northern Arizona University University of North Carolina ‐ Greensboro Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2011 12 11 1 2012 17 15 2 2013 18 18 0 2014 24 21 3 2015 27 27 0 2011 82 30 2012 63 36 30 21 17 24 12 2013 69 48 26 2014 85 58 38 25 24 11 4 2015 25 12 30 7 2 46 18 18 8 28 18 20 X 25 NAU - 24 26 20 25 27 Rank 1 2 3 4 5 6 7 Discovery and Scholarly Impact Invention Disclosures Transacted per $10 Million in Total Research Expenditures 9.00 8.00 Actual 7.00 Median 6.00 5.00 4.00 3.00 2.00 1.00 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of Akron University of Alabama - Tuscaloosa Northern Arizona University Ohio University University of North Carolina ‐ Greensboro Southern Illinois University ‐ Carbondale Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual 2011 3.9 2012 6.0 2013 5.9 2014 7.6 2015 7.7 2011 12.5 5.6 3.9 2012 9.5 6.4 6.0 5.2 12.6 3.0 5.5 2013 9.9 8.7 5.9 4.4 10.8 2014 12.2 10.9 7.6 6.3 5.3 3.8 2.4 2015 X X 11.5 3.5 3.2 2.2 5.2 3.5 3.1 6.6 2.0 X 5.2 NAU - 25 5.8 5.9 6.3 7.7 Rank 1 2 3 4 5 6 7 Discovery and Scholarly Impact U.S. Patents Issued 7.0 6.0 Median 5.0 4.0 3.0 Actual 2.0 1.0 0.0 AUTM Adj. ABOR Peer Group University of Akron Ohio University University of Alabama - Tuscaloosa Southern Illinois University ‐ Carbondale Northern Arizona University Northern Illinois University University of North Carolina ‐ Greensboro Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual 2011 0 2012 0 2013 2 2014 4 2015 3 2011 10 2012 16 9 4 4 0 5 1 2013 21 13 2 2014 34 13 13 6 4 4 1 2015 X X 3 5 0 2 0 5 29 2 3 1 22 10 12 X 5 NAU - 26 5 3 6 3 Rank 1 2 2 4 5 5 7 Discovery and Scholarly Impact U.S. Patents Issued per $10 Million in Total Research Expenditures 2.50 Median 2.00 1.50 1.00 Actual 0.50 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of Akron University of Alabama - Tuscaloosa Northern Illinois University Ohio University Northern Arizona University Southern Illinois University ‐ Carbondale University of North Carolina ‐ Greensboro Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual 2011 0.0 2012 0.0 2013 0.7 2014 1.3 2015 0.9 2011 1.5 0.6 0.9 2012 2.4 0.7 2.3 1.6 0.0 0.6 0.5 2013 3.0 0.4 1.3 2.2 0.7 2014 4.9 2.4 2.4 2.1 1.3 0.9 0.5 2015 X X 0.0 0.7 0.0 5.6 3.3 0.6 2.4 3.6 1.2 X 0.9 NAU - 27 1.1 1.2 2.1 0.9 Rank 1 2 3 4 5 6 7 This Page Intentionally Left Blank Economic Development Economic Development Introduction NAU - 30 Economic Development Selected Accomplishments NAU joined Tribes’ discourse on the Environment. In May, 2015, the Institute for Tribal Environmental Professionals co-hosted the 16th Annual National Tribal Forum on Air Quality with the National Tribal Air Association and the Environmental Protection Agency (EPA). The tribal host for the event was the Nottawaseppi Huron Band of Potawatomi located in Battle Creek, Michigan, where the Forum was also held. The event provided opportunities for tribes to address high-level EPA officials about concerns and priorities, while top native environmentalists challenged attendees to think outside the box to address problems in their communities. The 2015 National Tribal Forum set a new record with over 220 attendees. Participants represented more than 100 tribes, the EPA and other government agencies, academics, environmental organizations and private industry. NAU and Northern Arizona Healthcare make first hire under joint initiative in Medical Informatics. In FY2015, Dr. Crystal Hepp was hired as an Assistant Professor in the Informatics and Computing Program at NAU as the first step in a developing program that will bridge the gap between cutting edge research and the applied needs of Northern Arizona Healthcare (NAH), parent company of Flagstaff Medical Center. Dr. Hepp will work with NAH to address questions that can be explored by applying innovative skills in data extraction and analytics, such as “what is the most effective health management response to a specific chronic health condition?”, or “what are the biggest afterdischarge challenges for chronic health conditions, and why?” Dr. Hepp’s position was funded through a $300,000 grant from NAH combined with a matching commitment from NAU. NAU Service Center secures award to offer assistive technology loans. The Institute for Human Development at NAU received a $633,133 award from the U.S. Department of Education to offer low-interest loans for people in need of assistive technology. The Arizona Loans for Assistive Technology funds are available to people throughout the state and are targeted to individuals who may not have other funding options. The loans, which will range from $500 to $20,000, are targed to low- and middle-income borrowers, and can be used for items such as mobility devices (e.g., scooters), hearing aids, computer adaptations and lifts on vehicles to carry wheelchairs. This award expands the Institutes offerings beyond Maricopa County. NAU - 31 Economic Development Intellectual Property Income (in Thousands) 80 Actual 70 60 50 40 30 20 10 0 ABOR Enterprise Plan Actual 2011 46 NAU - 32 2012 22 2013 25 2014 32 2015 75 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 25,000 Actual 20,000 15,000 10,000 5,000 0 ABOR Enterprise Plan Actual 2011 14,974 NAU - 33 2012 7,928 2013 8,344 2014 10,154 2015 21,277 Economic Development Licenses and Options Income (in Thousands) 80 Median 70 Actual 60 50 40 30 20 10 0 X X AUTM Adj. ABOR Peer Group Ohio University Southern Illinois University ‐ Carbondale University of Akron University of North Carolina ‐ Greensboro Northern Arizona University Northern Illinois University University of Alabama - Tuscaloosa Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2011 43 2012 18 2013 20 2014 23 2015 69 2011 2012 9,400 711 336 14 18 16 18 2013 9,926 2014 10,669 624 153 76 23 15 6 2015 677 279 51 43 30 9 2 123 226 12 20 24 8 120 360 19 X 51 NAU - 34 69 20 76 69 Rank 1 2 3 4 5 6 7 Economic Development Licenses and Options Income per $10 Million in Total Research Expenditures 25,000 Median 20,000 Actual 15,000 10,000 5,000 0 X X AUTM Adj. NSF Adj. ABOR Peer Group Ohio University Southern Illinois University ‐ Carbondale University of North Carolina ‐ Greensboro University of Akron Northern Illinois University Northern Arizona University University of Alabama - Tuscaloosa Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2011 13,865 2012 6,562 2013 6,592 2014 7,273 2015 19,703 2011 2012 1,643,270 99,988 7,517 50,616 7,273 6,562 3,274 2013 1,661,700 2014 1,754,821 95,673 36,489 21,934 9,151 7,273 1,168 2015 95,207 19,629 42,518 13,966 13,865 1,602 2,545 14,005 7,427 32,469 10,305 6,592 1,531 13,263 131,137 1,866 X 14,005 NAU - 35 10,390 7,427 21,934 19,703 Rank 1 2 3 4 5 6 7 Economic Development Licenses and Options Executed 4.5 4.0 3.5 3.0 Median 2.5 2.0 1.5 1.0 Actual 0.5 0.0 X AUTM Adj. ABOR Peer Group University of Alabama - Tuscaloosa University of North Carolina ‐ Greensboro Southern Illinois University ‐ Carbondale University of Akron Ohio University Northern Arizona University Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2011 1 2012 1 2013 1 2014 1 2015 1 2011 3 3 5 5 2012 4 2 0 6 2013 4 10 2015 1 0 0 6 1 0 1 1 2014 4 4 3 3 2 1 0 4 X 1 3 6 X 3 NAU - 36 1 4 3 1 Rank 1 1 3 3 5 6 7 Economic Development Licenses and Options Executed per $10 Million in Total Research Expenditures 0.80 0.70 0.60 0.50 Median 0.40 0.30 Actual 0.20 0.10 0.00 X AUTM Adj. NSF Adj. ABOR Peer Group University of North Carolina ‐ Greensboro University of Alabama - Tuscaloosa Southern Illinois University ‐ Carbondale University of Akron Ohio University Northern Arizona University Northern Illinois University Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. Actual 2011 0.3 2012 0.4 2013 0.3 2014 0.3 2015 0.3 2011 1.1 0.6 0.7 0.8 2012 1.0 0.7 0.0 0.9 2013 6.0 0.7 2015 0.3 0.0 0.0 0.7 0.4 0.0 0.3 0.4 2014 1.9 0.8 0.5 0.4 0.3 0.3 0.0 0.6 X 0.1 1.1 0.6 X 0.7 NAU - 37 0.4 0.6 0.4 0.3 Rank 1 2 3 4 5 6 7 Economic Development Startup Companies 2.5 2.0 1.5 1.0 Median 0.5 0.0 AUTM Adj. ABOR Peer Group Southern Illinois University ‐ Carbondale University of Akron Northern Arizona University University of North Carolina ‐ Greensboro Northern Illinois University Ohio University University of Alabama - Tuscaloosa Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Actual 2011 0 2012 1 2013 0 2014 1 2015 0 2011 2012 0 2 1 0 0 4 1 2013 2014 3 3 1 1 0 0 0 2015 X 2 0 1 0 X 0 0 4 6 0 1 0 2 2 0 2 2 X 1 NAU - 38 1 2 1 0 Rank 1 1 3 3 5 5 5 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.40 0.35 Median 0.30 0.25 0.20 0.15 0.10 0.05 0.00 AUTM Adj. NSF Adj. ABOR Peer Group University of North Carolina ‐ Greensboro Southern Illinois University ‐ Carbondale University of Akron Northern Arizona University Northern Illinois University Ohio University University of Alabama - Tuscaloosa Bowling Green State University George Mason University Georgia State University Kent State University Old Dominion University University of Maine University of Nevada ‐ Las Vegas Western Michigan University Wichita State University Median Med. Sch. ABOR Enterprise Plan Actual Actual 2011 0.0 2012 0.4 2013 0.0 2014 0.3 2015 0.0 2011 0.4 2012 0.0 0.0 0.3 0.4 0.0 0.7 0.2 2013 0.6 2014 0.5 0.5 0.4 0.3 0.0 0.0 0.0 2015 X 0.3 0.0 0.0 X 0.0 0.0 0.5 0.9 0.0 0.0 0.3 0.4 0.0 0.7 0.2 X 0.2 NAU - 39 0.1 0.3 0.3 0.0 Rank 1 2 3 4 5 5 5 Economic Development Ph.D. Degrees Conferred 30 Actual 25 20 15 10 5 0 ABOR Enterprise Plan Actual 2011 25 NAU - 40 2012 26 2013 20 2014 26 2015 28 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 10.00 9.00 8.00 Actual 7.00 6.00 5.00 4.00 3.00 2.00 1.00 0.00 ABOR Enterprise Plan Actual 2011 8.1 NAU - 41 2012 9.3 2013 6.6 2014 8.2 2015 8.0 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 of and outcomes generated by 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, awarded research grants, issued patents and licensed technologies, and awards bestowed upon our researchers are important indicators that reflect 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. NAU - 44 Leadership and Recognition Selected Accomplishments NAU - 45 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 Kent State University University of Akron 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 - Tuscaloosa University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University Wichita State University Median Med. Sch. Actual X X X Median Actual 2011 0 2012 0 2013 0 2014 0 2015 0 2011 2 1 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 2012 2 1 2 1 0 0 0 0 0 0 0 0 0 0 0 0 0 2013 2 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 2014 2015 0 0 NAU - 46 Rank 1 2 2 2 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 X NSF Adj. ABOR Peer Group Kent State University George Mason University University of Akron 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 - Tuscaloosa University of Nevada ‐ Las Vegas University of North Carolina ‐ Greensboro Western Michigan University Wichita State University Median Med. Sch. Actual Median Actual 2011 0.0 2012 0.0 2013 0.0 2014 0.0 2015 0.0 2011 0.4 0.2 0.3 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 0.2 0.3 0.1 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 2013 0.4 0.2 0.1 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 2014 2015 0.0 0.0 NAU - 47 Rank 1 2 3 4 5 5 5 5 5 5 5 5 5 5 5 5 This Page Intentionally Left Blank Technology Transfer Technology Transfer Introduction NAU - 50 Technology Transfer Statistical Exhibits Technology Transfer Activities 2011 2012 2013 2014 2015 12 17 42% 18 6% 24 33% 27 13% New U.S. Patent Applications New U.S. Patent Applications Percentage Change 5 2 -60% 2 0% 7 250% 6 -14% U.S. Patents Issued U.S. Patents Issued Percentage Change 0 0 2 4 100% 3 -25% Licenses and Options Executed Licenses and Options Executed Percentage Change 1 1 0% 1 0% 1 0% 1 0% 42,684 3,414 0 46,098 18,439 3,838 0 22,277 20,115 5,347 0 25,462 22,975 9,100 0 32,075 69,365 5,542 0 74,907 Other Major Agreements Other Major Agreements Percentage Change 0 0 0 0 0 New Startup Companies Created New Startup Companies Created Percentage Change 0 1 0 -100% 1 0 -100% Active Startup Companies that Received Funding Active Startup Companies that Received Funding Percentage Change 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 599,804 0 -100% 1,000,000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 21,240 0 21,240 6,383 Invention Disclosures Transacted Invention Disclosures Transacted Percentage Change Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total Active Startup Funding Private Equity Funding Received by Active Startup Com Grant Funding Received by Active Startup Companies Total Sponsored Research Facilitated Sponsored Research Facilitated Percentage Change Royalty Distribution Inventors Laboratories and Units University Undistributed NAU - 51 Technology Transfer Selected Patents US 8,808,993 B2, “Methods and Kits to Detect New H1N1 “Swine Flu” Variants”. Issued August 19, 2014. This patent protects compositions and methods associated with an assay that detects antiviral resistant forms of H1N1/09 and is easily translatable for clinical and public health diagnostic use. This patent is jointly owned with The Translational Genomics Institute. US 8,828,733 B2, “Microsensor Material and Methods for Analyte Detection”. Issued September 9, 2014. This patent protects a polymer-particle sensor which detects chemical (e.g., toxic gases) or biological (e.g., proteins) analytes. US 8,997,167,B1, “Live-Streaming Video Sharing System and Related Methods”. Issued March 31, 2015. This patent protects a live streaming video sharing system where a video camera (worn by one user) sends a live stream of video and audio wirelessly through a smart phone to a web server where it can then be watched by others in real time. This patent is jointly owned with a small Flagstaff company, Deep Blue Intention, LLC. NAU - 52 Technology Transfer Selected Licenses and Options Executed Serenta Biotechnology, LLC, is a start-up company based in Potomac, Maryland. Their goal is to commercialize technologies associated with preventing Staphylococcus Aureus biofilm infections, especially in hospital settings. Serenta entered into an exclusive commercial evaluation license with UMB to evaluate an invention jointly owned by NAU and the University of Maryland, Baltimore: “Protective Vaccine Against Staphylococcus Auerus Biofilms Comprising Cell Wall-Associated Immunogens”. NAU - 53 Technology Transfer Selected Startup Companies Serenta Biotechnology, LLC, is a start-up company based in Potomac, Maryland. Their goal is to commercialize technologies associated with preventing Staphylococcus Aureus biofilm infections, especially in hospital settings. Serenta entered into an exclusive commercial evaluation license with UMB to evaluate an invention jointly owned by NAU and the University of Maryland, Baltimore: “Protective Vaccine Against Staphylococcus Auerus Biofilms Comprising Cell Wall-Associated Immunogens”. NAU - 54 Technology Transfer Other Notable Activities NAU - 55 This Page Intentionally Left Blank Strategic Initiatives Strategic Initiatives Summary NAU - 58 Strategic Initiatives Summary Students have the chance to travel to research sites in Indonesia, Malaysia, New Zealand, the Philippines, Palau, and Myanmar. Shelby Delgai, a Biomedical Science major from the White Mountain Apache and Navajo tribes, was a sophomore when she traveled to New Zealand to study health disparities in the Maori tribe. She was amazed by similarities she found between the Maori culture and her own. “I felt I could relate to them because their ceremonies and language reminded me of my own culture,” she says. “I was able to connect with the struggles their people face, because they are so similar to the struggles the Native American population faces.” Delgai recalls feeling nervous before the start of the program because she had no previous research experience. However, the intensive two-week training classes on research methodology, statistics, ethical conduct, and Institutional Review Board (IRB) practices prepared her and her colleagues for a summer--and a lifetime--of research. “Everyone had different backgrounds and experience levels which allowed us to learn from each other and help one another succeed,” she says. “I would definitely recommend this program to any student interested in pursuing a science-related career, especially minority students.” Shawn Clavell, a doctoral candidate in the Physical Therapy program, traveled to New Zealand to study the relationship between cortisol, insulin sensitivity, and socioeconomic status of affected populations. “As a student in the healthcare field, and a racial minority in the US, I understand the disparities in education and health status in our current social environment,” says Clavell. “The MHIRT program has encouraged me to be an admirable representative of my community through service and scientific research.” The intensive training is just as transformative to the young scientists as the international experience is. “They gain a lot of experience,” says Schulz. “It’s a lot of effort that goes into those few students, but you see these huge changes: students who thought they had their plans for their future, and then came back and thought, ‘You know, that’s not really what I want to do—I want to go into public health.’ It’s an eye-opening experience.” MHIRT is much more than a ten-week study abroad experience--Schulz and her team strive to maintain a close mentorship with the students long after they return, encouraging them to participate in health disparity research. “We expect them to go to graduate school, or medical school, or some sort of research institution,” she says. “We plan to follow them for the rest of their lives.” The emphasis for the MHIRT program is on undergraduate Native American students, but graduate students and students from other minority, rural, and low socio-economic backgrounds are also encouraged to apply. For more information, please contact Kathleen Freel at Kathleen.Freel@nau.edu or MHIRT@nau.edu. NAU - 59 This Page Intentionally Left Blank Annual Research Report - FY2015 Introductory Letter 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 Business Financed Research Expenditures Average Growth Rate in Business 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 18 19 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 22 23 24 25 26 27 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 30 31 32 33 34 35 36 37 38 39 40 41 Leadership and Recognition Introduction Selected Accomplishments National Academy Members National Academy Members per $10 Million in Total Research Expenditures 44 45 46 47 Technology Transfer Activity Introduction Technology Transfer Statistical Exhibits Selected Patents Issued Selected Licenses and Options Executed Selected Startup Companies Other Notable Activities 50 51 52 53 54 55 Strategic Initiatives Summary 58 This Page Intentionally Left Blank Enterprise Size Enterprise Size Introduction The University of Arizona continued to build on our exceptional research and development expenditures. Even with shrinking federal resources and the tightening of state dollars, we were still able to see significant growth in new awards and our partnering with industry. We grew our total research expenditures from last year’s $587 million to more than $606 million in fiscal year 2015. UA continues to focus on research as a cornerstone of its Never Settle strategic plan, wherein we have identified six key areas to target for research growth: optics; informatics; energy, water, and the environment, translational biomedicine; imaging; and space systems. Our goals are to increase research funding and expenditures in these areas, provide opportunities throughout the state by helping to launch new companies based on UA research, and develop solutions that better our community, and our state. We are focused on some core strategies to achieve these goals, including:  Increase research expenditures in established areas of focus  Strengthen the research infrastructure by creating and bolstering units that give researchers the ability to spend more time on their research  Continue to collaborate with internal and external partners, including federal agencies and private industry UofA - 6 Enterprise Size Selected Accomplishments UofA - 7 Enterprise Size Total Research Expenditures (in Thousands) 900,000 800,000 Median 700,000 Actual Goal 600,000 500,000 400,000 300,000 200,000 100,000 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 Texas A&M U. - College Station and Hlth. Science Ctr. The Ohio State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of California - Davis University of Florida University of Illinois - Urbana - Champaign The University of Arizona University of Texas - Austin Michigan State University University of Maryland - College Park University of Iowa Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2011 610,565 630,000 -19,435 2012 625,365 663,000 -37,635 2013 629,466 697,000 -67,534 2014 2015 588,088 606,219 764,000 592,818 -175,912 13,401 2011 1,148,533 1,111,642 869,174 982,357 847,419 705,720 832,126 794,846 707,896 739,931 545,669 610,565 632,171 454,248 495,382 443,893 723,914 2012 1,109,008 1,169,779 884,791 1,003,375 826,173 693,421 766,513 797,679 713,292 696,985 583,754 625,365 621,538 507,061 502,406 446,429 705,139 2013 1,192,513 1,123,501 973,007 966,659 858,378 820,015 793,373 837,880 752,734 695,063 743,487 629,466 634,132 515,707 491,998 435,377 773,054 2014 2015 1,176,340 1,108,564 989,766 948,197 876,870 854,214 815,075 800,773 711,721 708,526 621,733 588,088 606,219 585,251 526,906 485,051 449,147 756,247 UofA - 8 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Total Research Expenditures Over 3 Years 9% 8% 7% 6% 5% 4% 3% 2% 1% Median 0% Actual -1% -2% X X X X X X X X X X X X X NSF Adj. ABOR Peer Group 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 Minnesota - Twin Cities University of Washington - Seattle University of Iowa Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of California - Davis University of Wisconsin - Madison The Ohio State University University of Maryland - College Park University of California - Los Angeles The University of Arizona University of Florida University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 3.8% 2012 3.4% 2013 2.4% 2014 -1.2% 2015 -0.9% 2011 6.7% 3.3% 8.5% 18.3% 7.5% 15.1% 15.6% 4.3% 3.3% 8.0% 5.9% 7.9% 4.1% 3.8% 8.3% 8.8% 7.7% 2012 3.3% 1.4% 10.8% 11.3% 3.8% 13.4% 11.7% 1.9% 1.5% 7.1% 2.6% 7.2% 4.1% 3.4% 6.0% 7.3% 5.0% 2013 6.3% 13.4% 6.2% 8.9% 3.1% 5.5% -0.6% 2.9% 3.5% 3.1% 1.9% 3.0% 1.1% 2.4% 0.8% 2.5% 3.0% 2014 6.9% 6.0% 5.2% 4.5% 1.2% 0.9% 0.4% 0.3% 0.3% 0.0% -0.5% -0.7% -1.1% -1.2% -1.4% -2.5% 0.3% 2015 UofA - 9 -0.9% 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) 450,000 400,000 350,000 Median 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 University of Wisconsin - Madison Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Minnesota - Twin Cities University of California - Los Angeles The Ohio State University University of Illinois - Urbana - Champaign University of Maryland - College Park University of Texas - Austin University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. The University of Arizona University of Florida Michigan State University University of Iowa Median Med. Sch. Actual 2011 327,565 2012 331,578 2013 338,790 2014 290,370 2015 269,959 2011 948,976 600,843 593,633 468,705 489,480 563,560 493,130 323,454 338,780 355,437 362,976 291,812 327,565 306,349 240,837 283,627 359,207 2012 909,652 606,348 580,661 531,421 485,462 539,054 445,635 359,989 340,180 354,873 358,577 269,460 331,578 305,067 268,952 269,734 359,283 2013 928,193 623,237 555,875 558,871 494,206 501,368 456,590 468,798 342,778 372,633 347,038 314,104 338,790 296,199 260,610 255,329 414,612 2014 909,034 610,664 548,388 520,574 489,767 465,170 454,484 343,275 333,409 332,758 330,367 311,920 290,370 289,327 261,826 235,527 338,342 2015 UofA - 10 269,959 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% 2% 0% Median -2% -4% -6% Actual -8% X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Illinois - Urbana - Champaign Penn State Univ. - Univ. Park and Hershey Medical Ctr. Michigan State University Texas A&M U. - College Station and Hlth. Science Ctr. University of North Carolina - Chapel Hill University of Minnesota - Twin Cities University of Maryland - College Park University of Washington - Seattle University of Florida University of Texas - Austin The Ohio State University University of Wisconsin - Madison University of California - Davis The University of Arizona University of Iowa University of California - Los Angeles Median Med. Sch. Actual 2011 5.6% 2012 4.9% 2013 3.2% 2014 -3.6% 2015 -6.4% 2011 6.6% 4.9% 16.8% 6.0% 17.4% 10.4% 12.9% 16.4% 10.2% 3.4% 14.1% 7.8% 10.5% 5.6% 7.4% 6.3% 9.0% 2012 7.7% 6.7% 18.2% 1.3% 12.5% 7.7% 11.6% 14.7% 9.8% 4.9% 10.5% 4.7% 6.8% 4.9% 2.5% 5.2% 7.2% 2013 16.0% 6.5% 7.0% 3.4% 4.6% 5.3% 5.0% 4.1% 2.1% 2.1% 5.4% 0.8% 1.6% 3.2% -3.3% -2.2% 3.7% 2014 4.9% 3.9% 3.0% 2.7% 0.6% 0.0% -0.5% -1.4% -1.9% -2.0% -2.5% -2.6% -3.1% -3.6% -6.0% -6.2% -1.6% 2015 UofA - 11 -6.4% Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Business Financed Research Expenditures (in Thousands) 40,000 35,000 Median 30,000 25,000 20,000 Actual 15,000 10,000 5,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group The Ohio State University University of Texas - Austin Texas A&M U. - College Station and Hlth. Science Ctr. University of Washington - Seattle University of California - Los Angeles University of Illinois - Urbana - Champaign University of California - Davis University of Florida University of North Carolina - Chapel Hill Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Minnesota - Twin Cities University of Wisconsin - Madison University of Iowa The University of Arizona Michigan State University University of Maryland - College Park Median Med. Sch. Actual 2011 17,485 2012 15,693 2013 13,964 2014 16,372 2015 15,558 2011 103,564 36,712 48,961 23,031 6,133 68,479 13,461 31,360 17,485 64,650 54,880 26,310 20,780 17,485 3,566 27,968 27,139 2012 100,986 40,392 51,311 24,662 6,353 67,890 13,892 29,657 15,693 36,973 49,392 26,722 19,731 15,693 5,084 23,152 25,692 2013 110,551 43,636 58,972 25,032 7,124 71,354 14,812 28,795 13,964 34,878 52,299 28,529 42,296 13,964 7,497 22,168 28,662 2014 118,297 71,349 70,607 49,963 45,193 40,971 39,598 35,107 33,854 33,808 28,164 23,056 17,183 16,372 8,077 6,967 34,481 2015 UofA - 12 15,558 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Average Growth Rate in Business Financed Research Expenditures Over 3 Years 25% 20% 15% 10% Median 5% Actual 0% -5% -10% -15% X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of California - Los Angeles University of California - Davis University of North Carolina - Chapel Hill University of Washington - Seattle Michigan State University University of Texas - Austin University of Iowa Texas A&M U. - College Station and Hlth. Science Ctr. The Ohio State University University of Florida The University of Arizona University of Wisconsin - Madison University of Illinois - Urbana - Champaign University of Minnesota - Twin Cities Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Maryland - College Park Median Med. Sch. Actual 2011 19.7% 2012 -5.3% 2013 -10.7% 2014 -1.3% 2015 0.4% 2011 -37.7% -21.5% 24.4% -22.5% -24.1% -3.4% 186.1% 8.9% -6.5% 0.8% 19.7% 10.6% 68.9% 24.9% -11.0% 48.4% 4.8% 2012 -36.6% -22.2% 13.3% -21.4% -8.8% -5.1% 137.8% 17.2% -5.3% -5.3% -5.3% 15.5% 70.9% 17.0% -26.6% 42.4% -5.2% 2013 -5.7% -1.4% -10.7% 2.3% 28.7% 5.6% 10.6% 3.3% -2.3% 0.7% -10.7% 3.1% 8.5% 4.4% -16.0% 39.9% 2.7% 2014 183.4% 59.1% 40.4% 36.1% 32.6% 27.2% 16.6% 13.2% 4.7% 4.5% -1.3% -3.6% -12.8% -16.8% -17.2% -30.0% 8.9% 2015 UofA - 13 0.4% 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 2011 1,748,035 2012 1,748,035 2013 1,629,762 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 1,629,762 1,455,474 1,294,963 769,581 700,757 2,725,329 UofA - 14 2014 2015 1,629,762 1,730,431 2014 2015 Rank 3,672,847 1 3,109,643 2 3,108,558 3 2,973,355 4 2,930,437 5 2,895,450 6 2,774,278 7 2,733,125 8 2,717,533 9 2,253,911 10 1,796,285 11 1,629,762 1,730,431 12 1,455,474 13 1,294,963 14 769,581 15 700,757 16 2,725,329.0 Enterprise Size Total Research Expenditures per Net Assignable Square Foot 450 400 350 Actual 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 Iowa University of Maryland - College Park University of Texas - Austin University of Wisconsin - Madison The University of Arizona University of California - Los Angeles Texas A&M U. - College Station and Hlth. Science Ctr. Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University University of California - Davis University of Minnesota - Twin Cities Michigan State University University of Florida University of Illinois - Urbana - Champaign Median Med. Sch. Actual 2011 349 2012 358 2013 386 2014 361 2015 350 2011 711 613 673 644 428 379 349 373 289 271 575 242 240 200 244 118 361 2012 723 592 676 653 420 398 358 381 284 272 530 244 234 223 229 126 369 2013 751 664 621 639 436 405 386 356 283 307 267 257 234 229 224 239 331 2014 764 655 641 630 402 400 361 349 295 293 274 243 239 234 228 200 322.0 2015 UofA - 15 350 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Faculty Population 1,900 1,850 Median 1,800 1,750 1,700 1,650 1,600 Actual 1,550 1,500 1,450 1,400 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group The Ohio State University University of Minnesota - Twin Cities University of Florida University of Wisconsin - Madison Texas A&M U. - College Station and Hlth. Science Ctr. University of Texas - Austin University of North Carolina - Chapel Hill 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 Washington - Seattle University of Iowa University of Maryland - College Park University of California - Davis Median Med. Sch. Actual 2011 1,563 2012 1,552 2013 1,560 2014 1,563 2015 1,559 2011 2,560 2,277 2,701 2,057 1,871 1,954 1,861 1,906 1,778 1,759 1,822 1,563 1,536 1,527 1,463 1,467 1,842 2012 2,511 2,251 2,647 2,014 1,771 1,910 1,876 1,883 1,707 1,763 1,776 1,552 1,525 1,538 1,501 1,421 1,774 2013 2,489 2,412 2,493 2,067 1,710 1,910 1,948 1,732 1,710 1,731 1,747 1,560 1,487 1,576 1,483 1,423 1,732 2014 2,508 2,408 2,439 2,082 1,838 1,898 1,852 1,825 1,753 1,741 1,725 1,563 1,498 1,551 1,476 1,417 1,789 2015 2,491 2,419 2,382 2,124 1,995 1,899 1,842 1,838 1,788 1,777 1,734 1,559 1,526 1,525 1,514 1,440 1,813 UofA - 16 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Enterprise Size Total Research Expenditures per Faculty 450,000 400,000 Actual Median 350,000 300,000 250,000 200,000 150,000 100,000 50,000 0 X X X X X X X X X X X X X NSF Adj. ABOR Peer Group University of Washington - Seattle University of California - Los Angeles University of North Carolina - Chapel Hill University of Wisconsin - Madison University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. Penn State Univ. - Univ. Park and Hershey Medical Ctr. The University of Arizona University of Minnesota - Twin Cities University of Illinois - Urbana - Champaign University of Maryland - College Park The Ohio State University University of Texas - Austin University of Florida University of Iowa Michigan State University Median Med. Sch. Actual 2011 390,637 2012 402,941 2013 403,504 2014 376,256 2015 388,851 2011 747,743 539,164 467,047 540,419 482,547 377,189 451,874 390,637 372,165 306,900 338,607 325,049 323,527 273,947 290,696 238,325 374,677 2012 727,218 564,963 471,637 580,824 501,965 391,542 452,455 402,941 367,025 341,977 334,714 305,262 325,413 263,311 290,266 269,284 379,283 2013 801,959 553,325 499,490 543,542 528,977 479,541 484,044 403,504 355,878 434,788 331,759 318,752 332,006 278,806 276,254 297,752 419,146 2014 785,274 549,679 534,431 532,451 502,273 464,752 459,950 376,256 364,149 354,668 328,625 324,990 308,351 290,499 289,585 288,716 370,202 2015 UofA - 17 388,851 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) 118,000 116,000 Actual 114,000 112,000 110,000 108,000 106,000 104,000 102,000 ABOR Enterprise Plan Actual 2011 107,365 UofA - 18 2012 113,559 2013 115,105 2014 115,666 2015 115,399 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% 2.0% Actual 0.0% ABOR Enterprise Plan Actual 2011 13.9% UofA - 19 2012 13.6% 2013 12.2% 2014 2.5% 2015 0.5% This Page Intentionally Left Blank Discovery and Scholarly Impact Discovery and Scholarly Impact Introduction The University of Arizona is committed to not only generating new knowledge, but also sharing discoveries with Arizona and the world where they will improve well-being. From published findings to national broadcasts, UA research and scholarship is showcased around the globe. Researchers have engaged with industry, foundations, governmental organizations, and citizens to assess needs, generate novel solutions, and develop technology. As a first step, to be effective, discoveries must be communicated to wide public, professional, and research audiences. To that end, the UA utilizes a number of vehicles to share the news about UA discoveries in order for them to become a part of the national dialogue. Faculty members have always communicated their research results in professional publications, but, beyond this, inventions must be put to practical use through technology transfer and commercialization. UA will advance research that innovates, engages students to increase recruitment and retention, and partners with our local and global community to address social, cultural, and economic needs. Through Tech Launch Arizona, inventions, technologies, and intellectual property are moved from the laboratory out into the marketplace. TLA brings together the faculty and researchers of the UA with the business community to maximize the impact of our research and innovation efforts, as well as to optimize the benefits gained from our tech park’s resources. UofA - 22 Discovery and Scholarly Impact Selected Accomplishments UofA - 23 Discovery and Scholarly Impact Invention Disclosures Transacted 250 Median Actual 200 150 100 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 University of California - Los Angeles University of Florida University of Minnesota - Twin Cities The Ohio State University Texas A&M U. - College Station and Hlth. Science Ctr. University of California - Davis The University of Arizona University of Illinois - Urbana - Champaign University of North Carolina - Chapel Hill University of Iowa Michigan State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 149 2012 142 2013 144 2014 188 2015 213 2011 356 357 299 322 250 216 284 184 149 182 142 68 110 144 2012 462 373 343 345 321 319 212 226 142 223 160 102 127 132 2013 410 386 359 335 331 384 159 206 144 181 138 96 122 159 2014 421 417 371 352 343 305 219 213 188 179 156 139 131 117 2015 200 225 194 216 UofA - 24 213 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 4.00 Actual 3.50 Median 3.00 2.50 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 University of Florida University of California - Los Angeles University of Minnesota - Twin Cities University of Wisconsin - Madison The Ohio State University University of Washington - Seattle The University of Arizona University of Iowa University of California - Davis University of Illinois - Urbana - Champaign Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University University of North Carolina - Chapel Hill Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 2.4 2012 2.3 2013 2.3 2014 3.2 2015 3.5 2011 4.4 3.0 3.0 3.2 2.6 3.1 2.4 1.5 2.6 3.3 4.0 2.4 1.6 1.8 2012 4.9 3.4 3.9 3.2 4.2 4.2 2.3 2.3 3.2 3.8 3.1 2.5 1.8 1.7 2013 4.8 3.7 3.9 3.4 4.8 3.4 2.3 2.2 2.7 2.4 1.9 2.4 1.4 1.9 2014 5.0 3.9 3.9 3.8 3.7 3.6 3.2 3.1 3.0 2.9 2.6 2.5 1.6 1.5 2015 2.8 3.2 2.6 3.1 UofA - 25 3.5 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 Actual 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 Wisconsin - Madison University of Florida University of California - Los Angeles University of Washington - Seattle University of Illinois - Urbana - Champaign University of Minnesota - Twin Cities Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University University of North Carolina - Chapel Hill Michigan State University Texas A&M U. - College Station and Hlth. Science Ctr. University of Iowa The University of Arizona University of California - Davis University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 19 2012 21 2013 27 2014 24 2015 35 2011 156 86 56 70 68 41 37 30 33 38 18 31 19 23 2012 153 60 74 61 76 59 39 41 31 31 29 31 21 26 2013 157 107 95 94 72 64 41 62 25 46 50 24 27 22 2014 166 110 97 82 78 65 55 54 36 32 31 25 24 20 2015 38 40 56 55 UofA - 26 35 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 0.70 Median 0.60 Actual 0.50 0.40 0.30 0.20 0.10 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 Wisconsin - Madison University of Illinois - Urbana - Champaign University of California - Los Angeles University of Minnesota - Twin Cities University of Washington - Seattle Penn State Univ. - Univ. Park and Hershey Medical Ctr. The Ohio State University Michigan State University University of Iowa The University of Arizona University of North Carolina - Chapel Hill Texas A&M U. - College Station and Hlth. Science Ctr. University of California - Davis University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 0.3 2012 0.3 2013 0.4 2014 0.4 2015 0.6 2011 1.2 1.4 1.2 0.6 0.5 0.6 0.5 0.4 0.8 0.7 0.3 0.4 0.3 0.3 2012 0.9 1.3 1.3 0.7 0.7 0.6 0.5 0.5 0.6 0.7 0.3 0.4 0.4 0.4 2013 1.5 1.4 1.0 1.0 0.7 0.8 0.5 0.8 0.9 0.6 0.4 0.3 0.6 0.3 2014 1.6 1.5 1.3 1.0 0.7 0.7 0.7 0.7 0.6 0.6 0.4 0.4 0.4 0.3 2015 0.5 0.6 0.8 0.7 UofA - 27 0.6 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 UofA - 30 Economic Development Selected Accomplishments UofA - 31 Economic Development Intellectual Property Income (in Thousands) 5,000 Actual 4,500 4,000 3,500 3,000 2,500 2,000 1,500 1,000 500 0 ABOR Enterprise Plan Actual 2011 1,414 UofA - 32 2012 1,550 2013 1,345 2014 2015 1,628 4,675 Economic Development Intellectual Property Income per $10 Million in Total Research Expenditures 90,000 80,000 Actual 70,000 60,000 50,000 40,000 30,000 20,000 10,000 0 ABOR Enterprise Plan Actual 2011 23,164 UofA - 33 2012 24,778 2013 21,364 2014 27,675 2015 77,115 Economic Development Licenses and Options Income (in Thousands) 12,000 10,000 Median 8,000 6,000 4,000 Actual 2,000 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 California - Los Angeles University of Florida University of Minnesota - Twin Cities University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. University of North Carolina - Chapel Hill University of Illinois - Urbana - Champaign Michigan State University The Ohio State University University of Iowa Penn State Univ. - Univ. Park and Hershey Medical Ctr. The University of Arizona University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2011 981 2012 922 2013 926 2014 1,112 2015 3,896 2,011 67,362 57,730 16,153 29,494 10,079 10,233 9,264 1,483 6,363 3,616 1,420 6,285 2,947 981 2,012 76,956 41,100 17,833 33,922 45,652 12,525 13,074 2,414 6,410 3,704 2,170 7,234 3,095 922 2,013 99,491 94,170 23,423 28,068 38,030 12,241 12,826 3,784 4,914 3,302 2,105 1,205 2,267 926 2,014 104,767 43,400 38,786 32,865 26,075 11,537 10,206 7,649 5,255 3,756 2,199 1,626 1,526 1,112 2,015 7,813 9,880 8,577 8,928 UofA - 34 3,896 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 Actual 60,000 40,000 20,000 0 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 California - Los Angeles University of Wisconsin - Madison University of Minnesota - Twin Cities University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. University of Illinois - Urbana - Champaign University of North Carolina - Chapel Hill Michigan State University University of Iowa The Ohio State University Penn State Univ. - Univ. Park and Hershey Medical Ctr. The University of Arizona University of Maryland - College Park University of Texas - Austin Median Med. Sch. Actual 2011 16,075 2012 14,743 2013 14,711 2014 18,914 2015 64,265 2011 586,506 398,598 164,431 519,322 118,932 144,555 131,271 116,601 17,057 79,596 141,587 17,065 37,080 16,075 2012 693,916 486,700 177,730 351,348 552,566 175,594 188,538 109,813 27,286 73,041 162,043 28,304 38,800 14,743 2013 834,298 403,819 242,309 838,183 443,050 162,621 156,417 66,088 38,885 64,035 27,685 26,534 27,057 14,711 2014 890,620 463,855 409,050 391,497 297,360 162,100 119,473 84,528 77,286 71,281 36,197 26,973 19,056 18,914 2015 125,101 168,819 111,253 102,001 UofA - 35 64,265 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Discovery and Scholarly Impact Licenses and Options Executed 90.0 Goal Actual 80.0 70.0 Median 60.0 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 Minnesota - Twin Cities University of Florida The University of Arizona Michigan State University The Ohio State University University of Wisconsin - Madison Texas A&M U. - College Station and Hlth. Science Ctr. University of California - Davis University of California - Los Angeles University of North Carolina - Chapel Hill University of Illinois - Urbana - Champaign Penn State Univ. - Univ. Park and Hershey Medical Ctr. University of Iowa University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual Goal Difference 2011 80 80 0 2012 47 47 0 2013 48 48 0 2014 72 72 0 2015 83 83 0 2011 194 113 131 80 40 25 62 67 58 46 45 55 23 24 2012 209 75 129 47 32 33 60 71 57 34 61 46 21 21 2013 260 91 140 48 33 50 63 55 68 43 56 46 36 29 2014 265 154 147 72 70 68 68 58 50 45 43 38 36 32 2015 57 52 53 63 UofA - 36 83 Rank 1 2 3 4 5 6 6 8 9 10 11 12 13 14 Discovery and Scholarly Impact Licenses and Options Executed per $10 Million in Total Research Expenditures 1.60 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 Michigan State University The University of Arizona The Ohio State University University of Iowa University of California - Davis Texas A&M U. - College Station and Hlth. Science Ctr. University of Wisconsin - Madison University of Illinois - Urbana - Champaign University of California - Los Angeles 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 2011 1.3 2012 0.8 2013 0.8 2014 1.2 2015 1.4 2011 1.7 1.8 1.3 0.9 1.3 0.3 0.5 0.8 0.9 0.6 1.0 0.5 0.3 0.5 2012 1.9 1.9 0.9 0.6 0.8 0.4 0.5 0.8 1.0 0.5 0.8 0.3 0.3 0.7 2013 2.2 2.0 1.1 0.6 0.8 0.6 0.7 0.9 0.7 0.6 0.6 0.4 0.4 0.6 2014 2.3 2.1 1.8 1.3 1.2 0.8 0.7 0.7 0.7 0.6 0.6 0.5 0.4 0.4 2015 0.8 0.7 0.7 0.7 UofA - 37 1.4 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Startup Companies 14.0 12.0 Actual Median 10.0 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 California - Davis University of Minnesota - Twin Cities The Ohio State University The University of Arizona University of Iowa University of North Carolina - Chapel Hill University of Wisconsin - Madison Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. University of Illinois - Urbana - Champaign Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 8 2012 5 2013 3 2014 11 2015 12 2011 19 9 12 5 9 6 8 2 7 4 5 4 12 1 2012 13 9 15 2 12 5 5 4 9 4 5 5 5 3 2013 17 17 16 8 14 10 3 6 14 7 10 3 6 1 2014 19 18 16 15 15 14 11 11 10 10 9 9 6 0 2015 7 5 9 11 UofA - 38 12 Rank 1 2 3 4 4 6 7 7 9 9 11 11 13 14 Economic Development Startup Companies per $10 Million in Total Research Expenditures 0.25 0.20 Actual Median 0.15 0.10 0.05 0.00 X X X X X X X X X X X X X AUTM Adj. NSF Adj. ABOR Peer Group University of Iowa University of Florida University of California - Davis University of California - Los Angeles The University of Arizona The Ohio State University University of Minnesota - Twin Cities University of Washington - Seattle Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. University of North Carolina - Chapel Hill University of Illinois - Urbana - Champaign University of Wisconsin - Madison Michigan State University University of Maryland - College Park University of Texas - Austin Median Med. Sch. ABOR Enterprise Plan Actual 2011 0.1 2012 0.1 2013 0.0 2014 0.2 2015 0.2 2011 0.0 0.2 0.1 0.2 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.2 0.0 0.0 2012 0.1 0.2 0.0 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.0 0.1 2013 0.1 0.2 0.1 0.2 0.0 0.1 0.2 0.1 0.1 0.0 0.1 0.1 0.1 0.0 2014 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.1 0.1 0.1 0.1 0.1 0.0 2015 0.1 0.1 0.1 0.2 UofA - 39 0.2 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 Economic Development Ph.D. Degrees Conferred 480 470 Actual 460 450 440 430 420 410 400 390 380 370 ABOR Enterprise Plan Actual 2011 408 UofA - 40 2012 417 2013 410 2014 432 2015 469 Economic Development Ph.D. Degrees Conferred per $10 Million in Total Research Expenditures 8.00 7.80 Actual 7.60 7.40 7.20 7.00 6.80 6.60 6.40 6.20 6.00 5.80 ABOR Enterprise Plan Actual 2011 6.7 UofA - 41 2012 6.7 2013 6.5 2014 7.3 2015 7.7 This Page Intentionally Left Blank Leadership and Recognition Leadership and Recognition Introduction Recognition for leadership and innovation in knowledge discovery are among the highest accolades that a university can receive. International and national academic awards honor achievements that change how we view and make sense of the world. UA researchers once again demonstrated great leadership and innovation, and were recognized in their respective fields. Additionally, the University of Arizona as a whole has been identified as a national leader in the research arena. In fiscal year 2015, an interdisciplinary research team lead by the UA began a longterm research project called NExSS. NASA awarded a major grant to the team—called Nexus for Exoplanet System Science—allowing it to explore how Earthlike planets form and which nearby stars are most likely to host Earth’s twins. UofA - 44 Leadership and Recognition Selected Accomplishments UofA - 45 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 2011 26 2012 28 2013 29 2014 29 2015 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 110 95 70 69 57 44 39 34 32 31 29 26 24 22 22 10 33 2014 2015 29 30 UofA - 46 Rank 1 2 3 4 5 6 7 8 9 10 11 12 13 14 14 16 Leadership and Recognition National Academy Members per $10 Million in Total Research Expenditures 0.60 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 California - Los Angeles University of Washington - Seattle University of Illinois - Urbana - Champaign University of Maryland - College Park University of Wisconsin - Madison University of California - Davis University of Iowa The University of Arizona University of Minnesota - Twin Cities The Ohio State University University of North Carolina - Chapel Hill University of Florida Penn State Univ. - Univ. Park and Hershey Medical Ctr. Texas A&M U. - College Station and Hlth. Science Ctr. Michigan State University Median Med. Sch. Actual 2011 0.4 2012 0.4 2013 0.5 2014 0.5 2015 0.5 2011 1.1 1.0 0.9 1.0 0.6 0.6 0.6 0.5 0.4 0.5 0.3 0.4 0.3 0.3 0.3 0.2 0.5 2012 1.1 0.9 1.0 0.9 0.6 0.6 0.6 0.5 0.4 0.5 0.4 0.4 0.3 0.3 0.3 0.2 0.5 2013 1.1 1.0 0.9 0.8 0.6 0.6 0.6 0.5 0.5 0.5 0.4 0.3 0.3 0.3 0.3 0.2 0.5 2014 2015 Rank 1 2 3 4 5 6 7 8 0.5 9 10 11 12 13 14 15 16 UofA - 47 0.5 This Page Intentionally Left Blank Technology Transfer Technology Transfer Introduction When TLA began in 2012, the unit laid out a Roadmap with 55 objectives that would determine its direction and serve to measure success. In pursuit of those goals, TLA has continued to integrate the functions of technology transfer, business development, commercialization networks and Tech Parks Arizona. Team Growth and Leadership: As TLA has continued to evolve and grow, a few new positions have been brought on to fulfill key roles. New personnel hires brought on in FY 2015 include: Name John Jackson John Geikler Sabrina Duarte Stephanie Zawada Title Business Intelligence Manager Assistant Director, Physical Sciences & Engineering Administrative Associate Student Outreach Coordinator (0.50 FTE) Start Date 7/21/2014 9/2/2014 4/20/2015 4/27/2015 During the report period, TLA accomplished the following: executed 83 agreements, including 45 exclusive licenses and options; continued service to the faculty to maintain increases in key metrics (including 213 invention disclosures and 35 patents issued) that fuel the technology transfer process; created 12 new companies based on UA technologies (for a total of 44 startups over the past five fiscal years). Technology transfer statistics for the last five years are reflected in the table (following page) and in the charts earlier in this report (Discovery and Scholarly Impact; Economic Development). Transactions Licenses, options, and other major agreements represent key steps in the technology transfer pipeline of idea creation, technology translation, product realization, and royalty generation. In FY 2015, Tech Transfer Arizona executed 83 licenses and options, 45 of which were exclusive licenses, which involve considerable effort and produce the most impact. Conversely, nonexclusive licenses are typically executed for freedom to operate issues. Revenues & Distributions Total revenues from licensing activity and related legal reimbursements in FY 2015 were $4.7 million; $2.4 M came from royalties and patent reimbursements, representing a 45% increase over FY 2014. TLA also received a one-time settlement payment of $2.3 M. We maintain our diligent management of the patent portfolio; a continued strong deal flow has resulted in an increase of patent expenditures in advance of licensing opportunity. In FY 2015, the Tech Launch Arizona’s legal expenditures to legal reimbursements ratio was 40%, reflecting a disciplined approach to patent asset management; the median ratio for UA's peer institutions is 33%. UofA - 50 Technology Transfer Statistical Exhibits Technology Transfer Activities 2011 2012 2013 2014 2015 Invention Disclosures Transacted Invention Disclosures Transacted Percentage Change 149 142 -5% 144 1% 188 31% 213 13% New U.S. Patent Applications New U.S. Patent Applications Percentage Change 104 98 -6% 76 -22% 81 7% 91 12% U.S. Patents Issued U.S. Patents Issued Percentage Change 19 21 11% 27 29% 24 -11% 35 46% Licenses and Options Executed Licenses and Options Executed Percentage Change 80 47 -41% 48 2% 72 50% 83 15% 981,495 432,790 0 1,414,285 921,965 627,572 0 1,549,537 926,023 418,743 0 1,344,766 1,112,331 515,211 0 1,627,542 3,895,882 778,984 0 4,674,866 Other Major Agreements Other Major Agreements Percentage Change 8 13 63% 6 -54% 8 33% 6 -25% New Startup Companies Created New Startup Companies Created Percentage Change 8 5 -38% 3 -40% 11 267% 12 9% Licensing and Other Revenue Licensing Revenue (Including Options) Licensee Legal Reimbursements Other Revenue Total Active Startup Companies that Received Funding Active Startup Companies that Received Funding Percentage Change 11 Active Startup Funding Private Equity Funding Received by Active Startup Companies Grant Funding Received by Active Startup Companies Total Sponsored Research Facilitated Sponsored Research Facilitated Percentage Change 1,800,000 6,100,000 7,900,000 5,918,193 5,100,000 -14% 1,677,000 -67% 1,670,293 0% 2,243,257 34% -346,698 -231,132 -192,609 211,056 -322,687 -276,590 -184,779 137,909 -271,071 -233,554 -155,016 266,382 -364,627 -314,162 -208,156 225,026 -1,380,435 -1,296,680 -990,526 228,241 Royalty Distribution Inventors Laboratories and Units University Undistributed UofA - 51 Technology Transfer Selected Patents UofA - 52 Technology Transfer Selected Licenses and Options Executed UofA - 53 Technology Transfer Selected Startup Companies UofA - 54 Technology Transfer Other Notable Activities UofA - 55 This Page Intentionally Left Blank Strategic Initiatives Strategic Initiatives Summary UofA - 58 Strategic Initiatives Summary UofA - 59